Garrett Motion Inc. — Regulatory Filings 2023

May 22, 2023

424B3 1 eh230360612_424b3-sd.htm 424B3

Filed pursuant to Rule 424(b)(3)

Registration No. 333-256659

PROSPECTUS SUPPLEMENT No. 4

(To Prospectus Dated April 20, 2023)

Garrett Motion Inc.

37,680,203 Shares of Common Stock

219,552,835 Shares of Series A Cumulative Convertible Preferred Stock

219,552,835 Shares of Common Stock Issuable Upon Conversion of Series A

Cumulative Convertible Preferred Stock

This prospectus supplement no. 4 supplements the prospectus dated April 20, 2023 (the “Prospectus”) filed pursuant to the Securities Act of 1933, as amended, by Garrett Motion Inc. Pursuant to the Prospectus, this prospectus supplement relates to the offer and sale by the selling security holders identified in the Prospectus of up to (i) 219,552,835 shares of our Series A Cumulative Convertible Preferred Stock (the “Series A Preferred Stock”), (ii) 37,680,203 shares of our common stock, par value $0.001 per share (the “Common Stock” and together with the Series A Preferred Stock, the “Securities”) and (iii) 219,552,835 shares of our Common Stock issuable upon conversion of the Series A Preferred Stock.

This prospectus supplement incorporates into the Prospectus the information contained in our attached:

· Specialized Disclosure Report on Form SD, which was filed with the Securities and Exchange Commission (“SEC”) on May 22, 2023.

You should read this prospectus supplement in conjunction with the Prospectus, including any supplements and amendments thereto. This prospectus supplement is qualified by reference to the Prospectus except to the extent that the information in this prospectus supplement supersedes the information contained in the Prospectus.

This prospectus supplement is not complete without, and may not be delivered or utilized except in connection with, the Prospectus.

Our Common Stock is quoted on the Nasdaq Global Select Market (“Nasdaq”) under the symbol “GTX.” Our Series A Preferred Stock is quoted on the Nasdaq under the symbol “GTXAP”.

Investing in our Securities involves risks. Please see “Risk Factors” beginning on page 6 of the Prospectus.

Neither the SEC nor any state securities commission has approved or disapproved of these securities or passed on the adequacy or accuracy of this prospectus. Any representation to the contrary is a criminal offense.

The date of this prospectus supplement is May 22, 2023.

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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, 2022.

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

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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 3 — Exhibits

Item 3.01. Exhibits

Exhibit No.	Description
1.01	Conflict Minerals Report for the year ended December 31, 2022, as required by Items 1.01 and 1.02 of this Form SD.

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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.

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

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EXHIBIT 1.01

Garrett Motion Inc.

Conflict Mineral Report

For the reporting period From January 1, 2022, to December 31, 2022

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”). The Rule was adopted by the Securities and Exchange Commission (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 designs manufacture and sell highly engineered turbochargers, electric boosting as well as automotive software solutions for light and commercial vehicle original equipment manufacturers (“OEMs”) and the global vehicle independent aftermarket. We are a global technology leader with significant expertise in delivering products across gasoline, diesel, natural gas, and electrified (hybrid and fuel cell) powertrains.

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 2022. 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 (less than 1% of our direct suppliers) 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

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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 477 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 2022 (version 6.22) 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 16 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 80.5% of the Supplier Group (4.3% increase in supplier responses compared to FY 2021).

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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 received from the Company’s RCOI, we compiled a list of 343 unique SORs. However, the vast majority were at a supplier-level, and none included information regarding associated countries of origin. Based on the responses to our RCOI and the fact that responses were not received from all members of the Supplier Group 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

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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 integrating 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 2022, 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

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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 2022 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

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origin of 3TG from its suppliers. We received responses in category (ii) above from 383 out of 477 suppliers. Such responses identified 343 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, 223 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.

Besides, 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

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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, 2022, as updated by our Form 10-Q for the quarter ended March 31, 2023, 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- 236, Medium Risk -83 & High risk- 24*)

*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 | Low
Risk |
| Gold | Advanced
Chemical Company | CID000015 | Conformant | Low
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 | Low
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 | Medium
Risk |
| Tantalum | Changsha
South Tantalum Niobium Co., Ltd. | CID000211 | Conformant | Low
Risk |
| Tungsten | Guangdong
Xianglu Tungsten Co., Ltd. | CID000218 | Conformant | Low
Risk |

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| Metal | Smelter
Name | Smelter
ID | RMAP
Audit Status | Risk
Status |
| --- | --- | --- | --- | --- |
| Tin | Chenzhou
Yunxiang Mining and Metallurgy Co., Ltd | CID000228 | Conformant | Low
Risk |
| Gold | Chimet
S.p.A. | CID000233 | Conformant | Low
Risk |
| Tungsten | Chongyi
Zhangyuan Tungsten Co., Ltd. | CID000258 | Conformant | Low
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 | Low
Risk |
| Gold | Daye
Non-Ferrous Metals Mining Ltd. | CID000343 | In
Communication | 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 | Low
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 | Low
Risk |
| Tin | Gejiu
Zili Mining And Metallurgy Co., Ltd. | CID000555 | Non-Conformant | Medium
Risk |
| Tungsten | Global
Tungsten & Powders LLC | CID000568 | Conformant | Low
Risk |
| Tantalum | XIMEI
RESOURCES (GUANGDONG) LIMITED | CID000616 | Conformant | Low
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 | Low
Risk |
| Gold | Hunan
Chenzhou Mining Co., Ltd. | CID000767 | Outreach
Required | Medium
Risk |
| Tungsten | Hunan
Jintai New Material Co., Ltd. | CID000769 | Conformant | Low
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 | Low
Risk |

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| Metal | Smelter
Name | Smelter
ID | RMAP
Audit Status | Risk
Status |
| --- | --- | --- | --- | --- |
| 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 | Low
Risk |
| Gold | Jiangxi
Copper Co., Ltd. | CID000855 | Conformant | Low
Risk |
| Tungsten | Ganzhou
Huaxing Tungsten Products Co., Ltd. | CID000875 | Conformant | Low
Risk |
| Tantalum | JiuJiang
JinXin Nonferrous Metals Co., Ltd. | CID000914 | Conformant | Low
Risk |
| Tantalum | Jiujiang
Tanbre Co., Ltd. | CID000917 | Conformant | Low
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 | Medium
Risk |
| Gold | Kazakhmys
Smelting LLC | CID000956 | In
Communication | 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 | Medium
Risk |
| Gold | Lingbao
Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Outreach
Required | Medium
Risk |
| Tin | China
Tin Group Co., Ltd. | CID001070 | Conformant | Low
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 | Low
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 | Low
Risk |
| Gold | Metalor
Technologies (Singapore) Pte., Ltd. | CID001152 | Conformant | Low
Risk |

Field: Page; Sequence: 9

Field: /Page

| Metal | Smelter
Name | Smelter
ID | RMAP
Audit Status | Risk
Status |
| --- | --- | --- | --- | --- |
| 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 | Low
Risk |
| Tin | Mitsubishi
Materials Corporation | CID001191 | Conformant | Low
Risk |
| Tantalum | Mitsui
Mining and Smelting Co., Ltd. | CID001192 | Conformant | Low
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 | Low
Risk |
| Gold | Navoi
Mining and Metallurgical Combinat | CID001236 | Conformant | Low
Risk |
| Gold | Nihon
Material Co., Ltd. | CID001259 | Conformant | Low
Risk |
| Tantalum | Ningxia
Orient Tantalum Industry Co., Ltd. | CID001277 | Conformant | Low
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 | Low
Risk |
| Tin | PT
Babel Inti Perkasa | CID001402 | Conformant | Low
Risk |
| Tin | PT
Babel Surya Alam Lestari | CID001406 | Conformant | Low
Risk |
| Tin | PT
Belitung Industri Sejahtera | CID001421 | Active | Medium
Risk |
| Tin | PT
Bukit Timah | CID001428 | Conformant | Low
Risk |
| Tin | PT
Mitra Stania Prima | CID001453 | Conformant | Low
Risk |
| Tin | PT
Panca Mega Persada | CID001457 | In
Communication | Medium
Risk |
| Tin | PT
Prima Timah Utama | CID001458 | Conformant | Low
Risk |

Field: Page; Sequence: 10

Field: /Page

| Metal | Smelter
Name | Smelter
ID | RMAP
Audit Status | Risk
Status |
| --- | --- | --- | --- | --- |
| Tin | PT
Refined Bangka Tin | CID001460 | Conformant | Low
Risk |
| Tin | PT
Sariwiguna Binasentosa | CID001463 | Conformant | Low
Risk |
| Tin | PT
Stanindo Inti Perkasa | CID001468 | Conformant | Low
Risk |
| Tin | PT
Timah Tbk Kundur | CID001477 | Conformant | Low
Risk |
| Tin | PT
Timah Tbk Mentok | CID001482 | Conformant | Low
Risk |
| Tin | PT
Timah Nusantara | CID001486 | Active | Medium
Risk |
| Tin | PT
Tinindo Inter Nusa | CID001490 | Non
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 | Low
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 | Low
Risk |
| Gold | Sabin
Metal Corp. | CID001546 | Communication
Suspended - Not Interested | Medium
Risk |
| Gold | Samduck
Precious Metals | CID001555 | Non
Conformant | Medium
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 | Low
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 | Low
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 |

Field: Page; Sequence: 11

Field: /Page

Metal	Smelter Name	Smelter ID	RMAP Audit Status	Risk Status
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	Medium
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	Low
Risk
Gold	Yamakin
Co., Ltd.	CID002100	Conformant	Low
Risk
Gold	Yokohama
Metal Co., Ltd.	CID002129	Conformant	Low
Risk
Tin	Yunnan
Chengfeng Non-ferrous Metals Co., Ltd.	CID002158	Conformant	Low
Risk
Tin	Tin
Smelting Branch of Yunnan Tin Co., Ltd.	CID002180	Conformant	Low
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	In
Communication	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	Medium
Risk
Tungsten	Ganzhou
Jiangwu Ferrotungsten Co., Ltd.	CID002315	Conformant	Low
Risk
Tungsten	Jiangxi
Yaosheng Tungsten Co., Ltd.	CID002316	Conformant	Low
Risk
Tungsten	Jiangxi
Xinsheng Tungsten Industry Co., Ltd.	CID002317	Conformant	Low
Risk
Tungsten	Jiangxi
Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.	CID002318	Conformant	Low
Risk
Tungsten	Malipo
Haiyu Tungsten Co., Ltd.	CID002319	Conformant	Low
Risk
Tungsten	Xiamen
Tungsten (H.C.) Co., Ltd.	CID002320	Conformant	Low
Risk
Tungsten	Jiangxi
Gan Bei Tungsten Co., Ltd.	CID002321	Conformant	Low
Risk
Tin	CV
Venus Inti Perkasa	CID002455	Conformant	Low
Risk
Gold	Geib
Refining Corporation	CID002459	Conformant	Low
Risk

Field: Page; Sequence: 12

Field: /Page

Metal	Smelter Name	Smelter ID	RMAP Audit Status	Risk Status
Tin	Magnu's
Minerais Metais e Ligas Ltda.	CID002468	Conformant	Low
Risk
Tin	PT
Tirus Putra Mandiri	CID002478	In
Communication	Medium
Risk
Tantalum	Hengyang
King Xing Lifeng New Materials Co., Ltd.	CID002492	Conformant	Low
Risk
Tungsten	Ganzhou
Seadragon W & Mo Co., Ltd.	CID002494	Conformant	Low
Risk
Tin	Melt
Metais e Ligas S.A.	CID002500	Non
Conformant	Medium
Risk
Tungsten	Asia
Tungsten Products Vietnam Ltd.	CID002502	Conformant	Low
Risk
Tin	PT
ATD Makmur Mandiri Jaya	CID002503	Conformant	Low
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	Low
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	Medium
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	Low
Risk
Tantalum	TANIOBIS
Co., Ltd.	CID002544	Conformant	Low
Risk
Tantalum	TANIOBIS
GmbH	CID002545	Conformant	Low
Risk
Tantalum	Materion
Newton Inc.	CID002548	Conformant	Low
Risk
Tantalum	TANIOBIS
Japan Co., Ltd.	CID002549	Conformant	Low
Risk
Tantalum	TANIOBIS
Smelting GmbH & Co. KG	CID002550	Conformant	Low
Risk
Tungsten	Jiangwu
H.C. Starck Tungsten Products Co., Ltd.	CID002551	Conformant	Low
Risk
Tantalum	Global
Advanced Metals Boyertown	CID002557	Conformant	Low
Risk
Tantalum	Global
Advanced Metals Aizu	CID002558	Conformant	Low
Risk
Gold	Al
Etihad Gold Refinery DMCC	CID002560	Conformant	Low
Risk
Gold	Emirates
Gold DMCC	CID002561	Conformant	Low
Risk

Field: Page; Sequence: 13

Field: /Page

| Metal | Smelter Name | Smelter ID | RMAP Audit Status | Risk
Status |
| --- | --- | --- | --- | --- |
| Gold | International
Precious Metal Refiners | CID002562 | In
Communication | 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 | Ganzhou
Haichuang Tungsten Co., Ltd. | CID002645 | Conformant | Low
Risk |
| Tungsten | Hydrometallurg,
JSC | CID002649 | RMI
Due Diligence Review - Unable to Proceed | High
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 |
| Tin | Super
Ligas | CID002756 | Active | Low
Risk |
| Gold | SAAMP | CID002761 | Conformant | Low
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 | Low
Risk |
| Tungsten | Philippine
Chuangxin Industrial Co., Inc. | CID002827 | Conformant | Low
Risk |

Field: Page; Sequence: 14

Field: /Page

Metal	Smelter Name	Smelter ID	RMAP Audit Status	Risk Status
Tungsten	ACL
Metais Eireli	CID002833	Non
Conformant	Medium
Risk
Tin	PT
Menara Cipta Mulia	CID002835	Conformant	Low
Risk
Tantalum	Jiangxi
Tuohong New Raw Material	CID002842	Conformant	Low
Risk
Tungsten	Moliren
Ltd.	CID002845	RMI
Due Diligence Review - Unable to Proceed	High
Risk
Gold	AU
Traders and Refiners	CID002850	Non
Conformant	Medium
Risk
Gold	GGC
Gujrat Gold Centre Pvt. Ltd.	CID002852	Active	Medium
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	Conformant	Low
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	Safimet
S.p.A	CID002973	Non
Conformant	Medium
Risk
Tin	Guangdong
Hanhe Non-Ferrous Metal Co., Ltd.	CID003116	Conformant	Low
Risk
Gold	State
Research Institute Center for Physical Sciences and Technology	CID003153	Outreach
Required	Low
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	Low
Risk
Tin	PT
Bangka Serumpun	CID003205	Conformant	Low
Risk
Tin	Pongpipat
Company Limited	CID003208	Outreach
Required	Medium
Risk
Gold	QG
Refining, LLC	CID003324	Outreach
Required	Low
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	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	Low
Risk

Field: Page; Sequence: 15

Field: /Page

Metal	Smelter Name	Smelter ID	RMAP Audit Status	Risk Status
Tin	Yunnan
Yunfan Non-ferrous Metals Co., Ltd.	CID003397	Non
Conformant	Medium
Risk
Tungsten	Fujian
Ganmin RareMetal Co., Ltd.	CID003401	Conformant	Low
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	Non
Conformant	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	C.I
Metales Procesados Industriales SAS	CID003421	Active	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	Active	Medium
Risk
Gold	Kundan
Care Products Ltd.	CID003463	In
Communication	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	In
Communication	Medium
Risk
Gold	Emerald
Jewel Industry India Limited (Unit 2)	CID003488	In
Communication	Medium
Risk
Gold	Emerald
Jewel Industry India Limited (Unit 3)	CID003489	In
Communication	Medium
Risk
Gold	Emerald
Jewel Industry India Limited (Unit 4)	CID003490	In
Communication	Medium
Risk
Gold	K.A.
Rasmussen	CID003497	Outreach
Required	Low
Risk
Gold	Alexy
Metals	CID003500	Active	Low
Risk
Tin	CRM
Synergies	CID003524	Conformant	Low
Risk
Gold	Sancus
ZFS (L’Orfebre, SA)	CID003529	Conformant	Low
Risk
Gold	Sellem
Industries Ltd.	CID003540	Communication
Suspended - Not Interested	Medium
Risk
Gold	MD
Overseas	CID003548	In
Communication	Medium
Risk
Tungsten	Artek
LLC	CID003553	RMI
Due Diligence Review - Unable to Proceed	High
Risk

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Metal	Smelter Name	Smelter ID	RMAP Audit Status	Risk Status
Gold	Metallix
Refining Inc.	CID003557	In
Communication	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	Active	Low
Risk
Tin	PT
Cipta Persada Mulia	CID002696	Conformant	Low
Risk
Tungsten	LLC
Vostok	CID003643	RMI
Due Diligence Review - Unable to Proceed	High
Risk
Tin	CV
Ayi Jaya	CID002570	Conformant	Low
Risk
Tin	PT
Rajehan Ariq	CID002593	Conformant	Low
Risk
Tin	PT
Putera Sarana Shakti (PT PSS)	CID003868	Conformant	Low
Risk
Tin	PT
Bangka Tin Industry	CID001419	In
Communication	Medium
Risk
Tin	PT
Bangka Prima Tin	CID002776	Conformant	Low
Risk
Gold	Gold
by Gold Colombia	CID003641	Conformant	Low
Risk
Tin	PT
Premium Tin Indonesia	CID000313	Conformant	Low
Risk
Gold	Shenzhen
CuiLu Gold Co., Ltd.	CID002750	Outreach
Required	Medium
Risk
Gold	Albino
Mountinho Lda.	CID002760	Outreach
Required	Low
Risk
Gold	ABC
Refinery Pty Ltd.	CID002920	Outreach
Required	Low
Risk
Tungsten	YUDU
ANSHENG TUNGSTEN CO., LTD.	CID003662	Outreach
Required	Medium
Risk
Gold	Dongwu
Gold Group	CID003663	Outreach
Required	Medium
Risk
Tin	DS
Myanmar	CID003831	Conformant	Low
Risk
Tantalum	5D
Production OU	CID003926	Outreach
Required	Low
Risk
Tungsten	HANNAE
FOR T Co., Ltd.	CID003978	Outreach
Required	Medium
Risk

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