Exhibit 1.01
CNH Industrial N.V.
Conflict Minerals Report
For The Year Ended December 31, 2024
| I. | Introduction and Company Overview |
This report has been prepared by CNH Industrial N.V. pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934 (the “Exchange Act”). References to internet websites herein are provided only as required by the Rule and information available through these websites is not incorporated by reference into this Form SD. Unless otherwise specified, the terms “we,” “us,” “our,” “CNH,” and the “Company” refer to CNH Industrial N.V., a public limited liability company (naamloze vennootschap) organized under the laws of the Netherlands, together with its consolidated subsidiaries or any one or more of them, as the context may require.
With 2024 net sales of $19.8 billion, CNH is a leading global equipment company that designs, produces and sells agricultural and construction equipment. In addition, CNH’s Financial Services segment offers an array of financial products and services, including retail and wholesale financing. CNH’s global network includes industrial, commercial and financial services subsidiaries located in 31 countries and a commercial presence in approximately 167 countries. CNH’s Agriculture segment designs, engineers, manufactures, distributes and services a full line of agriculture equipment, implements and precision agriculture solutions. The Agriculture segment also supports customers throughout the equipment lifecycle with aftermarket solutions including guidance, automated steering systems, and application control products across a full line of equipment. Agriculture’s product lines include tractors, combine harvesters, hay and forage equipment, seeding and planting equipment, and self-propelled sprayers. The Construction segment designs, manufactures and distributes a full line of construction equipment including excavators, crawler dozers, graders, wheel loaders, backhoe loaders, skid steer loaders, and compact track loaders along with a wide variety of attachments. Tin, tantalum, tungsten and gold (“3TG”) can be found in all of CNH Industrial’s products.
Our products are highly complex, typically containing thousands of parts from many direct suppliers. We have relationships with a vast network of suppliers throughout the world. Many of our suppliers are located outside the United States and include foreign entities that are not subject to the Rule. In addition, there are generally multiple tiers between the 3TG mines and our suppliers. Therefore, we must rely on our direct suppliers to work with their suppliers to provide us with accurate information on the origin of the 3TG contained in components and materials purchased by us.
| II. | Reasonable Country of Origin Inquiry (“RCOI”) |
We conducted an inquiry of our suppliers to determine the country of origin of the components provided to CNH Industrial. Our RCOI comprised identification of relevant suppliers and a survey of those suppliers.
Because of the scope and complexity of our supply chain, we developed a risk-based approach that focused on our major direct suppliers as well as direct suppliers that we believed were likely to provide us with components containing 3TG (collectively, the “Surveyed Suppliers”). Surveyed Suppliers represented approximately 83% of the purchases (by dollar value) that we made for goods from suppliers. For 2024, we received responses from more than 74% of our Surveyed Suppliers equaling 468 total responses.
We requested that all Surveyed Suppliers provide information to us regarding 3TG and smelters using the template developed by the Responsible Minerals Initiative (“RMI”), known as the Conflict Minerals Reporting Template (the “Template”). The Template is a free, standardized reporting template that facilitates disclosure and communication of information regarding smelters and refiners that provide 3TG to a manufacturer’s supply chain. It includes questions regarding a direct supplier’s conflict-free policy and its due diligence process, and requests information about its supply chain such as the names and locations of smelters and refiners as well as the origin of 3TG used by such smelters and refiners. The information we receive is submitted into an electronic database to facilitate information analysis.
| III. | Design of Due Diligence Framework |
Pursuant to the Rule, we undertook due diligence efforts on the source and country of origin of 3TG in our supply chain. The Rule requires that a registrant’s due diligence follow a nationally or internationally recognized due diligence framework. Presently, the only nationally or internationally recognized due diligence framework available is the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related Supplements for each of the conflict minerals (the “OECD Guidance”). The OECD Guidance is a framework for risk-based due diligence for responsible supply chains of conflict minerals from conflict-affected and high-risk areas that is described in the five-steps noted in Section IV below.
CNH Industrial designed its due diligence measures to be in conformity, in all material respects, with the OECD Guidance.
| IV. | Due Diligence Performed |
This Section IV describes measures performed by us to exercise due diligence on the source and chain of custody on the 3TG contained in our products.
OECD Step 1. Establish Strong Company Management Systems
Conflict Minerals Policy
CNHI Industrial has implemented a compliance program and a Conflict Minerals Policy intended to promote the responsible sourcing of 3TG from the Democratic Republic of the Congo and adjoining countries (the “Covered Countries”), where revenues from the extraction of these natural resources have historically funded armed conflict and human rights abuses. Our conflict minerals policy is publicly available on our website at https://www.cnh.com/-/media/CNHi/cnhicorporate/Governance/corporate_governance/sustainability_guidelines/CNH_Industrial_Conflict_Minerals_Policy_2015.pdf?rev=-1
Internal Team
We have established a management system to support supply chain due diligence related to goods that may contain 3TG. Our management system includes a cross-functional executive steering committee (the “Steering Committee”) sponsored by senior legal and compliance staff, and a team of subject matter experts from functions such as purchasing, sustainability and research and development. The next level of the management system is a team of subject matter experts (“CM Team”) from relevant functions within the Company, including procurement, quality, product safety, internal audit, and legal. The CM Team is responsible for implementing the Company’s due diligence procedures.
Control Systems
We do not have a direct relationship with 3TG smelters and refiners; therefore, we rely on our direct suppliers to provide information on the origin of the 3TG contained in the components and materials supplied to us. We are a member of RMI (RMI Member Code: CNHI). RMI is an initiative developed to identify and disclose upstream actors in the supply chain, including 3TG smelters and refiners. RMI program initiatives include the Responsible Minerals Assurance Process (“RMAP”), which identifies smelters and refiners that source minerals in conformance with RMAP, and the Template. We use the Template in our RCOI and RMAP data and information in our identification and assessment of risks in the supply chain. The control systems that we have in place include, but are not limited to, a dedicated email address for conflict minerals information, supplier retention response through our third-party software tool and a smelter outreach program through RMI.
Exhibit 1.01-2
Supplier Engagement
We have provided the Surveyed Suppliers with instructions for responding to the Template and how to access our third-party software tool. Surveyed Suppliers also have access to a conflict minerals compliance e-mail address, monitored by a member of the Conflict Minerals working group, which Surveyed Suppliers could use to seek assistance in interpreting and completing the Template. Our standard purchase order terms and conditions and purchase agreements require our suppliers to provide us with supporting information and documentation evidencing due diligence of 3TG in their respective supply chains. We have adopted and made available to our suppliers a Supplier Code of Conduct that requires, among other things, all suppliers to exercise due diligence, in accordance with the OECD Guidance on its entire supply chain with respect to the sourcing of all 3TG to determine whether those metals are from the Covered Countries and, if so, to determine whether those metals directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the Covered Countries.
Grievance Mechanism
We have processes to collect and act on concerns expressed by employees and others about possible improper or unethical business practices, violations of company policies (including our Code of Conduct, the Supplier Code of Conduct and Conflict Minerals Policy) or applicable laws. This grievance mechanism is described in our Conflict Minerals Policy.
OECD Step 2. Identify and Assess Risks in the Supply Chain
Our method for determining the country of origin of 3TG contained in our products was to conduct a supply-chain survey with Surveyed Suppliers using the Template. We have implemented a third-party software solution to collect and manage supplier CMRT data. We use this third-party solution to analyze the CMRT data provided by suppliers, aggregate the supplier CMRT data for our reporting, and follow up with any supplier whose CMRT data we identified to contain incomplete or potentially inaccurate data. We rely on our suppliers to provide information on the origin of 3TG contained in the components and materials supplied to us. These suppliers are similarly reliant upon information provided by their suppliers. Smelters and refiners identified by a supplier in response to our supply-chain survey are compared against the RMI list to identify and assist in assessing the risk that the 3TG used in our products may have originated in the Covered Countries.
OECD Step 3. Design and Implement a Strategy to Respond to Identified Risks
The Steering Committee is periodically briefed about our due diligence efforts. The executive officer signing this report is briefed on our conflict minerals compliance program.
Suppliers are required to adhere to our Supplier Code of Conduct that requires, among other things, all suppliers to exercise due diligence, in accordance with the OECD Guidance, on its entire supply chain with respect to the sourcing of all 3TG to determine whether those metals are from the Covered Countries and, if so, to determine whether those metals directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the Covered Countries.
We have an internal escalation process for following up with unresponsive suppliers to increase the response rate, and we follow-up with the Surveyed Suppliers that provide incomplete or inconsistent responses. Finally, we follow up with Surveyed Suppliers who listed non-compliant smelters or refiners in their CMRT.
OECD Step 4. Carry Out Independent Third-Party Audit of Supply Chain Due Diligence At Identified Points In The Supply Chain
We support audits of 3TG smelters and refiners conducted by third parties through our membership in RMI. RMI developed the RMAP, which uses an independent third-party audit to identify smelters and refiners that have management systems and sourcing practices in place to conform with RMAP protocols and global standards.
Exhibit 1.01-3
OECD Step 5. Report Annually on Supply Chain Due Diligence
This Conflict Minerals Report constitutes our annual report on our 3TG due diligence, is available on our website https://www.cnh.com/en-US/Investor-Relations/financial_information/sec_filings and is filed with the United States Securities and Exchange Commission.
| V. | Due Diligence Results: |
Survey Responses
We reviewed the Surveyed Supplier responses, including those not provided on the Template, to determine whether further engagement was necessary. When reviewing the Surveyed Supplier responses, we focused on incomplete responses as well as inconsistencies within the data reported by those suppliers. We worked directly with such suppliers in an effort to secure revised responses.
The Company relies on its suppliers to provide information on the origin of conflict minerals contained in the material supplied to the Company. In turn, those suppliers are reliant on the information supplied by their suppliers. The vast majority of the responses received provided data only with respect to the supplier’s overall 3TG sourcing, without specifying if the 3TG was used in the specific goods supplied to us. Consequently, we cannot be certain that the smelters or refiners identified by the vast majority of our Surveyed Suppliers supplied 3TG to us rather than to other customers of that Surveyed Supplier.
A minority of responses listed specific smelters or refiners. Such responses collectively identified 333 unique facilities as identified by the RMI, of which 234 were included on the RMAP Conformant Smelters and Refiners List. We also identified 2 smelters that may be sourcing from the Covered Countries and may not have been from recycled or scrap resources. These two processing facilities have been validated as compliant with RMAP protocols. Please see Attachment A for a list of smelters and refiners reported to us by the Surveyed Suppliers that listed specific smelters or refiners. The smelters or refiners listed in Attachment A may have processed the 3TG necessary for our products, but we do not have sufficient information to establish a direct link between our products and the smelters or refiners listed in Attachment A.
| VI. | Efforts to Determine Mine or Location of Origin |
We requested our suppliers complete the Template, which includes questions regarding the locations of smelters and refiners or origin for the minerals. When a supplier cannot directly obtain information beyond smelter or refiner name, we consult the RMI to determine the country of origin and whether the smelter or refiner has been validated as RMAP conformant.
| VII. | Steps To Be Taken to Mitigate Risk |
Going forward, we intend to build on our efforts and continue working with our suppliers to improve the quality of the information provided. To the extent that we are able to influence the sourcing decisions of our direct suppliers, we intend to encourage these suppliers to source Conflict Minerals from smelters and refiners that have been determined by RMI to conform to the RMAP or an equivalent third-party audit program. As we enter into new, long-term supply agreements with these direct suppliers, we will continue to incorporate terms that obligate our direct suppliers to provide information in sufficient detail to enable us to comply with our due diligence and disclosure requirements under the Rule. We will also provide our direct suppliers with additional instructions regarding our third-party software tool, and we will continue to work with our direct suppliers to educate them about the Rule and our Conflict Minerals Policy. We also intend to continue to participate in RMI meetings in order to gather best practices and collaborate with industry peers.
Exhibit 1.01-4
Caution Concerning Forward-Looking Statements
Certain statements in this report may be “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 and Section 21E of the Securities Exchange Act of 1934. These statements may include terminology such as “may”, “will”, “expect”, “could”, “should”, “intend”, “estimate”, “anticipate”, “believe”, “outlook”, “continue”, “remain”, “on track”, “design”, “target”, “objective”, “goal”, “forecast”, “projection”, “prospects”, “plan”, or similar terminology. Forward-looking statements are not guarantees of future performance. Rather, they are based on current views and assumptions and involve known and unknown risks, uncertainties and other factors, many of which are outside our control and are difficult to predict. If any of these risks and uncertainties materialize or other assumptions underlying any of the forward-looking statements prove to be incorrect, the actual results or developments may differ materially from any future results or developments expressed or implied by the forward-looking statements. Actual results could differ materially from those anticipated in such forward-looking statements. Forward-looking statements speak only as of the date on which such statements are made, and we undertake no obligation to update or revise publicly any forward-looking statements.
Exhibit 1.01-5
Attachment A
The processing facilities listed in the table below represent the smelters and refiners provided by the Surveyed Suppliers that provided a list of smelters or refiners.* The smelters or refiners may have processed the 3TG necessary for our products, but we do not have sufficient information to determine with certainty that is the case. Additionally, we are unable to conclusively determine the country-of-origin information for our necessary 3TG, but based on the data gathered from RMI, we believe that the sources may include the countries listed following the table.
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Gold | 8853 S.p.A. | ITALY | Non Conformant | |||
| Gold | ABC Refinery Pty Ltd. | AUSTRALIA | Outreach Required | |||
| Gold | Asahi Pretec Corp. | JAPAN | Conformant | |||
| Gold | AU Traders and Refiners | SOUTH AFRICA | Non Conformant | |||
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Agosi AG | GERMANY | Conformant | |||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conformant | |||
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | Non Conformant | |||
| Gold | Albino Mountinho Lda. | PORTUGAL | Outreach Required | |||
| Gold | Alexy Metals | UNITED STATES OF AMERICA | Non Conformant | |||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Conformant† | |||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Conformant | |||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | Conformant | |||
| Gold | Asahi Refining Canada Ltd. | CANADA | Conformant | |||
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Asaka Riken Co., Ltd. | JAPAN | Conformant | |||
| Gold | Attero Recycling Pvt Ltd | INDIA | Outreach Required | |||
| Gold | Augmont Enterprises Private Limited | INDIA | Non Conformant |
| * | Processing facility name and location as reported by the Responsible Minerals Initiative (RMI) Country of Origin for the Conflict Minerals processed by the facilities listed above may include: |
Andorra, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Czechia, Estonia, France, Germany, Ghana, India, Indonesia, Italy, Japan, Kazakhstan, Korea (Republic Of), Lithuania, Malaysia, Mexico, Myanmar, Netherlands, New Zealand, Norway, Peru, Philippines, Poland, Portugal, Rwanda, Saudi Arabia, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan (Province Of China), Tanzania, United Republic of, Thailand, Turkey, United Arab Emirates, United States Of America, Uzbekistan, Vietnam
| † | Assessment Status under RMI definitions (see https://www.responsiblemineralsinitiative.org/facility-links/database-field-definitions/) |
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Gold | Aurubis AG | GERMANY | Conformant | |||
| Gold | Bangalore Refinery | INDIA | Active | |||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Conformant | |||
| Gold | Boliden Ronnskar | SWEDEN | Conformant | |||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | Conformant | |||
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant | |||
| Gold | CGR Metalloys Pvt Ltd. | INDIA | Outreach Required | |||
| Gold | Caridad | MEXICO | Outreach Required | |||
| Gold | Cendres + Metaux S.A. | SWITZERLAND | Non Conformant | |||
| Gold | Chimet S.p.A. | ITALY | Conformant | |||
| Gold | Chugai Mining | JAPAN | Conformant | |||
| Gold | Coimpa Industrial LTDA | BRAZIL | Conformant | |||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | Conformant | |||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | Outreach required | |||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | Outreach Required | |||
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | Outreach Required | |||
| Gold | Dongwu Gold Group | CHINA | Outreach Required | |||
| Gold | Dowa | JAPAN | Conformant | |||
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | Conformant | |||
| Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | Conformant | |||
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | Conformant | |||
| Gold | Elite Industech Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant | |||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | Outreach required | |||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | Outreach required | |||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | Outreach required | |||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | Outreach required | |||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Non Conformant | |||
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | Outreach Required | |||
| Gold | GG Refinery Ltd. | TANZANIA, UNITED REPUBLIC OF | Conformant | |||
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | Non Conformant | |||
| Gold | Gold Coast Refinery | GHANA | Outreach Required | |||
| Gold | Gold by Gold Colombia | COLOMBIA | Conformant | |||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | Outreach Required | |||
| Gold | Guangdong Jinding Gold Limited | CHINA | Outreach Required |
A-2
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Heimerle + Meule GmbH | GERMANY | Conformant | |||
| Gold | Heraeus Germany GmbH Co. KG | GERMANY | Conformant | |||
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Conformant | |||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | Outreach Required | |||
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | Communication Suspended - Not Interested | |||
| Gold | Impala Refineries ? Base Metals Refinery (BMR) | SOUTH AFRICA | Conformant | |||
| Gold | Impala Refineries ? Platinum Metals Refinery (PMR) | SOUTH AFRICA | Conformant | |||
| Gold | Impala Rustenburg | SOUTH AFRICA | Conformant | |||
| Gold | Inca One (Chala One Plant) | PERU | Non Conformant | |||
| Gold | Inca One (Koricancha Plant) | PERU | Non Conformant | |||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Conformant | |||
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | Outreach required | |||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conformant | |||
| Gold | Istanbul Gold Refinery | TURKEY | Conformant | |||
| Gold | Italpreziosi | ITALY | Conformant | |||
| Gold | JALAN & Company | INDIA | Outreach Required | |||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conformant | |||
| Gold | Japan Mint | JAPAN | Conformant | |||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | Conformant | |||
| Gold | K.A. Rasmussen | NORWAY | Outreach Required | |||
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | Conformant | |||
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | RMI Due Diligence Review - Unable to Proceed | |||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | Outreach required | |||
| Gold | Kazzinc | KAZAKHSTAN | Conformant | |||
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conformant | |||
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | Conformant | |||
| Gold | Kundan Care Products Ltd. | INDIA | Outreach required | |||
| Gold | L’Orfebre S.A. | ANDORRA | Non Conformant | |||
| Gold | L’azurde Company For Jewelry | SAUDI ARABIA | RMI Due Diligence Review - Unable to Proceed |
A-3
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Gold | LS MnM Inc. | KOREA, REPUBLIC OF | Conformant | |||
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | Conformant | |||
| Gold | Lingbao Gold Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Outreach Required | |||
| Gold | MD Overseas | INDIA | Outreach required | |||
| Gold | MKS PAMP SA | SWITZERLAND | Conformant | |||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Conformant | |||
| Gold | Materion | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant | |||
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | Conformant | |||
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | Outreach required | |||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conformant | |||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conformant | |||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Conformant | |||
| Gold | Metalor Technologies S.A. | SWITZERLAND | Conformant | |||
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Conformant | |||
| Gold | Mitsubishi Materials Corporation | JAPAN | Conformant | |||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant | |||
| Gold | Modeltech Sdn Bhd | MALAYSIA | Non Conformant | |||
| Gold | Morris and Watson | NEW ZEALAND | Outreach required | |||
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | Conformant | |||
| Gold | NOBLE METAL SERVICES | UNITED STATES OF AMERICA | Outreach required | |||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conformant | |||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | Conformant | |||
| Gold | Nihon Material Co., Ltd. | JAPAN | Conformant | |||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Active | |||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conformant | |||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conformant | |||
| Gold | PX Precinox S.A. | SWITZERLAND | Conformant | |||
| Gold | Pease & Curren | UNITED STATES OF AMERICA | Communication Suspended - Not Interested | |||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Planta Recuperadora de Metales SpA | CHILE | Conformant |
A-4
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | Outreach Required | |||
| Gold | REMONDIS PMR B.V. | NETHERLANDS | Conformant | |||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conformant | |||
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Royal Canadian Mint | CANADA | Conformant | |||
| Gold | SAAMP | FRANCE | Non Conformant | |||
| Gold | SAFINA A.S. | CZECHIA | Conformant | |||
| Gold | Sam Precious Metals | UNITED ARAB EMIRATES | In Communication | |||
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Conformant | |||
| Gold | SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD. | CHINA | Outreach Required | |||
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | Communication Suspended - Not Interested | |||
| Gold | Safimet S.p.A | ITALY | Non Conformant | |||
| Gold | Sai Refinery | INDIA | Outreach Required | |||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | Non Conformant | |||
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | Communication Suspended—Not Interested | |||
| Gold | Shandong Gold Smelting Co., Ltd. | CHINA | Conformant | |||
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conformant | |||
| Gold | Shenzhen CuiLu Gold Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Shirpur Gold Refinery Ltd. | INDIA | Outreach Required | |||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Conformant | |||
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Non Conformant | |||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant | |||
| Gold | Sovereign Metals | INDIA | Outreach Required | |||
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | Outreach Required | |||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant | |||
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
A-5
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Outreach Required | |||
| Gold | T.C.A S.p.A | ITALY | Conformant | |||
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Conformant | |||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conformant | |||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conformant | |||
| Gold | Torecom | KOREA, REPUBLIC OF | Non Conformant | |||
| Gold | Umicore Precious Metals Thailand | THAILAND | Non Conformant | |||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Conformant | |||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | Conformant | |||
| Gold | Valcambi S.A. | SWITZERLAND | Conformant | |||
| Gold | WEEEREFINING | FRANCE | Conformant | |||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | Conformant | |||
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Conformant | |||
| Gold | Yamakin Co., Ltd. | JAPAN | Conformant | |||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | Conformant | |||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Outreach Required | |||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conformant | |||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Conformant | |||
| Tin | Alpha | UNITED STATES OF AMERICA | Conformant | |||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIETNAM | Outreach Required | |||
| Tin | Aurubis Beerse | BELGIUM | Conformant | |||
| Tin | Aurubis Berango | SPAIN | Conformant | |||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | Conformant | |||
| Tin | CRM Synergies | SPAIN | Conformant | |||
| Tin | CV Ayi Jaya | INDONESIA | Conformant | |||
| Tin | CV Venus Inti Perkasa | INDONESIA | Conformant | |||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant | |||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | Conformant | |||
| Tin | China Tin Group Co., Ltd. | CHINA | Conformant | |||
| Tin | DS Myanmar | MYANMAR | Conformant | |||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | Non Conformant | |||
| Tin | Dowa | JAPAN | Conformant |
A-6
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | Conformant | |||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIETNAM | Non Conformant | |||
| Tin | Estanho de Rondonia S.A. | BRAZIL | Conformant | |||
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | Non Conformant | |||
| Tin | Fenix Metals | POLAND | Conformant | |||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | Outreach Required | |||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Non Conformant | |||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conformant | |||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Non Conformant | |||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Non Conformant | |||
| Tin | Global Advanced Metals Greenbushes Pty Ltd. | AUSTRALIA | Conformant | |||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant | |||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | Conformant | |||
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant | |||
| Tin | Longnan Chuangyue Environmental Protection Technology Development Co., Ltd | CHINA | Outreach Required | |||
| Tin | Luna Smelter, Ltd. | RWANDA | Conformant | |||
| Tin | Ma’anshan Weitai Tin Co., Ltd. | CHINA | Non Conformant | |||
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | Conformant | |||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conformant | |||
| Tin | Malaysia Smelting Corporation Berhad (Port Klang) | MALAYSIA | Conformant | |||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | Active | |||
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | Conformant | |||
| Tin | Mineracao Taboca S.A. | BRAZIL | Conformant | |||
| Tin | Mining Minerals Resources SARL | CONGO, DEMOCRATIC REPUBLIC OF THE | Conformant | |||
| Tin | Minsur | PERU | Conformant | |||
| Tin | Mitsubishi Materials Corporation | JAPAN | Conformant | |||
| Tin | Modeltech Sdn Bhd | MALAYSIA | Non Conformant | |||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Conformant | |||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Conformant | |||
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | Conformant | |||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant | |||
| Tin | PT Aries Kencana Sejahtera | INDONESIA | Conformant | |||
| Tin | PT Artha Cipta Langgeng | INDONESIA | Conformant | |||
| Tin | PT Babel Inti Perkasa | INDONESIA | Conformant |
A-7
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Tin | PT Babel Surya Alam Lestari | INDONESIA | Conformant | |||
| Tin | PT Bangka Prima Tin | INDONESIA | Conformant | |||
| Tin | PT Bangka Serumpun | INDONESIA | Conformant | |||
| Tin | PT Bangka Tin Industry | INDONESIA | Conformant | |||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | Conformant | |||
| Tin | PT Bukit Timah | INDONESIA | Conformant | |||
| Tin | PT Cipta Persada Mulia | INDONESIA | Conformant | |||
| Tin | PT Menara Cipta Mulia | INDONESIA | Conformant | |||
| Tin | PT Mitra Stania Prima | INDONESIA | Conformant | |||
| Tin | PT Mitra Sukses Globalindo | INDONESIA | Conformant | |||
| Tin | PT Premium Tin Indonesia | INDONESIA | Conformant | |||
| Tin | PT Prima Timah Utama | INDONESIA | Conformant | |||
| Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | Conformant | |||
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | Conformant | |||
| Tin | PT Rajehan Ariq | INDONESIA | Conformant | |||
| Tin | PT Refined Bangka Tin | INDONESIA | Conformant | |||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | Conformant | |||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | Conformant | |||
| Tin | PT Sukses Inti Makmur (SIM) | INDONESIA | Conformant | |||
| Tin | PT Timah Nusantara | INDONESIA | Conformant | |||
| Tin | PT Timah Tbk Kundur | INDONESIA | Conformant | |||
| Tin | PT Timah Tbk Mentok | INDONESIA | Conformant | |||
| Tin | PT Tinindo Inter Nusa | INDONESIA | Conformant | |||
| Tin | PT Tommy Utama | INDONESIA | Conformant | |||
| Tin | RIKAYAA GREENTECH PRIVATE LIMITED | INDIA | Outreach required | |||
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant | |||
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant | |||
| Tin | Super Ligas | BRAZIL | Conformant | |||
| Tin | Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. | JAPAN | Conformant | |||
| Tin | Thaisarco | THAILAND | Conformant | |||
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | Conformant | |||
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | Conformant | |||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIETNAM | Outreach Required | |||
| Tin | VQB Mineral and Trading Group JSC | VIETNAM | Outreach Required | |||
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant | |||
| Tin | Woodcross Smelting Company Limited | Conformant | ||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
A-8
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | Conformant | |||
| Tantalum | 5D Production OU | ESTONIA | Outreach Required | |||
| Tantalum | AMG Brasil | BRAZIL | Conformant | |||
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | Conformant | |||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | Conformant | |||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | Conformant | |||
| Tantalum | Global Advanced Metals Aizu | JAPAN | Conformant | |||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | Conformant | |||
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | Conformant | |||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conformant | |||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Conformant | |||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Conformant | |||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conformant | |||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conformant | |||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Conformant | |||
| Tantalum | KEMET de Mexico | MEXICO | Conformant | |||
| Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA | Conformant | |||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conformant | |||
| Tantalum | Mineracao Taboca S.A. | BRAZIL | Conformant | |||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant | |||
| Tantalum | NPM Silmet AS | ESTONIA | Conformant | |||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conformant | |||
| Tantalum | PowerX Ltd. | RWANDA | Conformant | |||
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | Conformant | |||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | Conformant | |||
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Conformant | |||
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | Conformant | |||
| Tantalum | TANIOBIS GmbH | GERMANY | Conformant | |||
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | Conformant | |||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant | |||
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | Conformant | |||
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | Conformant | |||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conformant | |||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | Conformant | |||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | Conformant |
A-9
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant | |||
| Tungsten | A.L.M.T. Corp. | JAPAN | Conformant | |||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIETNAM | Conformant | |||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Outreach Required | |||
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Cronimet Brasil Ltda | BRAZIL | Conformant | |||
| Tungsten | DONGKUK INDUSTRIES CO., LTD. | KOREA, REPUBLIC OF | Outreach Required | |||
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Global Tungsten & Powders LLC | UNITED STATES OF AMERICA | Conformant | |||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant | |||
| Tungsten | HANNAE FOR T Co., Ltd. | KOREA, REPUBLIC OF | Outreach Required | |||
| Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | Non Conformant | |||
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | Conformant | |||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conformant | |||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | CHINA | Communication Suspended – Not Interested | |||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Kenee Mining Corporation Vietnam | VIETNAM | Conformant | |||
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | Conformant | |||
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | Conformant | |||
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant | |||
| Tungsten | Lianyou Resources Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant | |||
| Tungsten | MALAMET SMELTING SDN. BHD. | MALAYSIA | Outreach Required | |||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Conformant |
A-10
| Metal |
Smelter |
Smelter Country |
RMI Assessment Status† | |||
| Tungsten | Masan High-Tech Materials | VIETNAM | Conformant | |||
| Tungsten | Nam Viet Cromit Joint Stock Company | VIETNAM | Outreach Required | |||
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | Conformant | |||
| Tungsten | Philippine Bonway Manufacturing Industrial Corporation | PHILIPPINES | Conformant | |||
| Tungsten | Philippine Carreytech Metal Corp. | PHILIPPINES | Active | |||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant | |||
| Tungsten | Shinwon Tungsten (Fujian Shanghang) Co., Ltd. | CHINA | Conformant | |||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant | |||
| Tungsten | Tungsten Vietnam Joint Stock Company | VIETNAM | Conformant | |||
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant | |||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant | |||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conformant | |||
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CHINA | Outreach Required |
A-11