Exhibit 1.01
2021 Conflict Minerals Report
Avaya Holdings Corp.
Reporting period: January 1, 2021, to December 31, 2021
Avaya Holdings Corp. (“Avaya” or the “Company”) prepared this Conflict Minerals Report (the “Report”) for the reporting period from January 1 to December 31, 2021. The Report provides the information required by the provisions of Rule 13(p)(1) under the Securities Exchange Act of 1934 and the instructions to Form SD which require companies that file reports with the Securities and Exchange Commission (the "SEC") under Exchange Act Sections 13(a) or 15(d), whether or not the issuer is required to file such reports, to annually disclose the use of conflict minerals originating from “covered countries,” defined as the Democratic Republic of the Congo (the “DRC”) and adjoining countries and not from recycled or scrap sources that are necessary to the functionality or production of a manufactured product. Conflict minerals are identified as columbite-tantalite (coltan), cassiterite, gold, wolframite or their derivatives, or simply tantalum, tin, tungsten and gold (collectively, “Conflict Minerals” or “3TG”). Use of the terms “Avaya” or the “Company” in this Report refers to Avaya Holdings Corp., a Delaware corporation, and its consolidated subsidiaries taken as a whole, unless the context otherwise indicates. The Report is publicly available on the Company’s website at: https://www.avaya.com/en/about-avaya/corporate-responsibility/.
The Company has conducted a reasonable country of origin inquiry (“RCOI”) and subsequent due diligence according to the 5-step approach detailed in the Organization 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 Guidance”), an internationally recognized due diligence framework, to determine if it knows or has reason to believe that the 3TGs identified in the Company’s products originated from sources in the covered countries. As a downstream user of minerals, the Company contracts the manufacture of products with electronic manufacturing suppliers (“EMS”). Given the size of the Company’s supply chain and the fact that the Company does not have direct relationships with the mines and/or the smelters and refiners (the “SOR”) providing the minerals, it is challenging to identify all of the relevant source mines. As such, the Company relies on industry initiatives (principally, the Responsible Minerals Initiative or “RMI”), manufacturing partners and parts suppliers with whom the Company has direct relationships to determine the source of the 3TGs in the Company’s products. The Company utilizes RCOI data provided by the RMI and relies on audits performed by the RMI to assess the SORs’ conformance to the Responsible Minerals Assurance Process (“RMAP”).
Executive Summary of the 2021 Conflict Minerals Program
The Company performed an RCOI on those suppliers that provided the Company with products and parts containing 3TGs which were then sold during the relevant reporting period. Eighty-five (85) of the 87 suppliers included in the outreach responded, representing a ninety-eight percent (98%) response rate. The following table defines terminology used in this Report, consistent with the RMI Smelter Database.
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| Term | Definition | Statistic | ||||||
| Eligible | RMI recognized smelter eligible for RMAP | 267 | ||||||
| Conformant | Smelter who passed RMI RMAP audit | 229 | ||||||
| Active | Eligible smelter who is not yet conformant but is working with the RMI to become conformant | 32 | ||||||
| Not Active | Un-cooperative and not actively working with the RMI. Also includes businesses who are not operational - either temporarily or permanently. | 6 | ||||||
The results from the Conflict Minerals Reporting Templates (“CMRT”) returned by the suppliers showed 267 reported, eligible SORs involved in the Company’s supply chain. Of the 267 SORs, all could be found on the Smelter Lookup Tab of the CMRT. These 267 SORs (listed in Appendix A) are either “conformant” (229), “active” (32) or “not active” (6). The RMI Smelter Database is a list of possible smelters being tracked by the RMI of the Responsible Business Alliance (“RBA”) and it identifies the status of each of the smelters. RMI uses an independent third-party audit of SOR management systems and sourcing practices to validate smelters' management processes for alignment to the OECD Guidance and RMAP procedures.
The Company cannot be certain about the origin of the conflict minerals used by smelters or entities that are not listed as RMAP-conformant SORs, since their management processes have not been audited per the RMI RMAP. The Company has and will continue to work with suppliers to obtain more information regarding the status of these smelters and entities.
Company Overview
Avaya is a global leader in digital communications products, solutions, and services for businesses of all sizes, delivering most of its technology through software and services. The Company enables organizations around the globe to succeed by creating intelligent communications experiences for clients, their employees and their customers. The Company builds innovative open, converged unified communications and collaboration ("UCC") and contact center ("CC") software solutions to enhance and simplify communications and collaboration in the cloud, on-premises or a hybrid of both. The Company's global, experienced team of professionals delivers award-winning services from initial planning and design to seamless implementation and integration, to ongoing managed operations, optimization, training, and support.
The Company shifted its entire comprehensive software portfolio to Avaya OneCloud, which offers significant capabilities across contact center (OneCloud CCaaS), unified communications and collaboration (OneCloud UCaaS), and communications platform as a service (OneCloud CPaaS). The Avaya OneCloud open, composable platform approach uniquely positions the Company to address a customer’s needs in creating a Digital Workplace for their campus-based and remote employees through Unified Communications and Collaboration and the Customer Experience Center, the Company’s name for contact centers, helping clients deliver tangible business results.
The Company offers a range of software sales and licensing models that can be deployed on-premise or via a public, private, or hybrid cloud.
The Company also offers one of the broadest portfolios of business devices in the industry, including handsets, video conferencing units and headsets to meet the needs of every type of worker across a customer’s organization to customers get the most out of their communications investments. The
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Company’s IP-enabled handsets, multimedia devices and conferencing systems enhance collaboration and productivity, and position organizations to incorporate future technological advancements.
The Company business has two operating segments: Products & Solutions and Services.
Products & Solutions
Products & Solutions encompasses the Company’s UCC and CC software platforms, applications, and devices.
•Avaya OneCloud UCaaS solutions enable organizations to reimagine collaborative work environments and help companies increase employee productivity, improve customer service and reduce costs. With Avaya OneCloud UCaaS, organizations can provide their workers with a single app for all-channel calling, messaging, meetings, and team collaboration with the same ease of use as existing consumer apps. Avaya embeds communications directly into the apps, browsers and devices employees use every day, giving them a more natural, efficient, and flexible way to connect, engage, respond, and share where and how they want.
•Avaya OneCloud CCaaS solutions: Avaya’s industry-leading digital contact center solutions enable clients to build a customized portfolio of applications to drive stronger customer engagement and higher customer lifetime value. The Company’s reliable, secure, and scalable communications solutions include voice, email, chat, social media, video, performance management and third-party integration that can improve customer service and help companies compete more effectively.
•Avaya OneCloud CPaaS combines the cloud with our communications platforms, providing a development platform and the application programming interfaces that enable developers to easily integrate both UCC and CC communications capabilities directly into internal and customer-facing applications and workflows. Organizations can quickly deliver modular, composable applications ("apps") and experiences that meet ever-changing customer and operational needs.
Services
Complementing the Company’s product and solutions portfolio is a global, award-winning services portfolio, delivered by the Company and its extensive partner ecosystem. Avaya’s services portfolio includes solution upgrades and provides new technology through its Avaya OneCloud subscription offerings.
The Company sells directly through its worldwide sales force and indirectly through its global network of channel partners, including distributors, service providers, dealers, value-added sellers, system integrators and business partners that provide sales and services support.
The Company outsources the design of some, and the manufacture of substantially all, of its products and solutions.
The Company’s Conflict Minerals Program Overview
Avaya is committed to ethical business conduct and responsible sourcing and the Company works with its global supply chain partners to ensure compliance with Section 1502 of the Dodd–Frank Wall Street Reform and Consumer Protection Act. The international supply chain for these minerals is complex, however, and tracing them is challenging. Many of the raw materials Avaya uses that contain conflict minerals pass through a variety of intermediaries before reaching the Company. Avaya is not a manufacturer and does not purchase directly from the smelters that produce the minerals. Therefore, the Company must rely upon its suppliers to identify the sources of conflict minerals and to declare the conflict-mineral status of their products, as stated in the Company’s Responsible Minerals Policy. The Company also uses supplier
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information from knowledgeable sources within the Company and online to decide on conflict minerals risk and necessary remedial action.
The Company is an affiliate member of the RBA, participates in RBA’s RMI committees, including the Plenary, the Due Diligence Practices Team and the Mineral Reporting Template Team, and utilizes data and results of RMI smelter or refiner audits, which includes cross-recognized audit programs of the London Bullion Market Association (“LBMA”) and Responsible Jewelry Council (“RJC”). The Company also relies on guidance published by the RMI as it relates to downstream companies and incorporates the RMI CMRT, as well as the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), the OECD Guidance and related supplements for 3TG. The three key elements of the Company’s Conflict Minerals Program (the “Program”) are:
I.Determination of Product Applicability
II.The Reasonable Country of Origin Inquiry (“RCOI”)
III.Due Diligence
I.Determination of Product Applicability
The Company generates a list of products and parts that (1) were contracted to be manufactured for the Company, (2) were sold by the Company in the reporting year, and (3) include 3TG. Products purchased off the shelf from Original Equipment Manufacturers (“OEMs”), and re-sold or passed through without modification, are excluded as the Company is not the manufacturer of those products. This list of in-scope products and parts is further reviewed by comparing it against the Company’s previous year’s RCOI results. This list is then provided to a third-party partner to conduct the Company’s RCOI. The third-party partner works under close supervision of the Company’s Conflict Minerals Program Manager.
The Company outsources the design of some, and the manufacture of all, of its products and solutions. Therefore, the RCOI included the Company’s EMS providers, Original Design Manufacturers and the Company controlled suppliers (the “suppliers”) of parts and components used in the Company designed hardware products and parts that were sold to customers during the calendar year. Finished products and parts obtained from OEMs where the designs are not influenced by the Company (i.e., products or parts which were purchased and included in the Company’s solutions without modification or additional assembly) are excluded from the scope of the RCOI. The Company’s products and parts that contain 3TGs not from recycled or scrap sources, which are in scope pursuant to Dodd-Frank requirements, consist of gateways, routers, servers, network infrastructure equipment and endpoints.
II.Reasonable Country of Origin Inquiry
The Company sends all in-scope suppliers a CMRT, along with links to the RMI website which has educational and training materials to facilitate their completion of the CMRT. For this reporting period, 87 suppliers were contacted. The Company also uses the RMI RCOI Database to determine country of origin. Suppliers who do not respond (2 suppliers during this reporting period) to the request to complete the CMRT are escalated to the applicable Company Commodity Manager, who reminds them of their contractual obligation to provide this information. The Company leverages information resources of the RMI, publicly available information published by the LBMA and the RJC, as well as the resources of a third-party consultant to analyze the supplier responses. The results of the information review are used to identify those suppliers for which additional information and due diligence is required. The completed CMRTs and results of any assessments are stored electronically.
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III.The Company’s Due Diligence Program (the “DD Program”)
The Company’s DD Program was designed in accordance with the OECD five step framework, the international framework currently recognized for compliance with the Dodd-Frank conflict mineral requirements.
Step 1: The Company’s Management System
Consistent with its environmental, health and safety (EHS) management system, the Company has implemented a ‘Plan-Do-Check-Act’ approach for its Conflict Minerals processes. Specifically,
•The Company communicates its Responsible Minerals Policy (the “Policy”) to suppliers during the RCOI process. In addition, the Policy is communicated to our supply chain partners and stakeholders via our website (https://www.avaya.com/en/about-avaya/corporate-responsibility/) and referenced in all new RFPs, contracts, and contract revisions with direct material suppliers. The Policy sets the expectation, among other things, that direct material suppliers will “…source minerals [sic 3TG] from non-conflict regions or, if sourced from conflict regions, … verify that the sourcing is conflict-free (i.e., not used to fund conflicts in [c]overed [c]ountries) through a reasonable due diligence program.”
•The Company developed Standard Operating Procedures that, with the Responsible Minerals Policy, define the Company’s process for conducting the DD Program. Responsibilities rest with a cross-functional team of subject matter experts from Supply Chain Management, Product Compliance, Product Engineering, Research and Development, and the Environmental and Legal functions of the Company. Legal and EHS leads the team and provides periodic updates to senior management.
•The Company is an affiliate member of the RBA and participates in RMI to leverage best practices from other member companies, and identify and implement DD Program improvements, including greater supply chain and customer transparency.
•Controls are in place to manage and retain from year to year the documentation associated with each RCOI and related due diligence activities.
•The Company partners with suppliers to identify the sources of Conflict Minerals in the products and parts that they provide to the Company, as indicated in the RCOI results. Suppliers are engaged through periodic business reviews and an annual supplier forum to discuss compliance requirements. If significant risks, such as non-conformant smelters, are identified through the DD Program or other means, the Company retains the right to suspend trade with, or disengage from, a supplier.
•The Company uses the RMI's published Guides and Guidance to instruct suppliers on how to perform their own due diligence and how to fill out the CMRT form. The supplier is referred to the RMI website to access these materials.
•To resolve grievances that suppliers or SORs may have, the Company uses the publicly available RMI Grievance Mechanism. Suppliers are informed of this Grievance Mechanism in the Company’s Conflict Minerals Supplier Training. The Grievance Mechanism may be used for complaints against the Company, the RMI, the RMI RMAP or auditors used by the RMI, or for other grievances related to Conflict Minerals. The grievances, including corrective actions, are tracked and monitored by the RMI. The following is a link to the Grievance Mechanism: Grievance Mechanism (responsiblemineralsinitiative.org)
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Step 2: Identify and Assess Risks in the Supply Chain
The Company uses the RCOI analysis results to identify suppliers using SORs that are not engaged in an approved validation scheme (e.g., RMAP, LBMA and the RJC) and to assess related supply chain risks. The Company’s full SOR table is included in Appendix A, and the Country of Origin results are shown in the table beginning on page 8.
The Company evaluates the RCOI information collected using the CMRT, including performing a quality review of the results. If discrepancies, errors, or omissions are identified, the response for that supplier is deemed unacceptable and is returned to the supplier for correction. Approximately 82% of the CMRTs collected for 2021 were acceptable as received or successfully corrected by the supplier and accepted by the Company. Those suppliers (18%) who did not make the corrections requested by the Company were escalated internally in the supply chain organization. The Company reviewed and compared the responses with other information in the Company’s possession (in-house experts, etc.) and, where appropriate, made further inquiries of the relevant suppliers. Suppliers’ failure to respond is captured in the internal periodic supplier evaluation.
The Company follows a defined escalation process for suppliers that do not respond to the request for CMRT data. All in-scope suppliers receive an initial CMRT request email. Those that do not timely respond receive a first reminder, second reminder, final reminder, and escalation emails as necessary. Internal Company buyers are identified for each supplier. Any supplier not responding to the emails is flagged to the Company buyer for further action. The Conflict Minerals Program Team meets regularly to review data collection efforts, engaging Internal Company buyers as necessary to determine next steps, including, where appropriate, providing negative feedback to suppliers and recommending potential contract termination.
Based on a review of the data collected, those suppliers / SORs deemed to pose a risk to the Company’s supply chain were addressed in Step 3 below.
Step 3: Design and Implement a Strategy to Respond to Identified Risks
To address the risks in the Company’s supply chain posed by the use of RMAP non-conformant SORs, the Company remains actively involved in the RBA and RMI, including participation in RMI committees such as the Plenary Team, Due Diligence Processes Team and Minerals Reporting Template Team. Participation in these RMI efforts gives the Company access to the RMI smelter auditing efforts, thereby providing Avaya with information to assess supply chain risk from conflict minerals. Avaya works with its supply chain partners to address reported non-conformant smelters, including dis-engagement or suspension, if necessary, although the Company did not find it necessary to exercise dis-engagement or suspension in 2021. Avaya also works with its supply chain partners to resolve smelters’ resistance or refusal to participate in either the RMAP list program or other approved schemes.
Step 4: Independent third-party audit of our SORs’ due diligence practices
As a downstream user of 3TG minerals and a member of the RMI, Avaya leverages information from the independent third-party audits of the SORs facilitated by initiatives such as the RMI’s RMAP, LBMA and the RJC to evaluate the SORs’ practices. Over time, this effort has resulted in increasing the number of SORs in Avaya’s supply chain that are RMAP-conformant. Avaya actively participates in RMI activities, including involvement in sub-committees and contributing possible SOR names, to support efforts to assess each SOR’s alignment to the OECD Guidance via the RMAP.
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Step 5: Annual Reporting on our Supply Chain Due Diligence
Avaya prepares an annual report documenting its Supply Chain Due Diligence Practice activities in accordance with the Dodd-Frank requirements. Participation in the RMI CMR Peer Review resulted in valuable feedback which was incorporated as appropriate in the Company’s Conflict Mineral Report.
Reporting Period Due Diligence Results
Efforts to Determine Conflict Minerals Country of Origin and Facilities used to Process Conflict Minerals
Avaya’s RCOI process and due diligence to determine the source of 3TGs in the Company’s products is based on data collection and partnership with suppliers. The Company queried 87 suppliers for the 2021 RCOI reporting period, of which 85 responded. The two that did not respond were reported to the Company’s Procurement team and their lack of response was considered in assessing their supply chain risk. Although business with these two companies was not terminated, they were given negative feedback through their supplier scorecard. For those that did respond, 267 unique SORs were identified as processing 3TGs used in the parts and/or components contained in the Company’s products. The Company has verified that 229 (86%) of the SORs are RMAP-conformant SORs, an improvement over 2020, when 75% of the SORs were RMAP-conformant. Thirty-two SORs, 84% of the nonconformant SORs, are making progress toward conformance based on information received from the RMI SOR database, an improvement over 2020, when only 63% of the nonconformant SORs were making progress toward conformance. Six SORs are in the Not Active status, which is a significant improvement from 2020 when there were 30 SORs in the Not Active status.
Avaya requested company level CMRTs from its suppliers and most of the responses received were provided at the company level, rather than specific to the product sold to the Company. Two percent (2%) of suppliers have documented on their CMRT that they are unable to obtain a high response rate from their supply chain, making it impossible to determine the complete list of smelters in the Company’s supply chain. Although Avaya pressed these suppliers to obtain more complete SOR lists, the effort was ultimately unsuccessful. In addition, several SORs identified by the suppliers were not listed on the RMI, LBMA or RJC conformant SORs’ lists. Nor could they be confirmed through the Company’s due diligence as actual SORs. As a result, the Company cannot determine its conflict-free status (as defined by Dodd-Frank) at either a product or company level because it cannot confirm that the SORs identified provide a complete picture of Conflict Minerals sourcing. Of the information that was verified, the chart below lists the country of origin for the 3TG minerals in the Company’s products.
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Country of Origin Results for 3TG in the Company’s Products
| Conflict Mineral | Country of Origin | Notes | ||||||
| Gold | Andorra, Antigua and Barbuda, Argentina, Armenia, Australia, Austria, Azerbaijan, Bahamas, Barbados, Belgium, Benin, Bolivia (Plurinational State of), Botswana, Brazil, Bulgaria, Burkina Faso, Canada, Cayman Islands, Chile, China, Colombia, Costa Rica, Cote d'Ivoire, Cuba, Curacao, Cyprus, Czechia, Denmark, Dominican Republic, Ecuador, Eritrea, Ethiopia, Finland, French Guiana, Georgia, Ghana, Guinea, Guyana, Honduras, Japan, Mexico, Mozambique, Niger, Peru, Philippines, Russian Federation, Rwanda, Sierra Leone, South Africa, South Korea, Swaziland, Sweden, Tanzania, Uganda, United States of America, Vietnam | |||||||
| Tantalum | Australia, Austria, Belarus, Bolivia, Brazil, Burundi, Canada, China, Colombia, Democratic Republic of the Congo, Czechia, Estonia, Ethiopia, France, Germany, Hong Kong, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Madagascar, Malaysia, Mexico, Mozambique, Myanmar, Namibia, Netherlands, Nigeria, Russian Federation, Rwanda, Sierra Leone, South Korea, Spain, Switzerland, Taiwan, Thailand, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Zimbabwe | The reported tantalum from the DRC and other covered countries consists of 21 Smelters which have been audited and validated as "conformant" by the Responsible Mineral Initiative (“RMI”) and 1 Smelter which is not RMAP conformant (CID000456). RMI is internationally recognized for managing an independent third-party assessment program in line with the OECD Guidance * | ||||||
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| Conflict Mineral | Country of Origin | Notes | ||||||
| Tin | Angola, Argentina, Australia, Austria, Bangladesh, Belarus, Belgium, Benin, Bolivia, Bolivia (Plurinational State of), Brazil, Bulgaria, Burundi, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Croatia, Cyprus, Czechia, Denmark, Egypt, El Salvador, Estonia, Finland, France, Gabon, Germany, Ghana, Greece, Guernsey, Guinea, Hong Kong, Hungary, India, Indonesia, Ireland, Israel, Italy, Japan, Jordan, Kazakhstan, Laos, Latvia, Lebanon, Libya, Lithuania, Luxembourg, Malaysia, Malta, Mexico, Mongolia, Morocco, Myanmar, Netherlands, New Zealand, Nigeria, Norway, Pakistan, Peru, Philippines, Poland, Portugal, Puerto Rico, Qatar, Romania, Russian Federation, Rwanda, Saudi Arabia, Senegal, Serbia, Singapore, Slovakia, Slovenia, South Africa, South Korea, Spain, Sudan, Sweden, Switzerland, Taiwan, Tanzania, Thailand, Togo, Tunisia, Turkey, Uganda, Ukraine, United Arab Emirates, United States of America, United Kingdom, United Kingdom of Great Britain and Northern Ireland, Uruguay, Venezuela, Vietnam, Virgin Islands, Yemen | The reported tin from the DRC and other covered countries came from 5 smelters all of which have been audited and validated as "conformant" by the RMI, which is internationally recognized for managing an independent third-party assessment program in line with the OECD Guidance. * | ||||||
| Tungsten | Australia, Austria, Belgium, Bolivia, Brazil, Burundi, Canada, China, Colombia, Congo, Democratic Republic of the, Czechia, France, Germany, Hong Kong, Ireland, Israel, Japan, Kazakhstan, Kyrgyzstan, Latvia, Malaysia, Mexico, Mongolia, Myanmar, Nigeria, Peru, Philippines, Portugal, Russian Federation, Rwanda, Singapore, South Korea, Spain, Taiwan, Thailand, Uganda, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Vietnam, Zimbabwe | The reported tungsten from the DRC came from 4 Smelters all of which have been audited and validated as "conformant" by the RMI, which is internationally recognized for managing an independent third-party assessment program in line with the OECD Guidance. * | ||||||
*Note: SORs who receive minerals from the DRC and adjoining countries, i.e., covered countries, can still be declared conformant to the RMAP process.
The 267 SORs identified by the Company’s in-scope suppliers, the minerals processed, and their classification regarding the RMAP list, the LBMA and the RJC, are provided in the table included as Appendix A to this Report. A graphical depiction of the 2021 RCOI and due diligence results is provided in
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Figure 1 as compared to the 2020 results in Figure 2. The validation classifications of the SORs reported in the graphs (Figures 1 and 2) are defined as follows:
•Conformant - These are RMAP-conformant SORs, having passed the RMI RMAP audit.
•RMAP Active - These are smelters that have committed to undergoing a RMAP audit or preparing for an audit.
•Not Active - These are smelters that are neither Conformant nor RMAP Active.
Figure 1- 2021 Results
Figure 2 – 2020 Results
Future Plans to Mitigate Conflict Minerals Sourcing Risk
To help mitigate the risk of potentially sourcing conflict minerals from suppliers who do not have OECD aligned due diligence measures in place, Avaya will:
•Perform the RCOI process by December of the calendar year to allow additional time for supplier engagement and due diligence.
•Continue to require completion of the CMRT in applicable Requests for Quote (“RFQ”) and from applicable new suppliers upon award of contract (if not provided as part of an RFQ).
•Identify suppliers that may, based on past performance, need additional due diligence in the future.
For those SORs that cannot be verified as SORs using the RMI SOR Database, the Company will:
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•Ask suppliers to find out who the true SOR is or to provide proof that the listed SOR is a SOR.
•Send a list of the un-recognized SORs to the RMI for evaluation and possible action.
In addition, for those SORs who are in the RMI SOR Database but who refuse to cooperate with the RMI RMAP, the Company will:
•Ask the supplier to contact the SOR and encourage the SOR to pursue RMAP conformance auditing.
Forward-Looking Statements
This report contains certain "forward-looking statements." All statements other than statements of historical fact are "forward-looking" statements for purposes of the U.S. federal and state securities laws. These statements may be identified by the use of forward-looking terminology such as "anticipate," "believe," "continue," "could,“ "estimate," "expect," "intend," "may," "might," "our vision," "plan," "potential," "preliminary," "predict," "should," "will," or "would" or the negative thereof or other variations thereof or comparable terminology. The Company has based these forward-looking statements on its current expectations, assumptions, estimates and projections. These statements, including the Company’s outlook, do not include the potential impact of any business combinations, asset acquisitions, divestitures, strategic investments or other strategic transactions completed after the date hereof. While the Company believes these expectations, assumptions, estimates and projections are reasonable, such forward-looking statements are only predictions and involve known and unknown risks and uncertainties, many of which are beyond its control. Risks and uncertainties that may cause these forward-looking statements to be inaccurate include, among others, termination or modification of current contracts which could impair attainment of our OneCloud ARR metric; the duration, severity and impact of the coronavirus pandemic ("COVID-19"), the impact of the Russia/Ukraine conflict on the global economy and our business, including impacts from related sanctions and export controls imposed by the U.S., UK and the EU on certain industries and Russian parties as a result of the conflict, as well as responses by the governments of Russia or other jurisdictions and other factors discussed in the Company's Annual Report on Form 10-K and subsequent quarterly reports on Form 10-Q filed with the Securities and Exchange Commission (the "SEC"). These risks and uncertainties may cause the Company’s actual results, performance or achievements to differ materially from any future results, performance or achievements expressed or implied by these forward-looking statements. For a further list and description of such risks and uncertainties, please refer to the Company’s filings with the SEC that are available at www.sec.gov. The Company cautions you that the list of important factors included in the Company’s SEC filings may not contain all of the material factors that are important to you. In addition, in light of these risks and uncertainties, the matters referred to in the forward-looking statements contained in this report may not in fact occur. The Company undertakes no obligation to publicly update or revise any forward-looking statement as a result of new information, future events or otherwise, except as otherwise required by law.
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APPENDIX A
List of Reported Smelters/Refiners Facilities Processing Minerals Used in the Company’s Products as Confirmed by the Responsible Minerals Initiative (RMI) Lists
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 1 | Gold | 8853 S.p.A. | CID002763 | Conformant | ||||||||||
| 2 | Gold | Advanced Chemical Company | CID000015 | Conformant | ||||||||||
| 3 | Gold | Aida Chemical Industries Co., Ltd. | CID000019 | Conformant | ||||||||||
| 4 | Gold | Al Etihad Gold Refinery DMCC | CID002560 | Conformant | ||||||||||
| 5 | Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | Conformant | ||||||||||
| 6 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | Conformant | ||||||||||
| 7 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao | CID000058 | Conformant | ||||||||||
| 8 | Gold | Argor-Heraeus S.A. | CID000077 | Conformant | ||||||||||
| 9 | Gold | Asahi Pretec Corp. | CID000082 | Conformant | ||||||||||
| 10 | Gold | Asahi Refining Canada Ltd. | CID000924 | Conformant | ||||||||||
| 11 | Gold | Asahi Refining USA Inc. | CID000920 | Conformant | ||||||||||
| 12 | Gold | Asaka Riken Co., Ltd. | CID000090 | Conformant | ||||||||||
| 13 | Gold | Aurubis AG | CID000113 | Conformant | ||||||||||
| 14 | Gold | Bangalore Refinery | CID002863 | Conformant | ||||||||||
| 15 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Conformant | ||||||||||
| 16 | Gold | Boliden AB | CID000157 | Conformant | ||||||||||
| 17 | Gold | C. Hafner GmbH + Co. KG | CID000176 | Conformant | ||||||||||
| 18 | Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Conformant | ||||||||||
| 19 | Gold | Cendres + Metaux S.A. | CID000189 | Conformant | ||||||||||
| 20 | Gold | Chimet S.p.A. | CID000233 | Conformant | ||||||||||
| 21 | Gold | Chugai Mining | CID000264 | Conformant | ||||||||||
| 22 | Gold | Dowa | CID000401 | Conformant | ||||||||||
| 23 | Gold | DSC (Do Sung Corporation) | CID000359 | Conformant | ||||||||||
| 24 | Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 | Conformant | ||||||||||
| 25 | Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 | Conformant | ||||||||||
| 26 | Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 | Conformant | ||||||||||
| 27 | Gold | Emirates Gold DMCC | CID002561 | Conformant | ||||||||||
| 28 | Gold | Geib Refining Corporation | CID002459 | Conformant | ||||||||||
| 29 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | Conformant | ||||||||||
| 30 | Gold | Heimerle + Meule GmbH | CID000694 | Conformant | ||||||||||
| 31 | Gold | Heraeus Germany GmbH Co. KG | CID000711 | Conformant | ||||||||||
| 32 | Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | Conformant | ||||||||||
| 33 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | Conformant | ||||||||||
| 34 | Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | Conformant | ||||||||||
Appendix page 1
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 35 | Gold | Istanbul Gold Refinery | CID000814 | Conformant | ||||||||||
| 36 | Gold | Italpreziosi | CID002765 | Conformant | ||||||||||
| 37 | Gold | Japan Mint | CID000823 | Conformant | ||||||||||
| 38 | Gold | Jiangxi Copper Co., Ltd. | CID000855 | Conformant | ||||||||||
| 39 | Gold | JSC Novosibirsk Refinery | CID000493 | Active | ||||||||||
| 40 | Gold | JSC Uralelectromed | CID000929 | Active | ||||||||||
| 41 | Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | Conformant | ||||||||||
| 42 | Gold | Kazzinc | CID000957 | Conformant | ||||||||||
| 43 | Gold | Kennecott Utah Copper LLC | CID000969 | Conformant | ||||||||||
| 44 | Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | Conformant | ||||||||||
| 45 | Gold | Kojima Chemicals Co., Ltd. | CID000981 | Conformant | ||||||||||
| 46 | Gold | Korea Zinc Co., Ltd. | CID002605 | Conformant | ||||||||||
| 47 | Gold | L'Orfebre S.A. | CID002762 | Conformant | ||||||||||
| 48 | Gold | LS-NIKKO Copper Inc. | CID001078 | Conformant | ||||||||||
| 49 | Gold | LT Metal Ltd. | CID000689 | Conformant | ||||||||||
| 50 | Gold | Marsam Metals | CID002606 | Conformant | ||||||||||
| 51 | Gold | Materion | CID001113 | Conformant | ||||||||||
| 52 | Gold | Matsuda Sangyo Co., Ltd. | CID001119 | Conformant | ||||||||||
| 53 | Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | Conformant | ||||||||||
| 54 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | Conformant | ||||||||||
| 55 | Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | Conformant | ||||||||||
| 56 | Gold | Metalor Technologies S.A. | CID001153 | Conformant | ||||||||||
| 57 | Gold | Metalor USA Refining Corporation | CID001157 | Conformant | ||||||||||
| 58 | Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 | Conformant | ||||||||||
| 59 | Gold | Mitsubishi Materials Corporation | CID001188 | Conformant | ||||||||||
| 60 | Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | Conformant | ||||||||||
| 61 | Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | Conformant | ||||||||||
| 62 | Gold | Moscow Special Alloys Processing Plant | CID001204 | Active | ||||||||||
| 63 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 | Conformant | ||||||||||
| 64 | Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Conformant | ||||||||||
| 65 | Gold | Nihon Material Co., Ltd. | CID001259 | Conformant | ||||||||||
| 66 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | Conformant | ||||||||||
| 67 | Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | Conformant | ||||||||||
| 68 | Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | Active | ||||||||||
| 69 | Gold | PAMP S.A. | CID001352 | Conformant | ||||||||||
| 70 | Gold | Planta Recuperadora de Metales SpA | CID002919 | Conformant | ||||||||||
| 71 | Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | Active | ||||||||||
| 72 | Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | Conformant | ||||||||||
Appendix page 2
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 73 | Gold | PX Precinox S.A. | CID001498 | Conformant | ||||||||||
| 74 | Gold | Rand Refinery (Pty) Ltd. | CID001512 | Conformant | ||||||||||
| 75 | Gold | REMONDIS PMR B.V. | CID002582 | Conformant | ||||||||||
| 76 | Gold | Royal Canadian Mint | CID001534 | Conformant | ||||||||||
| 77 | Gold | SAAMP | CID002761 | Conformant | ||||||||||
| 78 | Gold | Safimet S.p.A | CID002973 | Conformant | ||||||||||
| 79 | Gold | SAFINA A.S. | CID002290 | Conformant | ||||||||||
| 80 | Gold | Samduck Precious Metals | CID001555 | Conformant | ||||||||||
| 81 | Gold | SEMPSA Joyeria Plateria S.A. | CID001585 | Conformant | ||||||||||
| 82 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | Conformant | ||||||||||
| 83 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | Conformant | ||||||||||
| 84 | Gold | Singway Technology Co., Ltd. | CID002516 | Conformant | ||||||||||
| 85 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Active | ||||||||||
| 86 | Gold | Solar Applied Materials Technology Corp. | CID001761 | Conformant | ||||||||||
| 87 | Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Conformant | ||||||||||
| 88 | Gold | SungEel HiMetal Co., Ltd. | CID002918 | Conformant | ||||||||||
| 89 | Gold | T.C.A S.p.A | CID002580 | Conformant | ||||||||||
| 90 | Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | Conformant | ||||||||||
| 91 | Gold | Tokuriki Honten Co., Ltd. | CID001938 | Conformant | ||||||||||
| 92 | Gold | TOO Tau-Ken-Altyn | CID002615 | Conformant | ||||||||||
| 93 | Gold | Torecom | CID001955 | Conformant | ||||||||||
| 94 | Gold | Umicore Precious Metals Thailand | CID002314 | Conformant | ||||||||||
| 95 | Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | Conformant | ||||||||||
| 96 | Gold | United Precious Metal Refining, Inc. | CID001993 | Conformant | ||||||||||
| 97 | Gold | Valcambi S.A. | CID002003 | Conformant | ||||||||||
| 98 | Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 | Conformant | ||||||||||
| 99 | Gold | WIELAND Edelmetalle GmbH | CID002778 | Conformant | ||||||||||
| 100 | Gold | Yamakin Co., Ltd. | CID002100 | Conformant | ||||||||||
| 101 | Gold | Yokohama Metal Co., Ltd. | CID002129 | Conformant | ||||||||||
| 102 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | Conformant | ||||||||||
| 103 | Gold | AU Traders and Refiners | CID002850 | Active | ||||||||||
| 104 | Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | Active | ||||||||||
| 105 | Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 | Active | ||||||||||
| 106 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | Active | ||||||||||
| 107 | Gold | Guangdong Jinding Gold Limited | CID002312 | Active | ||||||||||
| 108 | Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | Active | ||||||||||
| 109 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Not Active | ||||||||||
| 110 | Gold | Kyrgyzaltyn JSC | CID001029 | Active | ||||||||||
Appendix page 3
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 111 | Gold | Metal Concentrators SA (Pty) Ltd. | CID003575 | Conformant | ||||||||||
| 112 | Gold | NH Recytech Company | CID003189 | Conformant | ||||||||||
| 113 | Gold | Shandong Gold Smelting Co., Ltd. | CID001916 | Conformant | ||||||||||
| 114 | Gold | TSK Pretech | CID003195 | Not Active | ||||||||||
| 115 | Tungsten | A.L.M.T. Corp. | CID000004 | Conformant | ||||||||||
| 116 | Tungsten | ACL Metais Eireli | CID002833 | Conformant | ||||||||||
| 117 | Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | Conformant | ||||||||||
| 118 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | Conformant | ||||||||||
| 119 | Tungsten | China Molybdenum Tungsten Co., Ltd. | CID002641 | Conformant | ||||||||||
| 120 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | Conformant | ||||||||||
| 121 | Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CID003401 | Conformant | ||||||||||
| 122 | Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CID002645 | Conformant | ||||||||||
| 123 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | Conformant | ||||||||||
| 124 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | Conformant | ||||||||||
| 125 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | Conformant | ||||||||||
| 126 | Tungsten | Global Tungsten & Powders Corp. | CID000568 | Conformant | ||||||||||
| 127 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | Conformant | ||||||||||
| 128 | Tungsten | H.C. Starck Tungsten GmbH | CID002541 | Conformant | ||||||||||
| 129 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | Conformant | ||||||||||
| 130 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 | Not Active | ||||||||||
| 131 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | Conformant | ||||||||||
| 132 | Tungsten | Hydrometallurg, JSC | CID002649 | Conformant | ||||||||||
| 133 | Tungsten | Japan New Metals Co., Ltd. | CID000825 | Conformant | ||||||||||
| 134 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | Conformant | ||||||||||
| 135 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | Conformant | ||||||||||
| 136 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | Conformant | ||||||||||
| 137 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | Conformant | ||||||||||
| 138 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | Conformant | ||||||||||
| 139 | Tungsten | Kennametal Fallon | CID000966 | Conformant | ||||||||||
| 140 | Tungsten | Kennametal Huntsville | CID000105 | Conformant | ||||||||||
| 141 | Tungsten | KGETS Co., Ltd. | CID003388 | Conformant | ||||||||||
| 142 | Tungsten | Lianyou Metals Co., Ltd. | CID003407 | Conformant | ||||||||||
| 143 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | Conformant | ||||||||||
| 144 | Tungsten | Masan High-Tech Materials | CID002543 | Conformant | ||||||||||
| 145 | Tungsten | Moliren Ltd. | CID002845 | Conformant | ||||||||||
| 146 | Tungsten | Niagara Refining LLC | CID002589 | Conformant | ||||||||||
| 147 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | Conformant | ||||||||||
| 148 | Tungsten | TANIOBIS Smelting GmbH & Co. KG | CID002542 | Conformant | ||||||||||
| 149 | Tungsten | Unecha Refractory metals plant | CID002724 | Conformant | ||||||||||
Appendix page 4
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 150 | Tungsten | Wolfram Bergbau und Hutten AG | CID002044 | Conformant | ||||||||||
| 151 | Tungsten | Woltech Korea Co., Ltd. | CID002843 | Conformant | ||||||||||
| 152 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | Conformant | ||||||||||
| 153 | Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | Conformant | ||||||||||
| 154 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | Conformant | ||||||||||
| 155 | Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 | Active | ||||||||||
| 156 | Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CID000281 | Active | ||||||||||
| 157 | Tungsten | Cronimet Brasil Ltda | CID003468 | Conformant | ||||||||||
| 158 | Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | Not Active | ||||||||||
| 159 | Tungsten | JSC "Kirovgrad Hard Alloys Plant" | CID003408 | Conformant | ||||||||||
| 160 | Tantalum | Asaka Riken Co., Ltd. | CID000092 | Conformant | ||||||||||
| 161 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | Conformant | ||||||||||
| 162 | Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | Conformant | ||||||||||
| 163 | Tantalum | Exotech Inc. | CID000456 | Not Active | ||||||||||
| 164 | Tantalum | F&X Electro-Materials Ltd. | CID000460 | Conformant | ||||||||||
| 165 | Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 | Conformant | ||||||||||
| 166 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | Conformant | ||||||||||
| 167 | Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | Conformant | ||||||||||
| 168 | Tantalum | LSM Brasil S.A. | CID001076 | Conformant | ||||||||||
| 169 | Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | Conformant | ||||||||||
| 170 | Tantalum | Mineracao Taboca S.A. | CID001175 | Conformant | ||||||||||
| 171 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | Conformant | ||||||||||
| 172 | Tantalum | NPM Silmet AS | CID001200 | Conformant | ||||||||||
| 173 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | Conformant | ||||||||||
| 174 | Tantalum | QuantumClean | CID001508 | Conformant | ||||||||||
| 175 | Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | Conformant | ||||||||||
| 176 | Tantalum | Solikamsk Magnesium Works OAO | CID001769 | Conformant | ||||||||||
| 177 | Tantalum | Taki Chemical Co., Ltd. | CID001869 | Conformant | ||||||||||
| 178 | Tantalum | Telex Metals | CID001891 | Conformant | ||||||||||
| 179 | Tantalum | Ulba Metallurgical Plant JSC | CID001969 | Conformant | ||||||||||
| 180 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | Conformant | ||||||||||
| 181 | Tantalum | D Block Metals, LLC | CID002504 | Conformant | ||||||||||
| 182 | Tantalum | FIR Metals & Resource Ltd. | CID002505 | Conformant | ||||||||||
| 183 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | Conformant | ||||||||||
| 184 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | Conformant | ||||||||||
| 185 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | Conformant | ||||||||||
| 186 | Tantalum | KEMET de Mexico | CID002539 | Conformant | ||||||||||
Appendix page 5
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 187 | Tantalum | TANIOBIS Co., Ltd. | CID002544 | Conformant | ||||||||||
| 188 | Tantalum | TANIOBIS GmbH | CID002545 | Conformant | ||||||||||
| 189 | Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | Conformant | ||||||||||
| 190 | Tantalum | H.C. Starck Inc. | CID002548 | Conformant | ||||||||||
| 191 | Tantalum | TANIOBIS Japan Co., Ltd. | CID002549 | Conformant | ||||||||||
| 192 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | CID002550 | Conformant | ||||||||||
| 193 | Tantalum | Global Advanced Metals Boyertown | CID002557 | Conformant | ||||||||||
| 194 | Tantalum | Global Advanced Metals Aizu | CID002558 | Conformant | ||||||||||
| 195 | Tantalum | Resind Industria e Comercio Ltda. | CID002707 | Conformant | ||||||||||
| 196 | Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | Conformant | ||||||||||
| 197 | Tantalum | Power Resources Ltd. | CID002847 | Conformant | ||||||||||
| 198 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | Conformant | ||||||||||
| 199 | Tin | Alpha | CID000292 | Conformant | ||||||||||
| 200 | Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | Active | ||||||||||
| 201 | Tin | Dowa | CID000402 | Conformant | ||||||||||
| 202 | Tin | EM Vinto | CID000438 | Conformant | ||||||||||
| 203 | Tin | Estanho de Rondonia S.A. | CID000448 | Conformant | ||||||||||
| 204 | Tin | Fenix Metals | CID000468 | Conformant | ||||||||||
| 205 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | Conformant | ||||||||||
| 206 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | Conformant | ||||||||||
| 207 | Tin | Huichang Jinshunda Tin Co., Ltd. | CID000760 | Not Active | ||||||||||
| 208 | Tin | Melt Metais e Ligas S.A. | CID002500 | Active | ||||||||||
| 209 | Tin | China Tin Group Co., Ltd. | CID001070 | Conformant | ||||||||||
| 210 | Tin | Malaysia Smelting Corporation (MSC) | CID001105 | Conformant | ||||||||||
| 211 | Tin | Metallic Resources, Inc. | CID001142 | Conformant | ||||||||||
| 212 | Tin | Mineracao Taboca S.A. | CID001173 | Conformant | ||||||||||
| 213 | Tin | Minsur | CID001182 | Conformant | ||||||||||
| 214 | Tin | Mitsubishi Materials Corporation | CID001191 | Conformant | ||||||||||
| 215 | Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | Conformant | ||||||||||
| 216 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Conformant | ||||||||||
| 217 | Tin | Operaciones Metalurgicas S.A. | CID001337 | Conformant | ||||||||||
| 218 | Tin | PT Artha Cipta Langgeng | CID001399 | Conformant | ||||||||||
| 219 | Tin | PT Bukit Timah | CID001428 | Active | ||||||||||
| 220 | Tin | PT Babel Surya Alam Lestari | CID001406 | Conformant | ||||||||||
| 221 | Tin | PT Sukses Inti Makmur | CID002816 | Active | ||||||||||
| 222 | Tin | PT Mitra Stania Prima | CID001453 | Conformant | ||||||||||
| 223 | Tin | PT Prima Timah Utama | CID001458 | Conformant | ||||||||||
| 224 | Tin | PT Refined Bangka Tin | CID001460 | Conformant | ||||||||||
| 225 | Tin | PT Babel Inti Perkasa | CID001402 | Conformant | ||||||||||
| 226 | Tin | PT Stanindo Inti Perkasa | CID001468 | Conformant | ||||||||||
Appendix page 6
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 227 | Tin | PT Timah Tbk Kundur | CID001477 | Conformant | ||||||||||
| 228 | Tin | PT Timah (Persero) Tbk Mentok | CID001482 | Conformant | ||||||||||
| 229 | Tin | CV Ayi Jaya | CID002570 | Active | ||||||||||
| 230 | Tin | PT Tinindo Inter Nusa | CID001490 | Conformant | ||||||||||
| 231 | Tin | Rui Da Hung | CID001539 | Conformant | ||||||||||
| 232 | Tin | Soft Metais Ltda. | CID001758 | Conformant | ||||||||||
| 233 | Tin | Thaisarco | CID001898 | Conformant | ||||||||||
| 234 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | Conformant | ||||||||||
| 235 | Tin | White Solder Metalurgia e Mineracao Ltda. | CID002036 | Conformant | ||||||||||
| 236 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | Conformant | ||||||||||
| 237 | Tin | China Yunnan Tin Co Ltd. | CID002180 | Conformant | ||||||||||
| 238 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Active | ||||||||||
| 239 | Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | Conformant | ||||||||||
| 240 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Active | ||||||||||
| 241 | Tin | PT ATD Makmur Mandiri Jaya | CID002503 | Conformant | ||||||||||
| 242 | Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | Conformant | ||||||||||
| 243 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Active | ||||||||||
| 244 | Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Active | ||||||||||
| 245 | Tin | Modeltech Sdn Bhd | CID002858 | Active | ||||||||||
| 246 | Tin | PT Rajehan Ariq | CID002593 | Conformant | ||||||||||
| 247 | Tin | Pongpipat Company Limited | CID003208 | Active | ||||||||||
| 248 | Tin | Resind Industria e Comercio Ltda. | CID002706 | Conformant | ||||||||||
| 249 | Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 | Active | ||||||||||
| 250 | Tin | Metallo Belgium N.V. | CID002773 | Conformant | ||||||||||
| 251 | Tin | Metallo Spain S.L.U. | CID002774 | Conformant | ||||||||||
| 252 | Tin | PT Sariwiguna Binasentosa | CID001463 | Conformant | ||||||||||
| 253 | Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | CID002834 | Conformant | ||||||||||
| 254 | Tin | PT Menara Cipta Mulia | CID002835 | Conformant | ||||||||||
| 255 | Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | Conformant | ||||||||||
| 256 | Tin | PT Aries Kencana Sejahtera | CID000309 | Active | ||||||||||
| 257 | Tin | PT Timah Nusantara | CID001486 | Active | ||||||||||
| 258 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 | Conformant | ||||||||||
| 259 | Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | Conformant | ||||||||||
| 260 | Tin | PT Bangka Serumpun | CID003205 | Conformant | ||||||||||
| 261 | Tin | CV Venus Inti Perkasa | CID002455 | Active | ||||||||||
| 262 | Tin | Tin Technology & Refining | CID003325 | Conformant | ||||||||||
| 263 | Tin | Ma'anshan Weitai Tin Co., Ltd. | CID003379 | Conformant | ||||||||||
| 264 | Tin | PT Rajawali Rimba Perkasa | CID003381 | Conformant | ||||||||||
Appendix page 7
Exhibit 1.01
APPENDIX A
| Number | Metal | Smelter Name | Smelter Id | Remarks | ||||||||||
| 265 | Tin | Luna Smelter, Ltd. | CID003387 | Conformant | ||||||||||
| 266 | Tin | Super Ligas | CID002756 | Active | ||||||||||
| 267 | Tin | PT Mitra Sukses Globalindo | CID003449 | Active | ||||||||||
Appendix page 8