UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

GARRETT MOTION INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-38636

(State or other jurisdiction of

incorporation or organization)

  

(Commission

File Number)

 

La Pièce 16, Rolle, Switzerland   1180
(Address of principal executive offices)   (Zip code)

 

 

Jerome P. Maironi

Senior Vice President, General Counsel and Corporate Secretary

+41 21 695 30 00

(Name and telephone number, including area code, of the person to contact in connection with this report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

☒

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023.

 

☐

Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended      .

 

 

 

Section 1 — Conflict Minerals Disclosure

Item 1.01. Conflict Minerals Disclosure and Report

A copy of Garrett Motion Inc.’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at https://investors.garrettmotion.com/leadership-and-governance.

Item 1.02. Exhibit

The Conflict Minerals Report required by Item 1.01 is filed as an exhibit hereto.

Section 2 — Resource Extraction Issuer Disclosure

Item 2.01. Resource Extraction Issuer Disclosure and Report

Not applicable.

Section 3 — Exhibits

Item 3.01. Exhibits

 

Exhibit No.

   

Description

1.01    Conflict Minerals Report for the year ended December 31, 2023, as required by Items 1.01 and 1.02 of this Form SD.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

    GARRETT MOTION INC.
Date: May 31, 2024     By:  

/s/ Jerome P. Maironi

        Jerome P. Maironi
        Senior Vice President, General Counsel and
        Corporate Secretary

Exhibit 1.01

Garrett Motion Inc.

Conflict Minerals Report

For the reporting period From January 1, 2023, to December 31, 2023

This Conflict Minerals Report of Garrett Motion Inc. and its consolidated subsidiaries (“Garrett,” “we,” or “our”) has been prepared in accordance with Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934, as amended (the “Rule” and related guidance of the Securities and Exchange Commission (the “SEC”)). The Rule was adopted by the SEC to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). The Rule calls for certain disclosures from an SEC registrant that manufactures or contracts to manufacture products for which conflict minerals are necessary to the functionality or production of those products. Conflict minerals are defined as cassiterite, columbite-tantalite, wolframite, and gold, including their derivatives, which are limited to tin, tantalum, and tungsten (collectively, “3TG”).

If any 3TG are necessary to the functionality or production of products manufactured or contracted to be manufactured, by a registrant, the text of the Rule requires such registrant to conduct in good faith a reasonable country of origin inquiry (“RCOI”) that is reasonably designed to determine whether any of its 3TG originated in the Democratic Republic of the Congo (“DRC”), the Central African Republic, the Republic of the Congo. South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia, or Angola (the “Covered Countries”), or are from recycled or scrap sources.

Overview

Garrett’s Business

Garrett is a cutting-edge technology leader delivering differentiated solutions for emission reduction and energy efficiency. We design, manufacture, and sell highly engineered turbocharging, air and fluid compression, and high-speed electric motor technologies for original equipment manufacturers (“OEMs”) and distributors within the mobility and industrial space.

Garrett’s Products Covered by this Report

This report relates to Garrett products: (i) for which 3TG are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by Garrett; and (iii) for which the manufacture was completed during the calendar year 2023. These products, which are referred to herein as the “Covered Products,” consist of turbochargers and intercoolers.

Garrett’s Supply Chain

Garrett sells thousands of products containing parts from hundreds of direct and indirect suppliers. As a “downstream” company with many tiers in our supply chain, we have direct relationships with a few smelters and refiners and do not perform or direct audits of entities within our supply chain. It is difficult for us to identify actors upstream from our direct suppliers, and we rely on those suppliers to provide

information on the smelters and refiners (“SORs”) as well as the origin of 3TG contained in parts or products supplied to us, including sources of 3TG that are supplied to them from their upstream suppliers. Similarly, our direct suppliers rely on information provided by their suppliers.

The terms and lengths of contracts with our suppliers are varied, and we cannot always unilaterally impose new contract terms. As we renew or enter into new purchase agreements with suppliers, we generally seek to add, where possible, a 3TG compliance provision requiring such suppliers to conduct and document their inquiries into the SORs as well as the country of origin of 3TG in parts or products supplied to Garrett and to provide Garrett with information or representations that Garrett requires to meet its compliance obligations. Although we have already integrated a 3TG compliance provision into certain purchase agreements with our direct suppliers, we anticipate that it will take several years to ensure that all supplier purchase agreements contain appropriate 3TG compliance provisions. In addition, some suppliers may object to the inclusion of such 3TG compliance provisions. In the meantime, as described herein, we are working with our suppliers to obtain 3TG sourcing information.

Reasonable Country of Origin Inquiry

Garrett conducted a good faith RCOI to determine whether the 3TG in the Covered Products may have originated in the Covered Countries and did not come from recycled or scrap sources. The elements of the RCOI were:

 

  •  

Identification of relevant suppliers

 

  •  

Data collection and validation; and

 

  •  

Assessment to determine whether due diligence was required

Garrett assessed its direct suppliers that were most likely to provide parts or products containing 3TG concerning our turbocharger and intercoolers, and in connection therewith we identified 396 relevant suppliers (the “Supplier Group”).

Garrett engaged a third-party service provider, Assent Compliance (the “Vendor”), to help obtain supplier data. It began with a request for each supplier in the Supplier Group to respond to the 2023 (version 6.31) Responsible Minerals Initiative’s Conflict Minerals Reporting Template (the “Questionnaire”). The Questionnaire is designed to facilitate disclosure and communication of information regarding SORs of 3TG contained in parts or products in our supply chain. It includes questions regarding a supplier’s engagement with its direct suppliers and a listing of the SORs that the supplier and its suppliers use. In addition, the Questionnaire contains questions about the origin of 3TG included in a supplier’s parts or products, as well as supplier due diligence efforts. The Vendor deployed the Questionnaire to the Supplier Group via a tracking tool, which enabled Garrett and the Vendor to manage and maintain records of responses from the Supplier Group in an electronic database. The procedure involved multiple rounds of follow-up to unresponsive members of the Supplier Group through a defined process via both automated email and personalized email, including offering assistance and further information to the Supplier Group about the requirements of the Rule and the 3TG compliance program. Garrett received responses from 91.16% of the Supplier Group (10.66% increase in supplier responses compared to FY 2022).

The collected data was then validated by the Vendor to increase the accuracy of submissions and identify any contradictory answers in the Questionnaire. The Vendor’s tracking tool and electronic database facilitated automated data validation on all submitted Questionnaires. All submitted Questionnaires were accepted and classified as valid or invalid. Members of the Supplier Group were contacted with regards to invalid forms and were encouraged to resubmit a valid form. We reviewed the responses to determine where further engagement with our Supplier Group was warranted.

Based on the responses from the Supplier Group, we generated a list of 350 unique SORs. Taking into account the responses from the Supplier Group and the fact that not each participant of the Supplier Group responded to the Questionnaire, Garrett did not have complete and validated information to conclude whether its necessary 3TG in the Covered Products originated in the Covered Countries, and if so, whether they were from recycled or scrap sources or came from sources that directly or indirectly financed or benefitted armed groups, as such term is defined in the Rule. Accordingly, Garrett conducted due diligence on the source and chain of custody of the 3TG contained in parts or products provided by the Supplier Group.

Due Diligence Process

Design of Due Diligence Measures

Our due diligence measures have been designed to conform, in all material respects, with the Organization for Economic Co-operation and Development’s (“OECD”) “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (2016)” and the related Supplements for 3TG (the “OECD Framework”). The OECD Framework is written for the entire mineral supply chain and our due diligence measures were tailored to include steps appropriate for “downstream” companies. Our due diligence included the following elements of the OECD Framework:

 

  •  

Step 1: Establish strong company management systems;

 

  •  

Step 2: Identify and assess risks in the supply chain;

 

  •  

Step 3: Design and implement a strategy to respond to identified risks;

 

  •  

Step 4: Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain; and

 

  •  

Step 5: Report on supply chain due diligence.

Step 1: Establish Strong Company Management Systems

Garrett has established a management system to determine the source and chain of custody of 3TG in our supply chain.

 

a.

Mission Statement: We have adopted a conflict minerals mission statement (the Mission Statement) that outlines to suppliers and customers our commitment to responsible sourcing of 3TG throughout our global supply chain and compliance with the Rule. The Mission Statement is publicly available on our website at: https://www.garrettmotion.com/wp-content/uploads/2018/12/Conflict-Minerals-Statement.pdf

b.

Internal Team: Our management system includes oversight of our RCOI and due diligence processes by the representatives from Procurement, Health, Safety and Environment, and Legal. These functions are responsible for implementing our 3TG compliance program and communicating information about program status and effectiveness to senior management.

 

c.

Control Systems: We utilize the Questionnaire for collecting 3TG declarations from our supply base via a tracking tool to gather information on the chain of custody of the 3TG included in our products. In addition, our Vendor is a member of the Responsible Minerals Initiative, an industry-wide initiative working to develop conflict-free supply chains. We also have a Supplier Code of Conduct that sets forth our core values on the responsible sourcing of minerals: https://investors.garrettmotion.com/static-files/fb606599-df51-4ecf-b44b-456be9391df1

 

d.

Supplier Engagement: We have communicated to the Supplier Group our obligations under the Rule by distributing to them background information on the Rule along with the Questionnaire. In addition, through our Vendor, we provide training materials on 3TG compliance to the Supplier Group. We are also continuing to integrate 3TG compliance provisions into our purchase agreements as described above, which sets forth Garrett’s expectations that such direct suppliers will cooperate with Garrett’s RCOI and due diligence measures as required by the Rule.

 

e.

Grievance Mechanism: We have a company-level Helpline that provides employees and suppliers with a mechanism to report violations of our policies or other concerns.

Step 2: Identify and Assess Risks in the Supply Chain

 

  •  

Distribution of Questionnaires to Supplier Group: In 2023, we distributed the Questionnaire to the Supplier Group to gather information on our supply chain, including:

 

  i.

Whether any of the minerals they supplied to Garrett may contain 3TG

 

  ii.

Whether any 3TG are necessary to the functionality or production of the parts or products in which they are used, and

 

  iii.

The SORs or any 3TG in our supply chain and whether the 3TG originated from the Covered Countries or came from recycled or scrap sources.

 

  •  

Assessment of Supplier Group Responses: We reviewed each response from the Supplier Group to assess the adequacy of such a response. Members of the Supplier Group that failed to respond to the Questionnaire or that did not provide responses to all applicable questions in the Questionnaire received follow-up communications requesting additional information. If a supplier response indicates that 3TG contained in parts or products provided to Garrett may have originated from the Covered Countries, then such response is sent to the Environment Team for further review and determination of follow-up steps under the guidance of our risk management plan.

Step 3: Design and Implement a Strategy to Respond to Identified Risks

As part of our risk management plan under the OECD Framework, if SORs with red flags are reported on a Questionnaire by one of the suppliers surveyed, risk mitigation activities will be initiated. If a supplier indicates that its products may contain 3TG sourced from a Covered Country, we will follow up with the supplier to gather more information, including the basis for the information provided and other information regarding the sourcing country and SOR. Identified risks will be reported to the Environment Team, which will determine appropriate follow-up actions, if any, to mitigate risks. There was no instance in our due diligence for the 2023 reporting period where we determined that there were validated high-risk issues in our supply chain requiring follow-up actions.

To ensure that the Supplier Group understands our expectations concerning compliance with the Rule, we distributed background information on the Rule and our Mission Statement, and we provided access to training materials on 3TG compliance to the Supplier Group in addition to the Questionnaire.

Step 4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

Garrett does not perform or direct audits of entities in our supply chain but relies on the RMI’s Responsible Minerals Assurance Process (“RMAP”) to perform third-party audits of SORs. Our process compares the SORs identified by the Supplier Group to the list of SORs certified as “compliant” or the equivalent by the RMI (Responsible Minerals Initiative). If SORs are identified with issues, we engage with the supplier directly to verify the information before reporting the issue to the Environment Team.

Step 5: Report on Supply Chain Due Diligence

This Conflict Minerals Report, and the Form SD to which it relates, have been filed with the SEC, and are publicly available at https://investors.garrettmotion.com/leadership-and-governance

Due Diligence Results

The Questionnaire requested that the Supplier Group provide Garrett with information on (a) the SORs that the Supplier Group and its suppliers use to supply the 3TG in the Covered Products, (b) whether the 3TG used in the Covered Products originates from the Covered Countries, (c) the mine or location of origin of the 3TG used in the Covered Products, and (d) the scope of its response (company-level responses refer to the supplier’s overall 3TG sourcing; product-level responses specify whether 3TG was used in parts or products provided to Garrett). Garrett must rely on responses from the Supplier Group to our Questionnaire to determine the facilities used to process 3TG used in the Covered Products, whether the 3TG used in the Covered Products originates from the Covered Countries, and the source of 3TG used in the Covered Products.

The responses that we received for this reporting period from the Supplier Group fell into one or more of the following categories: (i) indication that no 3TG is used in parts or products that are provided to Garrett, (ii) data concerning the SORs used by the supplier to process 3TG in parts or products provided to Garrett; (iii) data with respect to the supplier’s overall 3TG sourcing, without specifying whether such 3TG was used in parts or products provided to Garrett or indication that the supplier is unable to provide the information as it specifically relates to the parts or products that are provided to Garrett, (iv) indication that the supplier is unable to provide SOR information at this time, and/or (v) indication that the supplier is unable to provide or is still in the process of determining the country of origin or mine or location of

origin of 3TG from its suppliers. We received responses in category (ii) above from 361 out of 396 suppliers. Such responses identified 350 unique SORs (set forth on Appendix A below) used to process 3TG in parts or products provided to Garrett, and whilst they did not indicate the country of origin of the 3TG processed by such SORs, 225 of these SORs are RMAP Conformant.

As a result of the foregoing, and because responses were not received from all members of the Supplier Group, Garrett does not have complete and validated information to conclude whether its necessary 3TG in the Covered Products originated in the Covered Countries, and if so, whether they were from recycled or scrap sources, or came from sources that directly or indirectly financed or benefitted armed groups therein, as such term is defined the Rule.

However, Garrett received no response (to either the initial communication or any follow-up inquiries) from any supplier indicating that 3TG in our Covered Products originated in the Covered Countries (even when SORs used to process our 3TG were identified) or benefitted or financed armed groups in the Covered Countries.

We were unable to determine the country of origin or the mine or location of origin of 3TG used in the parts or products supplied to us for use in the Covered Products. Our efforts to identify the specific mine or location or origin of our necessary 3TG included the due diligence measures described above.

Steps to be taken to mitigate risk

We intend to take the following steps to improve the due diligence conducted and to further mitigate any future risk of sourcing 3TG that benefit armed groups in the Covered Countries:

 

  1.

Continue to refine and update our process to target all appropriate direct suppliers that may be in-scope for the Rule, as well as re-survey applicable suppliers to confirm that they do not incorporate 3TG in our supply chain.

 

  2.

Continue to work closely with our direct suppliers to obtain the necessary validated information on the origin of the 3TG contained in the parts, products, or services sold to Garrett.

 

  3.

Continue to seek to include a 3TG compliance provision in new or renewed purchase agreements with direct suppliers to set forth Garrett’s expectations that such direct suppliers will cooperate with Garrett’s RCOI and due diligence measures as required by the Rule.

 

  4.

Engage with direct suppliers by providing advice and directing them to information and resources, to increase the response rate and improve the content of their Questionnaire responses.

Cautionary Statement about Forward-Looking Statements

We have made statements in this Conflict Minerals Report that may constitute “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) about our plans to take additional actions or to implement additional procedures with respect to our due diligence efforts to determine the origin of conflict minerals included in our products. There can be no assurance that these future events will

occur as anticipated. Forward-looking statements speak only as of the date they were made, and we undertake no obligation to publicly update them. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report. These forward-looking statements should be considered in light of the information included in this report and our other filings with the SEC, including, without limitation, the Risk Factors, as well as the description of trends and other factors in Management’s Discussion and Analysis of Financial Condition and Results of Operations, set forth in our Form 10-K for the year ended December 31, 2023, as updated by our Form 10-Q for the quarter ended March 31, 2024, and other filings with the SEC.

Appendix A - Smelter list

Includes: Metals, SOR name, SOR ID, RMAP Audit Status and SOR Risk status (Low risk- 164, Medium Risk -148 & High risk- 38*)

 

*

Through Assent, suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing suppliers to take their own independent risk mitigation actions.

 

Metal

   

Smelter Name

   

Smelter ID

   

RMAP Audit Status

   

Risk Status

Tungsten    A.L.M.T. Corp.    CID000004    Conformant    Medium Risk
Gold    Advanced Chemical Company    CID000015    Active    Medium Risk
Gold    Aida Chemical Industries Co., Ltd.    CID000019    Conformant    Low Risk
Gold    Agosi AG    CID000035    Conformant    Low Risk
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    CID000041    Conformant    Medium Risk
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    CID000058    Conformant    Low Risk
Gold    Argor-Heraeus S.A.    CID000077    Conformant    Low Risk
Gold    Asahi Pretec Corp.    CID000082    Conformant    Low Risk
Gold    Asaka Riken Co., Ltd.    CID000090    Conformant    Low Risk
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    CID000103    Outreach Required    Low Risk
Tungsten    Kennametal Huntsville    CID000105    Conformant    Low Risk
Gold    Aurubis AG    CID000113    Conformant    Low Risk
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    CID000128    Conformant    Low Risk
Gold    Boliden AB    CID000157    Conformant    Low Risk
Gold    C. Hafner GmbH + Co. KG    CID000176    Conformant    Low Risk
Gold    Caridad    CID000180    Outreach Required    Low Risk
Gold    CCR Refinery - Glencore Canada Corporation    CID000185    Conformant    Low Risk
Gold    Cendres + Metaux S.A.    CID000189    Non-Conformant    Medium Risk
Gold    Yunnan Copper Industry Co., Ltd.    CID000197    Outreach Required    High Risk
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CID000218    Conformant    Medium Risk

Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CID000228    Conformant    Medium Risk
Gold    Chimet S.p.A.    CID000233    Conformant    Low Risk
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CID000258    Conformant    Medium Risk
Gold    Chugai Mining    CID000264    Conformant    Low Risk
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    CID000281    Outreach Required    Medium Risk
Tin    Alpha    CID000292    Conformant    Low Risk
Tin    PT Aries Kencana Sejahtera    CID000309    Conformant    Medium Risk
Gold    Daye Non-Ferrous Metals Mining Ltd.    CID000343    Outreach Required    Medium Risk
Gold    DSC (Do Sung Corporation)    CID000359    Conformant    Low Risk
Gold    Dowa    CID000401    Conformant    Low Risk
Tin    Dowa    CID000402    Conformant    Low Risk
Gold    Eco-System Recycling Co., Ltd. East Plant    CID000425    Conformant    Low Risk
Tin    EM Vinto    CID000438    Conformant    Low Risk
Tin    Estanho de Rondonia S.A.    CID000448    Conformant    Low Risk
Tantalum    F&X Electro-Materials Ltd.    CID000460    Conformant    Medium Risk
Tin    Fenix Metals    CID000468    Conformant    Low Risk
Gold    JSC Novosibirsk Refinery    CID000493    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Refinery of Seemine Gold Co., Ltd.    CID000522    Outreach Required    Medium Risk
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CID000538    Conformant    Medium Risk
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CID000555    Non-Conformant    High Risk
Tungsten    Global Tungsten & Powders LLC    CID000568    Conformant    Low Risk
Tantalum    XIMEI RESOURCES (GUANGDONG) LIMITED    CID000616    Conformant    Medium Risk
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CID000651    Outreach Required    Medium Risk
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CID000671    Outreach Required    Medium Risk
Gold    LT Metal Ltd.    CID000689    Conformant    Low Risk
Gold    Heimerle + Meule GmbH    CID000694    Conformant    Low Risk
Gold    Heraeus Metals Hong Kong Ltd.    CID000707    Conformant    Low Risk
Gold    Heraeus Germany GmbH Co. KG    CID000711    Conformant    Low Risk
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CID000766    Conformant    Medium Risk
Gold    Hunan Chenzhou Mining Co., Ltd.    CID000767    Outreach Required    Medium Risk
Tungsten    Hunan Jintai New Material Co., Ltd.    CID000769    Non-Conformant    High Risk
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CID000773    Outreach Required    Medium Risk

Gold    HwaSeong CJ CO., LTD.    CID000778    Communication Suspended - Not Interested    Medium Risk
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CID000801    Conformant    Medium Risk
Gold    Ishifuku Metal Industry Co., Ltd.    CID000807    Conformant    Low Risk
Gold    Istanbul Gold Refinery    CID000814    Conformant    Low Risk
Gold    Japan Mint    CID000823    Conformant    Low Risk
Tungsten    Japan New Metals Co., Ltd.    CID000825    Conformant    Medium Risk
Gold    Jiangxi Copper Co., Ltd.    CID000855    Conformant    Low Risk
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CID000914    Conformant    Medium Risk
Tantalum    Jiujiang Tanbre Co., Ltd.    CID000917    Conformant    Medium Risk
Gold    Asahi Refining USA Inc.    CID000920    Conformant    Low Risk
Gold    Asahi Refining Canada Ltd.    CID000924    Conformant    Low Risk
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    CID000927    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    JSC Uralelectromed    CID000929    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    JX Nippon Mining & Metals Co., Ltd.    CID000937    Conformant    Low Risk
Tin    Gejiu Kai Meng Industry and Trade LLC    CID000942    Non-Conformant    High Risk
Gold    Kazakhmys Smelting LLC    CID000956    Outreach Required    Low Risk
Gold    Kazzinc    CID000957    Conformant    Low Risk
Tungsten    Kennametal Fallon    CID000966    Conformant    Low Risk
Gold    Kennecott Utah Copper LLC    CID000969    Conformant    Low Risk
Gold    Kojima Chemicals Co., Ltd.    CID000981    Conformant    Low Risk
Gold    Kyrgyzaltyn JSC    CID001029    Non-Conformant    Medium Risk
Gold    L’azurde Company For Jewelry    CID001032    RMI Due Diligence Review - Unable to Proceed    Medium Risk
Gold    Lingbao Gold Co., Ltd.    CID001056    Outreach Required    High Risk
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CID001058    Outreach Required    Medium Risk
Tin    China Tin Group Co., Ltd.    CID001070    Conformant    Medium Risk
Tantalum    AMG Brasil    CID001076    Conformant    Low Risk
Gold    LS-NIKKO Copper Inc.    CID001078    Conformant    Low Risk
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CID001093    Outreach Required    Medium Risk
Tin    Malaysia Smelting Corporation (MSC)    CID001105    Conformant    Medium Risk
Gold    Materion    CID001113    Conformant    Low Risk

Gold    Matsuda Sangyo Co., Ltd.    CID001119    Conformant    Low Risk
Tin    Metallic Resources, Inc.    CID001142    Conformant    Low Risk
Gold    Metalor Technologies (Suzhou) Ltd.    CID001147    Conformant    Low Risk
Gold    Metalor Technologies (Hong Kong) Ltd.    CID001149    Conformant    Medium Risk
Gold    Metalor Technologies (Singapore) Pte., Ltd.    CID001152    Conformant    Low Risk
Gold    Metalor Technologies S.A.    CID001153    Conformant    Low Risk
Gold    Metalor USA Refining Corporation    CID001157    Conformant    Low Risk
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    CID001161    Conformant    Low Risk
Tantalum    Metallurgical Products India Pvt., Ltd.    CID001163    Conformant    Low Risk
Tin    Mineracao Taboca S.A.    CID001173    Conformant    Low Risk
Tantalum    Mineracao Taboca S.A.    CID001175    Conformant    Low Risk
Tin    Minsur    CID001182    Conformant    Low Risk
Gold    Mitsubishi Materials Corporation    CID001188    Conformant    Medium Risk
Tin    Mitsubishi Materials Corporation    CID001191    Conformant    Low Risk
Tantalum    Mitsui Mining and Smelting Co., Ltd.    CID001192    Conformant    Medium Risk
Gold    Mitsui Mining and Smelting Co., Ltd.    CID001193    Conformant    Low Risk
Tantalum    NPM Silmet AS    CID001200    Conformant    Low Risk
Gold    Moscow Special Alloys Processing Plant    CID001204    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    CID001220    Conformant    Low Risk
Tin    Jiangxi New Nanshan Technology Ltd.    CID001231    Conformant    Medium Risk
Gold    Navoi Mining and Metallurgical Combinat    CID001236    Conformant    Low Risk
Gold    Nihon Material Co., Ltd.    CID001259    Conformant    Medium Risk
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CID001277    Conformant    Medium Risk
Tin    Novosibirsk Tin Combine    CID001305    RMI Due Diligence Review - Unable to Proceed    High Risk
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    CID001314    Conformant    Low Risk
Gold    Ohura Precious Metal Industry Co., Ltd.    CID001325    Conformant    Low Risk
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    CID001326    RMI Due Diligence Review - Unable to Proceed    High Risk
Tin    Operaciones Metalurgicas S.A.    CID001337    Conformant    Low Risk
Gold    MKS PAMP SA    CID001352    Conformant    Low Risk

Gold    Penglai Penggang Gold Industry Co., Ltd.    CID001362    Outreach Required    Medium Risk
Gold    Prioksky Plant of Non-Ferrous Metals    CID001386    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    PT Aneka Tambang (Persero) Tbk    CID001397    Conformant    Low Risk
Tin    PT Artha Cipta Langgeng    CID001399    Conformant    Medium Risk
Tin    PT Babel Inti Perkasa    CID001402    Conformant    Medium Risk
Tin    PT Babel Surya Alam Lestari    CID001406    Conformant    Low Risk
Tin    PT Belitung Industri Sejahtera    CID001421    Conformant    Medium Risk
Tin    PT Bukit Timah    CID001428    Conformant    Medium Risk
Tin    PT Mitra Stania Prima    CID001453    Conformant    Medium Risk
Tin    PT Panca Mega Persada    CID001457    Outreach Required    High Risk
Tin    PT Prima Timah Utama    CID001458    Conformant    Medium Risk
Tin    PT Refined Bangka Tin    CID001460    Conformant    Medium Risk
Tin    PT Sariwiguna Binasentosa    CID001463    Conformant    Medium Risk
Tin    PT Stanindo Inti Perkasa    CID001468    Conformant    Medium Risk
Tin    PT Timah Tbk Kundur    CID001477    Conformant    Medium Risk
Tin    PT Timah Tbk Mentok    CID001482    Conformant    Medium Risk
Tin    PT Timah Nusantara    CID001486    Conformant    Medium Risk
Tin    PT Tinindo Inter Nusa    CID001490    Conformant    Medium Risk
Tin    PT Tommy Utama    CID001493    Conformant    Low Risk
Gold    PX Precinox S.A.    CID001498    Conformant    Low Risk
Tantalum    QuantumClean    CID001508    Conformant    Low Risk
Gold    Rand Refinery (Pty) Ltd.    CID001512    Conformant    Medium Risk
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CID001522    Conformant    Low Risk
Gold    Royal Canadian Mint    CID001534    Conformant    Low Risk
Tin    Rui Da Hung    CID001539    Conformant    Medium Risk
Gold    Sabin Metal Corp.    CID001546    Communication Suspended - Not Interested    Medium Risk
Gold    Samduck Precious Metals    CID001555    Non-Conformant    High Risk
Gold    Samwon Metals Corp.    CID001562    Communication Suspended - Not Interested    Medium Risk
Gold    SEMPSA Joyeria Plateria S.A.    CID001585    Conformant    Low Risk
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CID001619    Outreach Required    Medium Risk
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CID001622    Conformant    Medium Risk
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CID001736    Conformant    Low Risk

Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    CID001756    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Solar Applied Materials Technology Corp.    CID001761    Conformant    Low Risk
Tantalum    Solikamsk Magnesium Works OAO    CID001769    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Sumitomo Metal Mining Co., Ltd.    CID001798    Conformant    Low Risk
Gold    Super Dragon Technology Co., Ltd.    CID001810    Outreach Required    Medium Risk
Tantalum    Taki Chemical Co., Ltd.    CID001869    Conformant    Low Risk
Gold    Tanaka Kikinzoku Kogyo K.K.    CID001875    Conformant    Low Risk
Tantalum    Telex Metals    CID001891    Conformant    Low Risk
Tin    Thaisarco    CID001898    Conformant    Medium Risk
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CID001908    Non-Conformant    Medium Risk
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CID001909    Outreach Required    Medium Risk
Gold    Shandong Gold Smelting Co., Ltd.    CID001916    Conformant    Medium Risk
Gold    Tokuriki Honten Co., Ltd.    CID001938    Conformant    Low Risk
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CID001947    Outreach Required    Medium Risk
Gold    Torecom    CID001955    Conformant    Low Risk
Tantalum    Ulba Metallurgical Plant JSC    CID001969    Conformant    Low Risk
Gold    Umicore S.A. Business Unit Precious Metals Refining    CID001980    Conformant    Low Risk
Gold    United Precious Metal Refining, Inc.    CID001993    Conformant    Low Risk
Gold    Valcambi S.A.    CID002003    Conformant    Low Risk
Tin    VQB Mineral and Trading Group JSC    CID002015    Outreach Required    High Risk
Gold    Western Australian Mint (T/a The Perth Mint)    CID002030    Conformant    Low Risk
Tin    White Solder Metalurgia e Mineracao Ltda.    CID002036    Conformant    Low Risk
Tungsten    Wolfram Bergbau und Hutten AG    CID002044    Conformant    Low Risk
Tungsten    Xiamen Tungsten Co., Ltd.    CID002082    Conformant    Medium Risk
Gold    Yamakin Co., Ltd.    CID002100    Conformant    Low Risk
Gold    Yokohama Metal Co., Ltd.    CID002129    Conformant    Medium Risk
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CID002158    Conformant    Medium Risk
Tin    Tin Smelting Branch of Yunnan Tin Co., Ltd.    CID002180    Conformant    Medium Risk
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CID002224    Conformant    Low Risk
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CID002243    Conformant    Medium Risk

Gold    Morris and Watson    CID002282    Outreach Required    Low Risk
Gold    SAFINA A.S.    CID002290    Conformant    Low Risk
Gold    Guangdong Jinding Gold Limited    CID002312    Outreach Required    Medium Risk
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CID002313    Communication Suspended - Not Interested    Medium Risk
Gold    Umicore Precious Metals Thailand    CID002314    Non-Conformant    High Risk
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CID002315    Conformant    Medium Risk
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CID002316    Conformant    Low Risk
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CID002317    Conformant    Medium Risk
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CID002318    Conformant    Medium Risk
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CID002319    Conformant    Medium Risk
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CID002320    Conformant    Medium Risk
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CID002321    Conformant    Medium Risk
Tin    CV Venus Inti Perkasa    CID002455    Conformant    Low Risk
Tin    Magnu’s Minerais Metais e Ligas Ltda.    CID002468    Conformant    Low Risk
Tin    PT Tirus Putra Mandiri    CID002478    Communication Suspended - Not Interested    Medium Risk
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CID002492    Conformant    Low Risk
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CID002494    Conformant    Medium Risk
Tin    Melt Metais e Ligas S.A.    CID002500    Non-Conformant    Medium Risk
Tungsten    Asia Tungsten Products Vietnam Ltd.    CID002502    Conformant    Medium Risk
Tin    PT ATD Makmur Mandiri Jaya    CID002503    Conformant    Medium Risk
Tantalum    D Block Metals, LLC    CID002504    Conformant    Low Risk
Tantalum    FIR Metals & Resource Ltd.    CID002505    Conformant    Low Risk
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CID002506    Conformant    Low Risk
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CID002508    Conformant    Low Risk
Gold    MMTC-PAMP India Pvt., Ltd.    CID002509    Conformant    Medium Risk
Gold    KGHM Polska Miedz Spolka Akcyjna    CID002511    Conformant    Low Risk
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CID002512    Conformant    Low Risk
Tungsten    Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch    CID002513    Conformant    Medium Risk

Gold    Fidelity Printers and Refiners Ltd.    CID002515    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Singway Technology Co., Ltd.    CID002516    Non-Conformant    High Risk
Tin    O.M. Manufacturing Philippines, Inc.    CID002517    Conformant    Low Risk
Gold    Shandong Humon Smelting Co., Ltd.    CID002525    Outreach Required    Medium Risk
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    CID002527    Outreach Required    Medium Risk
Tantalum    KEMET de Mexico    CID002539    Conformant    Low Risk
Tungsten    H.C. Starck Tungsten GmbH    CID002541    Conformant    Low Risk
Tungsten    TANIOBIS Smelting GmbH & Co. KG    CID002542    Conformant    Low Risk
Tungsten    Masan High-Tech Materials    CID002543    Conformant    Medium Risk
Tantalum    TANIOBIS Co., Ltd.    CID002544    Conformant    Medium Risk
Tantalum    TANIOBIS GmbH    CID002545    Conformant    Low Risk
Tantalum    Materion Newton Inc.    CID002548    Conformant    Low Risk
Tantalum    TANIOBIS Japan Co., Ltd.    CID002549    Conformant    Medium Risk
Tantalum    TANIOBIS Smelting GmbH & Co. KG    CID002550    Conformant    Low Risk
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CID002551    Conformant    Medium Risk
Tantalum    Global Advanced Metals Boyertown    CID002557    Conformant    Low Risk
Tantalum    Global Advanced Metals Aizu    CID002558    Conformant    Medium Risk
Gold    Al Etihad Gold Refinery DMCC    CID002560    Non-Conformant    Medium Risk
Gold    Emirates Gold DMCC    CID002561    Non-Conformant    High Risk
Gold    International Precious Metal Refiners    CID002562    Outreach Required    Medium Risk
Gold    Kaloti Precious Metals    CID002563    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Sudan Gold Refinery    CID002567    Outreach Required    High Risk
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    CID002572    Non-Conformant    Medium Risk
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    CID002573    Outreach Required    Medium Risk
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    CID002574    Outreach Required    Medium Risk
Gold    T.C.A S.p.A    CID002580    Conformant    Low Risk
Gold    REMONDIS PMR B.V.    CID002582    Conformant    Low Risk
Gold    Fujairah Gold FZC    CID002584    Outreach Required    Medium Risk
Gold    Industrial Refining Company    CID002587    Non-Conformant    High Risk
Gold    Shirpur Gold Refinery Ltd.    CID002588    Outreach Required    Medium Risk
Tungsten    Niagara Refining LLC    CID002589    Conformant    Low Risk
Gold    Korea Zinc Co., Ltd.    CID002605    Conformant    Low Risk
Gold    Marsam Metals    CID002606    Non-Conformant    Medium Risk

Gold    TOO Tau-Ken-Altyn    CID002615    Conformant    Low Risk
Tungsten    China Molybdenum Tungsten Co., Ltd.    CID002641    Conformant    Low Risk
Tungsten    Hydrometallurg, JSC    CID002649    RMI Due Diligence Review - Unable to Proceed    High Risk
Tin    PT Cipta Persada Mulia    CID002696    Conformant    Low Risk
Tin    An Vinh Joint Stock Mineral Processing Company    CID002703    Outreach Required    Medium Risk
Tin    Resind Industria e Comercio Ltda.    CID002706    Conformant    Low Risk
Tantalum    Resind Industria e Comercio Ltda.    CID002707    Conformant    Low Risk
Gold    Abington Reldan Metals, LLC    CID002708    Conformant    Low Risk
Tungsten    Unecha Refractory metals plant    CID002724    Non-Conformant    High Risk
Gold    Shenzhen CuiLu Gold Co., Ltd.    CID002750    Outreach Required    Medium Risk
Tin    Super Ligas    CID002756    Conformant    Low Risk
Gold    SAAMP    CID002761    Non-Conformant    Medium Risk
Gold    L’Orfebre S.A.    CID002762    Conformant    Low Risk
Gold    8853 S.p.A.    CID002763    Non-Conformant    Medium Risk
Gold    Italpreziosi    CID002765    Conformant    Low Risk
Tin    Aurubis Beerse    CID002773    Conformant    Low Risk
Tin    Aurubis Berango    CID002774    Conformant    Low Risk
Gold    WIELAND Edelmetalle GmbH    CID002778    Conformant    Low Risk
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    CID002779    Conformant    Low Risk
Tin    PT Sukses Inti Makmur    CID002816    Conformant    Medium Risk
Tungsten    Philippine Chuangxin Industrial Co., Inc.    CID002827    Conformant    Low Risk
Tungsten    ACL Metais Eireli    CID002833    Non-Conformant    Medium Risk
Tin    PT Menara Cipta Mulia    CID002835    Conformant    Medium Risk
Tantalum    Jiangxi Tuohong New Raw Material    CID002842    Conformant    Low Risk
Tin    HuiChang Hill Tin Industry Co., Ltd.    CID002844    Conformant    Low Risk
Tungsten    Moliren Ltd.    CID002845    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    AU Traders and Refiners    CID002850    Non-Conformant    High Risk
Gold    GGC Gujrat Gold Centre Pvt. Ltd.    CID002852    Non-Conformant    High Risk
Gold    Sai Refinery    CID002853    Outreach Required    Medium Risk
Gold    Modeltech Sdn Bhd    CID002857    Non-Conformant    Medium Risk
Tin    Modeltech Sdn Bhd    CID002858    Non-Conformant    Medium Risk
Gold    Bangalore Refinery    CID002863    Active    Medium Risk
Gold    Kyshtym Copper-Electrolytic Plant ZAO    CID002865    RMI Due Diligence Review - Unable to Proceed    High Risk

Gold    Degussa Sonne / Mond Goldhandel GmbH    CID002867    Outreach Required    Low Risk
Gold    Pease & Curren    CID002872    Communication Suspended - Not Interested    Medium Risk
Gold    JALAN & Company    CID002893    Outreach Required    Medium Risk
Gold    SungEel HiMetal Co., Ltd.    CID002918    Conformant    Low Risk
Gold    Planta Recuperadora de Metales SpA    CID002919    Conformant    Low Risk
Gold    ABC Refinery Pty Ltd.    CID002920    Outreach Required    Low Risk
Gold    Safimet S.p.A    CID002973    Non-Conformant    Medium Risk
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CID003116    Conformant    Medium Risk
Gold    State Research Institute Center for Physical Sciences and Technology    CID003153    Outreach Required    Medium Risk
Gold    African Gold Refinery    CID003185    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Gold Coast Refinery    CID003186    Outreach Required    Medium Risk
Gold    NH Recytech Company    CID003189    Conformant    Low Risk
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CID003190    Conformant    Medium Risk
Tin    PT Bangka Serumpun    CID003205    Conformant    Medium Risk
Tin    Pongpipat Company Limited    CID003208    Outreach Required    High Risk
Gold    QG Refining, LLC    CID003324    Outreach Required    Medium Risk
Tin    Tin Technology & Refining    CID003325    Conformant    Low Risk
Gold    Dijllah Gold Refinery FZC    CID003348    Outreach Required    Medium Risk
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CID003356    Non-Conformant    Medium Risk
Tin    Ma’anshan Weitai Tin Co., Ltd.    CID003379    Non-Conformant    Medium Risk
Tin    PT Rajawali Rimba Perkasa    CID003381    Conformant    Low Risk
Gold    CGR Metalloys Pvt Ltd.    CID003382    Outreach Required    Medium Risk
Gold    Sovereign Metals    CID003383    Outreach Required    Medium Risk
Tin    Luna Smelter, Ltd.    CID003387    Conformant    Medium Risk
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CID003397    Conformant    Medium Risk
Tungsten    Lianyou Metals Co., Ltd.    CID003407    Conformant    Low Risk
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    CID003408    RMI Due Diligence Review - Unable to Proceed    High Risk
Tin    Precious Minerals and Smelting Limited    CID003409    Active    Medium Risk
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CID003410    Outreach Required    Medium Risk

Tungsten    NPP Tyazhmetprom LLC    CID003416    RMI Due Diligence Review - Unable to Proceed    High Risk
Tungsten    Hubei Green Tungsten Co., Ltd.    CID003417    Conformant    Low Risk
Gold    Eco-System Recycling Co., Ltd. North Plant    CID003424    Conformant    Low Risk
Gold    Eco-System Recycling Co., Ltd. West Plant    CID003425    Conformant    Low Risk
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    CID003427    Non-Conformant    Medium Risk
Tin    PT Mitra Sukses Globalindo    CID003449    Conformant    Low Risk
Gold    Augmont Enterprises Private Limited    CID003461    Non-Conformant    Medium Risk
Gold    Kundan Care Products Ltd.    CID003463    Outreach Required    Medium Risk
Tungsten    Cronimet Brasil Ltda    CID003468    Conformant    Low Risk
Tin    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    CID003486    Conformant    Low Risk
Gold    Emerald Jewel Industry India Limited (Unit 1)    CID003487    Outreach Required    Medium Risk
Gold    Emerald Jewel Industry India Limited (Unit 2)    CID003488    Outreach Required    Medium Risk
Gold    Emerald Jewel Industry India Limited (Unit 3)    CID003489    Outreach Required    Medium Risk
Gold    Emerald Jewel Industry India Limited (Unit 4)    CID003490    Outreach Required    Medium Risk
Gold    K.A. Rasmussen    CID003497    Outreach Required    Medium Risk
Gold    Alexy Metals    CID003500    Non-Conformant    Medium Risk
Tin    CRM Synergies    CID003524    Conformant    Low Risk
Gold    MD Overseas    CID003548    Outreach Required    Medium Risk
Tungsten    Artek LLC    CID003553    RMI Due Diligence Review - Unable to Proceed    High Risk
Gold    Metallix Refining Inc.    CID003557    Outreach Required    Low Risk
Gold    Metal Concentrators SA (Pty) Ltd.    CID003575    Conformant    Low Risk
Tin    Fabrica Auricchio Industria e Comercio Ltda.    CID003582    Conformant    Low Risk
Tantalum    RFH Yancheng Jinye New Material Technology Co., Ltd.    CID003583    Conformant    Low Risk
Tungsten    Fujian Xinlu Tungsten Co., Ltd.    CID003609    Conformant    Low Risk
Tungsten    OOO “Technolom” 2    CID003612    RMI Due Diligence Review - Unable to Proceed    High Risk
Tungsten    OOO “Technolom” 1    CID003614    RMI Due Diligence Review - Unable to Proceed    High Risk

Gold    WEEEREFINING    CID003615    Conformant    Low Risk
Gold    Gold by Gold Colombia    CID003641    Conformant    Low Risk
Tungsten    LLC Vostok    CID003643    RMI Due Diligence Review - Unable to Proceed    High Risk
Tungsten    YUDU ANSHENG TUNGSTEN CO., LTD.    CID003662    Outreach Required    Medium Risk
Gold    Dongwu Gold Group    CID003663    Outreach Required    Medium Risk
Tin    PT Putera Sarana Shakti (PT PSS)    CID003868    Conformant    Low Risk
Tantalum    5D Production OU    CID003926    Outreach Required    Low Risk
Tin    PT Premium Tin Indonesia    CID000313    Conformant    Low Risk
Tin    PT Bangka Tin Industry    CID001419    Active    Medium Risk
Tin    CV Ayi Jaya    CID002570    Conformant    Medium Risk
Tin    PT Bangka Prima Tin    CID002776    Conformant    Low Risk
Tin    DS Myanmar    CID003831    Conformant    Low Risk
Tin    Mining Minerals Resources SARL    CID004065    Conformant    Low Risk
Tin    PT Rajehan Ariq    CID002593    Conformant    Medium Risk
Gold    Albino Mountinho Lda.    CID002760    Outreach Required    Low Risk
Tungsten    HANNAE FOR T Co., Ltd.    CID003978    Outreach Required    Medium Risk
Tungsten    DONGKUK INDUSTRIES CO., LTD.    CID004060    Outreach Required    Medium Risk
Gold    Sam Precious Metals    CID003666    Outreach Required    Medium Risk
Tungsten    Tungsten Vietnam Joint Stock Company    CID003993    Conformant    Low Risk
Gold    Coimpa Industrial LTDA    CID004010    Conformant    Low Risk
Tungsten    Nam Viet Cromit Joint Stock Company    CID004034    Outreach Required    Medium Risk
Tantalum    PowerX Ltd.    CID004054    Conformant    Low Risk
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CID000291    Conformant    Low Risk
Tungsten    Lianyou Resources Co., Ltd.    CID004397    Conformant    Low Risk
Tungsten    Shinwon Tungsten (Fujian Shanghang) Co., Ltd.    CID004430    Conformant    Low Risk
Tin    Malaysia Smelting Corporation Berhad (Port Klang)    CID004434    In Communication    Medium Risk
Gold    GG Refinery Ltd.    CID004506    Active    Medium Risk
Tungsten    Kenee Mining Corporation Vietnam    CID004619    Active    Medium Risk

Glossary

 

SORs    Smelters or Refiners - A facility that uses heat and/or chemical agents to process mineral ore, slag, recycled or scrap materials, or any combination of such into refined metal products.
RMAP    The Responsible Minerals Assurance Process is RMI’s audit program that uses an independent third-party assessment of smelter/refiner management systems and sourcing practices to validate conformance with RMAP standards.
Legitimate SORs    Facilities that been deemed operational by the RMI and are ‘Eligible’ to participate in the RMAP program.
SORs of Interest    Smelters or Refiners that present significant risk to supply chains, as per 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.
RMAP Audit Status    Describes the current engagement situation of an SOR in relation to the RMAP program.
Conformant    Independently assessed and found conformant with the relevant RMAP standard.
Active    Engaged in the program but not yet conformant.
Non-Conformant    Independently assessed and found non-conformant with the relevant RMAP standard.
Not Enrolled    This is a rolled up of the statuses below as SORs with this have not taken part in the RMAP program.
Communication Suspended - Not Interested    Facility has strongly communicated a lack of interest in participation.
Due Diligence Vetting Process    Facility does not meet RMI’s requirements for participation according to the due diligence vetting process.
In Communication    Not yet active but in communication with RMAP and/or member company.
Outreach Required    Outreach needed by RMI member companies to contact entity and encourage their participation in RMAP.
RMI Due Diligence Review – Unable to Proceed    For facilities that have not met the threshold for Due Diligence Vetting Process after a period of 6 months. Status may change if additional information is submitted.
CAHRAs (Conflict affected and high risk areas)    Areas identified to be in the presence of widespread human rights abuses and violations of law, as defined by both, the European Commission via Regulation (EU) 2017/821 and OECD.
RCOI    Reasonable Country of Origin Inquiry (RCOI) is conducted to determine whether its in-scope 3TG content originated in the Democratic Republic of the Congo (DRC) or one of the covered countries or is from recycled or scrap sources.
Garrett Motion (NASDAQ:GTXAP)
Historical Stock Chart
From May 2024 to Jun 2024 Click Here for more Garrett Motion Charts.
Garrett Motion (NASDAQ:GTXAP)
Historical Stock Chart
From Jun 2023 to Jun 2024 Click Here for more Garrett Motion Charts.