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.
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 ____________. |
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. |
| 2 |
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 22, 2023 |
By: | /s/ Jerome P. Maironi | |
| Jerome P. Maironi | |||
| Senior Vice President, General Counsel and | |||
| Corporate Secretary | |||
| 3 |
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
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).
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 |
| 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
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
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
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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |