Form SD - Specialized disclosure report

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM SD

Specialized Disclosure Report




(Exact name of registrant as specified in its charter)

Delaware	001-13646	13-3250533

(State or other jurisdiction of incorporation)	(Commission File Number)	(I.R.S. Employer Identification No.)

3501 County Road 6 East, Elkhart, Indiana		46514

(Address of principal executive offices)		(Zip Code)


	Andrew J. Namenye
	(574) 535-1125

(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:

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

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

SECTION 1 - CONFLICT MINERALS DISCLOSURE

Item 1.01 Conflict Minerals Disclosure and Report

In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, LCI Industries (the “Company”) has undertaken efforts to determine its conflict minerals 1 reporting requirements for the period from January 1 to December 31, 2023.

The Company has filed this Specialized Disclosure Report, and the associated Conflict Minerals Report for the reporting period January 1 to December 31, 2023, which appears as Exhibit 1.01 hereto, and is publicly available on the Company’s website at https://investors.lci1.com/governance/governance-documents/default.aspx. However, the information on the Company’s website is not incorporated by reference into this Specialized Disclosure Report and does not constitute a part of this Specialized Disclosure Report.

Item 1.02 Exhibit

The Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto.

SECTION 2 - RESOURCE EXTRACTION ISSUER DISCLOSURE

Item 2.01 Resource Extraction Disclosure and Report

Not applicable

SECTION 3 - EXHIBITS

Item 3.01 Exhibits

The following exhibit is filed as part of this report:

Exhibit 1.01 - LCI Industries’ Conflict Minerals Report for the period January 1 to December 31, 2023.

1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.

SIGNATURES

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


LCI INDUSTRIES


By: /s/ Andrew J. Namenye Andrew J. Namenye Executive Vice President - Chief Legal Officer, and Corporate Secretary

Dated:			May 31, 2024

Exhibit 1.01

CONFLICT MINERALS REPORT OF

LCI INDUSTRIES

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2023

Introduction

This is the Conflict Minerals 1 Report of LCI Industries (“we,” “our,” “us,” or the “Company”) prepared for calendar year 2023 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and SEC Release No. 34-67716 (August 22, 2012) under the Act (the “Adopting Release”). The reader is referred to these sources for the definitions of defined terms contained herein.

In accordance with Rule 13p-1, we undertook efforts to determine the presence and source of the conflict minerals within our products. The Company designed its efforts in conformity with the internationally recognized due diligence framework set forth in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk Areas 2 (“OECD Due Diligence Guidance”) and related Supplements.

The statements below are based on the activities performed to date in good faith by the Company and are based on the infrastructure and information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving identification of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other issues.

2 OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en

Exhibit 1.01

Overview

Company Profile

The Company, through its wholly-owned subsidiary, Lippert Components, Inc. and its subsidiaries (collectively, “Lippert Components” or “LCI”), supplies, domestically and internationally, a broad array of engineered components for the leading original equipment manufacturers (“OEMs”) in the recreation and transportation product markets, consisting of recreational vehicles (“RVs”) and adjacent industries including buses; trailers used to haul boats, livestock, equipment, and other cargo; trucks; boats; trains; manufactured homes; and modular housing. The Company also supplies engineered components to the related aftermarkets of these industries, primarily by selling to retail dealers, wholesale distributors, and service centers.

We are subject to this rule as we have determined that, during 2023, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the DRC or adjoining countries. To assist in our conflict minerals reporting, we hired a third-party service provider, Assent Compliance, to assist our efforts for the products covered by this report.

Conflict Minerals Policy

The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company’s commitment to complying with the reporting and due diligence obligations required by the SEC rule and the Company’s expectations from its suppliers. The policy resides on our corporate website at https://investors.lci1.com/governance/governance-documents/default.aspx.

Product Description; Processing Facilities

Product Description - LCI’s products that fall in scope of the Rule, as they contain (or may contain) one or more of the 3TGs include: steel chassis and related components; axles and suspension solutions; slide-out mechanisms and solutions; thermoformed bath, kitchen, and other products; vinyl, aluminum, and frameless windows; manual, electric, and hydraulic stabilizer and leveling systems; entry, luggage, patio, and ramp doors; furniture and mattresses; electric and manual entry steps; awnings and awning accessories; electronic components; appliances; televisions and sound systems; navigation systems; backup cameras; and other accessories.

Processing Facilities - Based on our due diligence process and the information received from our suppliers, the following facilities were identified by the Company’s suppliers as the SORs of the tin, tantalum, tungsten, and/or gold present in and necessary to the functionality of products manufactured by the Company in the calendar year ended December 31, 2023. The information from our suppliers is still evolving and may contain company-level declarations. As such, this smelter list is presented in good faith as the best information we have to date. This list may contain SORs that are not in our supply chain and/or there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from Responsible Minerals Initiative (“RMI”), the London Bullion Market Association (“LBMA”), and the Responsible Jewelry Council (“RJC”) improves. See Appendix A for a list of SORs identified through the RCOI process.

Reasonable Country of Origin Inquiry Information

To determine whether necessary 3TGs in products originated in Covered Countries, LCI retained Assent Compliance (“Assent”), a third-party service provider, to assist us in reviewing the supply chain in identifying risks. The Company provided a list composed of suppliers and parts associated with the in-scope products to Assent for upload to the Assent Sustainability Manager (“ASM”).

To collect data on the materials’ sources of origin procured by the supply chain, LCI utilized the Conflict Minerals Reporting Template (“CMRT”) version 6.31 to conduct a survey of all in-scope suppliers. During the supplier survey, the Company contacted suppliers via the ASM, a platform provided by Assent that enables users to complete and track supplier communications and allows suppliers to upload completed CMRTs directly to the platform for validation, assessment and management. The ASM also provides functionality that meets the OECD Guidance process expectations by evaluating the quality of each supplier response and assigning a health score based on the supplier’s declaration of process engagement. Additionally, the metrics provided in this report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations performed, are managed through this platform.

Via the ASM and Assent team, the Company requested that all suppliers complete a CMRT. Training and education to guide suppliers on best practices and the use of this template was included. Assent monitored and tracked all communications in the ASM for future reporting and transparency. The Company directly contacted the suppliers that were unresponsive to Assent’s communications during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.

Exhibit 1.01

The Company’s program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. This data validation is based on questions within the declaration tab of the CMRT which helps to identify areas that require further classification or risk assessment, as well as understand the due diligence efforts of the Tier 1 suppliers. The results of this data validation contribute to the program’s health assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement.

All submitted forms are accepted and classified as valid or invalid so that data is retained. Suppliers are contacted regarding invalid forms and are encouraged to submit a valid form. Suppliers are also provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses and direct engagement help through Assent’s multilingual Supplier Experience team. Since some suppliers may remain unresponsive to feedback, LCI tracks program gaps to account for future improvement opportunities. As of May 20, 2024, there were 3 invalid supplier submissions that could not be corrected.

Via the Assent Sustainability Manager and Assent team, the Company requested that all suppliers complete a CMRT. Training and education to guide suppliers on best practices and the use of this template was included. Assent monitored and tracked all communications in the Assent Compliance Manager for future reporting and transparency. The Company directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process and requested these suppliers complete the CMRT and submit it to Assent.

As of May 20, 2024, there were 736 suppliers in scope of the conflict minerals program and 370 provided CMRTs. LCI’s total response rate for this reporting year was 50.27%.

Based on the findings through the RCOI process, LCI was able to determine the countries of origin for a large portion of the 3TGs in its products. Please refer to Appendix B for a list of potential countries of origin. LCI continues to perform further due diligence on the source and chain of custody of the minerals in question.

Due Diligence Program Design

The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a “downstream” company:

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 smelter/refiner's due diligence practices

Step 5: Report annually on supply chain due diligence

Due diligence requires the Company’s necessary reliance on data provided by direct suppliers and third-party audit programs. There is a risk of incomplete or inaccurate data as the process cannot fully be owned by the Company. However, through continued outreach and process validation, this aligns with industry standards and market expectations for downstream companies’ due diligence.

Due Diligence Measures Performed by The Company

The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.

Step 1: Establish strong company management systems

a.Conflict minerals team - The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including compliance, finance, procurement, sales, and legal. The team was structured to include the involvement from those in upper management roles to ensure that critical information, including the Company’s conflict minerals policy, reached relevant employees and suppliers. The Company also uses a third-party service provider, Assent, to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that the Company will undertake with suppliers regarding conflict minerals.

b.Conflict minerals policy - The Company adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website at: https://investors.lci1.com/governance/governance-documents/default.aspx.

c.Control systems - The Company expects all suppliers to have policies and procedures in place to ensure that 3TGs used in the production of the products sold to Lippert Components, Inc. are “conflict free or responsibly sourced.” This means that

Exhibit 1.01

the products should not contain minerals (3TGs) sourced from areas that have been identified to be in the presence of widespread human rights abuses and violations of law either directly or indirectly. The Company expects direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied, including sources of 3TGs that are supplied to them from lower-tier suppliers.

d.Supplier engagement – The Company has a strong relationship with Tier 1 direct suppliers. As an extremely important part of the supply chain, Lippert Components, Inc. has leveraged processes and educational opportunities in order to ensure non-English speaking suppliers have access to a free platform to upload their CMRTs, help desk support, and other multilingual resources. Lippert Components, Inc.'s suppliers can leverage Assent’s team of supplier support specialists to ensure they receive appropriate support and understand how to properly fill a CMRT. Suppliers are provided guidance in their native language, if needed.

The Company continues to place a strong emphasis on supplier education and training. To accomplish this, Assent’s online resources are leveraged, and all in-scope suppliers have been provided with access to their library of conflict minerals training and support resources. Also, Assent’s automated feedback process that notifies suppliers of risks associated with their CMRT submission serves to educate suppliers of certain conflict minerals’ risks. The Company believes that the combination of the Supplier Code of Conduct, Conflict Minerals Policy, and direct engagement with suppliers for conflict minerals training and support constitute a strong supplier engagement program.

e.Company level grievance mechanism - The Company established multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Lippert Components, Inc’s policies, including conflict minerals. Suppliers and others outside of Lippert Components, Inc. may contact the Conflict Minerals Team, including to report grievances, via a dedicated email address that is published in the Conflict Minerals Policy and in other communications with suppliers. Violations or grievances at the industry level can be reported to the RMI directly as well. This can be done at http://www.responsiblemineralsinitiative.org/minerals-due-diligence/risk-managment/grievance-mechanism/.

f.Records management - The Company will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years. Through Assent, a document retention policy to retain conflict minerals related documents, including suppliers' responses to CMRTs and the sources identified within each reporting period, has been implemented. The Company stores information and findings from this process in a database that can be audited by internal or external parties.

Step 2: Identify and assess risks in the supply chain

We performed the following steps as part of our risk assessment process:

a.Identified products in scope - Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release.

b.Conducted RCOI - The Company utilized the industry-developed CMRT to query our suppliers for conflict minerals information. The Company also uses a third-party service provider, Assent, to assist with evaluating supplier chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that the Company will undertake with suppliers in regard to conflict minerals. We requested this information from the Tier 1 suppliers who provide materials and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix B for a list of countries of origin identified through the RCOI process.

c.Completed additional follow-up - The Company contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the accuracy of the information provided by our suppliers.

d.Identified SORs - The Company compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RMAP”). The Company does not have a direct relationship with SORs and does not perform direct audits of these entities within the supply chain. SORs that have completed an RMAP assessment are considered conformant by the RMAP, which means that they complied with the RMAP due diligence assessment protocols or an equivalent cross-recognized assessment to determine whether they are DRC Conflict Free. In cases where the SOR’s due diligence practices have not been audited against the RMAP standard or they are considered non-conformant by RMAP, follow-ups are made to suppliers reporting those facilities. Smelters are then assessed for the potential for sourcing risk. The Company maintains a database of SOR aliases to reconcile suppliers' SOR lists to the list of RMI SORs. We have provided that list in this report within Appendix A.

Exhibit 1.01

e.SORs Assessment. Each facility that meets the definition of a smelter or refiner of a 3TG mineral is assessed according to red-flag indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:

•Geographic proximity to Conflict-Affected and High-Risk Areas.

•Known mineral source country of origin.

•RMAP audit status.

•Credible evidence of unethical or conflict sourcing.

•Peer assessments conducted by credible third-party sources.

•Sanctions risks

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

We performed the following steps as part of our risk management plan:

a.Reporting results to senior management - As necessary, the Conflict Minerals team reported the results of our RCOI to upper management which included the team's plan to respond to risks identified in the due diligence processes.

b.Designed and implemented a plan - The Company used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as, any additional documentation furnished to support those responses and the suppliers’ due diligence processes. The resulting risk ratings will be used to develop specific supplier outreach to address the identified risks and to take corrective actions with suppliers found not in compliance with the Company’s conflict minerals policy.

c.Risk mitigation activities - Through Assent, suppliers with submissions that included any SORs of concern were immediately provided with feedback instructing that suppliers to take their own independent risk mitigation actions. Examples include the submission of a product-specific CMRT to better identify the connection to products that they supply to LCI. In addition, suppliers are guided to the education materials on mitigating the risks identified through the data collection process.

d.Verified SORs - As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of SOR facilities validated by the RMI. The Company maintains a database of SOR aliases to reconcile suppliers' SOR lists to the list of RMI SORs. See Appendix A for a list of SORs identified through the RCOI process.

e.Risk remediation- If the Company identifies potential sanctions risk as part of the SORs assessment process described above, then we work with the relevant suppliers to evaluate and remediate such risks in a manner consistent with applicable sanctions-program requirements, including, where appropriate, requesting that suppliers remove sanctioned smelters and refiners from their supply chain.

Step 4: Carry out independent third-party audit of SORs' due diligence practices

Lippert Components does not have a direct relationship with any 3TG SORs and does not perform or direct audits of these entities within the supply chain. The Company is using information provided by independent third party audit programs, including the RMI, LBMA and RJC, to confirm the existence and verify the OECD-conformance status of SORs identified during our due diligence.

Assent also directly contacts SORs that are not currently enrolled in the RMAP to encourage their participation and gather information regarding each facilities’ sourcing practices on behalf of its compliance partners. Lippert Components is a signatory of this communication in accordance with the requirements of downstream companies detailed in the OECD Guidance.

Step 5: Report annually on supply chain due diligence

LCI has published the Form SD for the year ended December 31, 2023. This report is available on the Investor Relations section of the Company’s website at https://investors.lci1.com/overview/default.aspx. Information found on or accessed through this website is not considered part of this report and is not incorporated by reference herein. LCI has also publicly filed a Form SD and this report with the U.S. Securities and Exchange Commission (SEC).

This year, the Company has also considered impacts from the EU Conflict Minerals Regulation when disclosing details with regards to due diligence efforts. The Company will continue to expand efforts for transparency through the data collection process and risk evaluation, as well as the disclosure of efforts through the form of public report.

Due Diligence Results

Supply Chain Outreach Results

Exhibit 1.01

Supply chain outreach is required to identify the upstream sources of origin of tin, tantalum, tungsten, and gold. Following the industry standard process, CMRTs are sent to and requested from Tier 1 suppliers, who are expected to follow this process until the smelter and refiner sources are identified. The following is the result of the outreach conducted by Lippert for the 2023 reporting year.


Year	Number of in-scope suppliers	Response rate
2023	736	50.27%
2022	873	61.28%
2021	459	27.45%

Upstream Data Transparency

All smelters and refiners listed by suppliers in completed CMRTs, which appear on the RMI-maintained smelters list, are attached in Appendix A. As is a common practice when requests are sent upstream in the supply chain, those who purchase materials from smelters may not be able to discern exactly which company’s product lines the materials may end up in. As a result, those providing the smelters and refiners have the practice to list all smelters and refiners they may purchase from within the reporting period. Therefore, the smelters or refiners (as sources) listed in Appendix A are likely to be more comprehensive than the list of smelters or refiners which processed the 3TGs contained in the Company’s products.

The Company has taken measures to validate these sources of origin against validated audit programs intended to verify the material types and mine sources of origin for these smelters and refiners. From the gathered responses, 6 smelters that potentially posed a risk due to the presence of red flag indicators were identified.

Suppliers that identified these specific smelters of concern on their CMRTs were contacted in accordance with the OECD Guidance to inform them of the potential for risk, and to evaluate whether or not these smelters could be connected to the Company’s products. The suppliers were asked to complete a user-defined or product level CMRT specific to the materials, products, or piece parts purchased by the Company, rather than a company-level CMRT, to better identify the connection to products that they supply to LCI. Other suppliers were evaluated internally to determine if they were in fact still active suppliers. If not, they were removed from the scope of data collection.


Status			Number of Identified Smelters/Refiners
Conformant			225
Active			7
Non Conformant			29
Not Enrolled			91

Future Due Diligence

We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information available globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence requires improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.

In addition to those above, the Company will undertake the following steps during the next compliance period:

•Continue to evaluate upstream sources through a broader set of tools to evaluate risk. These include, but are not limited to:

◦Using a comprehensive smelter and refinery library with detailed status and notes for each entity.

◦Scanning for verifiable media sources on each smelter and refinery to flag risk issues.

◦Comparing the list of smelters/refiners against government watch and denied parties lists.

•Reviewing the conflict minerals policy statement and updating if necessary.

•Continuing to collect responses from suppliers using the most recent revision of the CMRT.

Exhibit 1.01

•Engaging with suppliers that did not provide a response in 2023, or provided incomplete responses, to enhance our data collection for 2024.

•Engaging with suppliers more closely and providing more information and training resources regarding responsible sourcing of 3TGs.

•Monitoring and tracking performance of risk mitigation efforts.

•Continuing to engage with smelters by sending letters to those that have not been audited as conformant.

•Following the OECD Guidance process, increasing the emphasis on clean and validated smelter information from the supply chain through feedback and detailed smelter analysis.

•Comparing and validating RCOI results to information collected via independent third-party audit programs, such as the RMI, and through our Company's own coordinated outreach to smelters.

•Encouraging responsible sourcing from the DRC and adjoining countries.

Exhibit 1.01

APPENDIX A - Smelter and Refiner List

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Gold

Advanced Chemical Company

United States of America

CID000015

Active

Gold

Aida Chemical Industries Co., Ltd.

Japan

CID000019

Conformant

Gold

Agosi AG

Germany

CID000035

Conformant

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

Uzbekistan

CID000041

Conformant

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

Brazil

CID000058

Conformant

Gold

Argor-Heraeus S.A.

Switzerland

CID000077

Conformant

Gold

Asahi Pretec Corp.

Japan

CID000082

Conformant

Gold

Asaka Riken Co., Ltd.

Japan

CID000090

Conformant

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

Turkey

CID000103

Outreach Required

Gold

Aurubis AG

Germany

CID000113

Conformant

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

Philippines

CID000128

Conformant

Gold

Boliden AB

Sweden

CID000157

Conformant

Gold

C. Hafner GmbH + Co. KG

Germany

CID000176

Conformant

Gold

Caridad

Mexico

CID000180

Outreach Required

Gold

CCR Refinery - Glencore Canada Corporation

Canada

CID000185

Conformant

Gold

Cendres + Metaux S.A.

Switzerland

CID000189

Non Conformant

Gold

Yunnan Copper Industry Co., Ltd.

China

CID000197

Outreach Required

Gold

Chimet S.p.A.

Italy

CID000233

Conformant

Gold

Chugai Mining

Japan

CID000264

Conformant

Gold

Daye Non-Ferrous Metals Mining Ltd.

China

CID000343

Outreach Required

Gold

DSC (Do Sung Corporation)

Korea, Republic Of

CID000359

Conformant

Gold

Eco-System Recycling Co., Ltd. East Plant

Japan

CID000425

Conformant

Gold

JSC Novosibirsk Refinery

Russian Federation

CID000493

RMI Due Diligence Review - Unable to Proceed

Gold

Refinery of Seemine Gold Co., Ltd.

China

CID000522

Outreach Required

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

China

CID000651

Outreach Required

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

China

CID000671

Outreach Required

Gold

LT Metal Ltd.

Korea, Republic Of

CID000689

Conformant

Gold

Heimerle + Meule GmbH

Germany

CID000694

Conformant

Gold

Heraeus Metals Hong Kong Ltd.

China

CID000707

Conformant

Gold

Heraeus Germany GmbH Co. KG

Germany

CID000711

Conformant

Gold

Hunan Chenzhou Mining Co., Ltd.

China

CID000767

Outreach Required

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

China

CID000773

Outreach Required

Gold

HwaSeong CJ CO., LTD.

Korea, Republic Of

CID000778

Communication Suspended - Not Interested

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

China

CID000801

Conformant

Gold

Ishifuku Metal Industry Co., Ltd.

Japan

CID000807

Conformant

Gold

Istanbul Gold Refinery

Turkey

CID000814

Conformant

Gold

Japan Mint

Japan

CID000823

Conformant

Gold

Jiangxi Copper Co., Ltd.

China

CID000855

Conformant

Gold

Asahi Refining USA Inc.

United States of America

CID000920

Conformant

Gold

Asahi Refining Canada Ltd.

Canada

CID000924

Conformant

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

Russian Federation

CID000927

RMI Due Diligence Review - Unable to Proceed

Gold

JSC Uralelectromed

Russian Federation

CID000929

RMI Due Diligence Review - Unable to Proceed

Gold

JX Nippon Mining & Metals Co., Ltd.

Japan

CID000937

Conformant

Gold

Kazakhmys Smelting LLC

Kazakhstan

CID000956

Outreach Required

Gold

Kazzinc

Kazakhstan

CID000957

Conformant

Gold

Kennecott Utah Copper LLC

United States of America

CID000969

Conformant

Gold

Kojima Chemicals Co., Ltd.

Japan

CID000981

Conformant

Gold

Kyrgyzaltyn JSC

Kyrgyzstan

CID001029

Non Conformant

Gold

L'azurde Company For Jewelry

Saudi Arabia

CID001032

RMI Due Diligence Review - Unable to Proceed

Gold

Lingbao Gold Co., Ltd.

China

CID001056

Outreach Required

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

China

CID001058

Outreach Required

Gold

LS-NIKKO Copper Inc.

Korea, Republic Of

CID001078

Conformant

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

China

CID001093

Outreach Required

Gold

Materion

United States of America

CID001113

Conformant

Gold

Matsuda Sangyo Co., Ltd.

Japan

CID001119

Conformant

Gold

Metalor Technologies (Suzhou) Ltd.

China

CID001147

Conformant

Gold

Metalor Technologies (Hong Kong) Ltd.

China

CID001149

Conformant

Gold

Metalor Technologies (Singapore) Pte., Ltd.

Singapore

CID001152

Conformant

Gold

Metalor Technologies S.A.

Switzerland

CID001153

Conformant

Gold

Metalor USA Refining Corporation

United States of America

CID001157

Conformant

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

Mexico

CID001161

Conformant

Gold

Mitsui Mining and Smelting Co., Ltd.

Japan

CID001193

Conformant

Gold

Moscow Special Alloys Processing Plant

Russian Federation

CID001204

RMI Due Diligence Review - Unable to Proceed

Gold

Nadir Metal Rafineri San. Ve Tic. A.S.

Turkey

CID001220

Conformant

Gold

Navoi Mining and Metallurgical Combinat

Uzbekistan

CID001236

Conformant

Gold

Nihon Material Co., Ltd.

Japan

CID001259

Conformant

Gold

Ohura Precious Metal Industry Co., Ltd.

Japan

CID001325

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

Russian Federation

CID001326

RMI Due Diligence Review - Unable to Proceed

Gold

MKS PAMP SA

Switzerland

CID001352

Conformant

Gold

Penglai Penggang Gold Industry Co., Ltd.

China

CID001362

Outreach Required

Gold

Prioksky Plant of Non-Ferrous Metals

Russian Federation

CID001386

RMI Due Diligence Review - Unable to Proceed

Gold

PT Aneka Tambang (Persero) Tbk

Indonesia

CID001397

Conformant

Gold

PX Precinox S.A.

Switzerland

CID001498

Conformant

Gold

Rand Refinery (Pty) Ltd.

South Africa

CID001512

Conformant

Gold

Royal Canadian Mint

Canada

CID001534

Conformant

Gold

Sabin Metal Corp.

United States of America

CID001546

Communication Suspended - Not Interested

Gold

Samduck Precious Metals

Korea, Republic Of

CID001555

Non Conformant

Gold

Samwon Metals Corp.

Korea, Republic Of

CID001562

Communication Suspended - Not Interested

Gold

SEMPSA Joyeria Plateria S.A.

Spain

CID001585

Conformant

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

China

CID001619

Outreach Required

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

China

CID001622

Conformant

Gold

Sichuan Tianze Precious Metals Co., Ltd.

China

CID001736

Conformant

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

Russian Federation

CID001756

RMI Due Diligence Review - Unable to Proceed

Gold

Solar Applied Materials Technology Corp.

Taiwan, Province Of China

CID001761

Conformant

Gold

Sumitomo Metal Mining Co., Ltd.

Japan

CID001798

Conformant

Gold

Super Dragon Technology Co., Ltd.

Taiwan, Province Of China

CID001810

Outreach Required

Gold

Tanaka Kikinzoku Kogyo K.K.

Japan

CID001875

Conformant

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

China

CID001909

Outreach Required

Gold

Shandong Gold Smelting Co., Ltd.

China

CID001916

Conformant

Gold

Tokuriki Honten Co., Ltd.

Japan

CID001938

Conformant

Gold

Tongling Nonferrous Metals Group Co., Ltd.

China

CID001947

Outreach Required

Gold

Torecom

Korea, Republic Of

CID001955

Conformant

Gold

Umicore S.A. Business Unit Precious Metals Refining

Belgium

CID001980

Conformant

Gold

United Precious Metal Refining, Inc.

United States of America

CID001993

Conformant

Gold

Valcambi S.A.

Switzerland

CID002003

Conformant

Gold

Western Australian Mint (T/a The Perth Mint)

Australia

CID002030

Conformant

Gold

Yamakin Co., Ltd.

Japan

CID002100

Conformant

Gold

Yokohama Metal Co., Ltd.

Japan

CID002129

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

China

CID002224

Conformant

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

China

CID002243

Conformant

Gold

Morris and Watson

New Zealand

CID002282

Outreach Required

Gold

SAFINA A.S.

Czechia

CID002290

Conformant

Gold

Guangdong Jinding Gold Limited

China

CID002312

Outreach Required

Gold

Umicore Precious Metals Thailand

Thailand

CID002314

Non Conformant

Gold

MMTC-PAMP India Pvt., Ltd.

India

CID002509

Conformant

Gold

KGHM Polska Miedz Spolka Akcyjna

Poland

CID002511

Conformant

Gold

Fidelity Printers and Refiners Ltd.

Zimbabwe

CID002515

RMI Due Diligence Review - Unable to Proceed

Gold

Singway Technology Co., Ltd.

Taiwan, Province Of China

CID002516

Non Conformant

Gold

Shandong Humon Smelting Co., Ltd.

China

CID002525

Outreach Required

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

China

CID002527

Outreach Required

Gold

Al Etihad Gold Refinery DMCC

United Arab Emirates

CID002560

Non Conformant

Gold

Emirates Gold DMCC

United Arab Emirates

CID002561

Non Conformant

Gold

International Precious Metal Refiners

United Arab Emirates

CID002562

Outreach Required

Gold

Kaloti Precious Metals

United Arab Emirates

CID002563

RMI Due Diligence Review - Unable to Proceed

Gold

Sudan Gold Refinery

Sudan

CID002567

Outreach Required

Gold

T.C.A S.p.A

Italy

CID002580

Conformant

Gold

REMONDIS PMR B.V.

Netherlands

CID002582

Conformant

Gold

Fujairah Gold FZC

United Arab Emirates

CID002584

Outreach Required

Gold

Industrial Refining Company

Belgium

CID002587

Non Conformant

Gold

Shirpur Gold Refinery Ltd.

India

CID002588

Outreach Required

Gold

Korea Zinc Co., Ltd.

Korea, Republic Of

CID002605

Conformant

Gold

Marsam Metals

Brazil

CID002606

Non Conformant

Gold

TOO Tau-Ken-Altyn

Kazakhstan

CID002615

Conformant

Gold

Abington Reldan Metals, LLC

United States of America

CID002708

Conformant

Gold

Shenzhen CuiLu Gold Co., Ltd.

China

CID002750

Outreach Required

Gold

Albino Mountinho Lda.

Portugal

CID002760

Outreach Required

Gold

SAAMP

France

CID002761

Non Conformant

Gold

L'Orfebre S.A.

Andorra

CID002762

Conformant

Gold

8853 S.p.A.

Italy

CID002763

Non Conformant

Gold

Italpreziosi

Italy

CID002765

Conformant

Gold

WIELAND Edelmetalle GmbH

Germany

CID002778

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

Austria

CID002779

Conformant

Gold

AU Traders and Refiners

South Africa

CID002850

Non Conformant

Gold

GGC Gujrat Gold Centre Pvt. Ltd.

India

CID002852

Non Conformant

Gold

Sai Refinery

India

CID002853

Outreach Required

Gold

Modeltech Sdn Bhd

Malaysia

CID002857

Non Conformant

Gold

Bangalore Refinery

India

CID002863

Active

Gold

Kyshtym Copper-Electrolytic Plant ZAO

Russian Federation

CID002865

RMI Due Diligence Review - Unable to Proceed

Gold

Degussa Sonne / Mond Goldhandel GmbH

Germany

CID002867

Outreach Required

Gold

Pease & Curren

United States of America

CID002872

Communication Suspended - Not Interested

Gold

JALAN & Company

India

CID002893

Outreach Required

Gold

SungEel HiMetal Co., Ltd.

Korea, Republic Of

CID002918

Conformant

Gold

Planta Recuperadora de Metales SpA

Chile

CID002919

Conformant

Gold

ABC Refinery Pty Ltd.

Australia

CID002920

Outreach Required

Gold

Safimet S.p.A

Italy

CID002973

Non Conformant

Gold

State Research Institute Center for Physical Sciences and Technology

Lithuania

CID003153

Outreach Required

Gold

African Gold Refinery

Uganda

CID003185

RMI Due Diligence Review - Unable to Proceed

Gold

Gold Coast Refinery

Ghana

CID003186

Outreach Required

Gold

NH Recytech Company

Korea, Republic Of

CID003189

Conformant

Gold

QG Refining, LLC

United States of America

CID003324

Outreach Required

Gold

Dijllah Gold Refinery FZC

United Arab Emirates

CID003348

Outreach Required

Gold

CGR Metalloys Pvt Ltd.

India

CID003382

Outreach Required

Gold

Sovereign Metals

India

CID003383

Outreach Required

Gold

Eco-System Recycling Co., Ltd. North Plant

Japan

CID003424

Conformant

Gold

Eco-System Recycling Co., Ltd. West Plant

Japan

CID003425

Conformant

Gold

Augmont Enterprises Private Limited

India

CID003461

Non Conformant

Gold

Kundan Care Products Ltd.

India

CID003463

Outreach Required

Gold

Emerald Jewel Industry India Limited (Unit 1)

India

CID003487

Outreach Required

Gold

Emerald Jewel Industry India Limited (Unit 2)

India

CID003488

Outreach Required

Gold

Emerald Jewel Industry India Limited (Unit 3)

India

CID003489

Outreach Required

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Gold

Emerald Jewel Industry India Limited (Unit 4)

India

CID003490

Outreach Required

Gold

K.A. Rasmussen

Norway

CID003497

Outreach Required

Gold

Alexy Metals

United States of America

CID003500

Non Conformant

Gold

MD Overseas

India

CID003548

Outreach Required

Gold

Metallix Refining Inc.

United States of America

CID003557

Outreach Required

Gold

Metal Concentrators SA (Pty) Ltd.

South Africa

CID003575

Conformant

Gold

WEEEREFINING

France

CID003615

Conformant

Gold

Gold by Gold Colombia

Colombia

CID003641

Conformant

Gold

Dongwu Gold Group

China

CID003663

Outreach Required

Gold

Sam Precious Metals

United Arab Emirates

CID003666

Outreach Required

Gold

Coimpa Industrial LTDA

Brazil

CID004010

Conformant

Gold

GG Refinery Ltd.

Tanzania, United Republic Of

CID004506

Active

Gold

SHENZHEN JINJUNWEI RESOURCE COMPREHENSIVE DEVELOPMENT CO., LTD.

CID004435

Outreach Required

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

China

CID000291

Conformant

Tantalum

F&X Electro-Materials Ltd.

China

CID000460

Conformant

Tantalum

XIMEI RESOURCES (GUANGDONG) LIMITED

China

CID000616

Conformant

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

China

CID000914

Conformant

Tantalum

Jiujiang Tanbre Co., Ltd.

China

CID000917

Conformant

Tantalum

AMG Brasil

Brazil

CID001076

Conformant

Tantalum

Metallurgical Products India Pvt., Ltd.

India

CID001163

Conformant

Tantalum

Mitsui Mining and Smelting Co., Ltd.

Japan

CID001192

Conformant

Tantalum

NPM Silmet AS

Estonia

CID001200

Conformant

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

China

CID001277

Conformant

Tantalum

QuantumClean

United States of America

CID001508

Conformant

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

China

CID001522

Conformant

Tantalum

Solikamsk Magnesium Works OAO

Russian Federation

CID001769

RMI Due Diligence Review - Unable to Proceed

Tantalum

Taki Chemical Co., Ltd.

Japan

CID001869

Conformant

Tantalum

Telex Metals

United States of America

CID001891

Conformant

Tantalum

Ulba Metallurgical Plant JSC

Kazakhstan

CID001969

Conformant

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

China

CID002492

Conformant

Tantalum

D Block Metals, LLC

United States of America

CID002504

Conformant

Tantalum

FIR Metals & Resource Ltd.

China

CID002505

Conformant

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

China

CID002506

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

China

CID002512

Conformant

Tantalum

KEMET de Mexico

Mexico

CID002539

Conformant

Tantalum

TANIOBIS Co., Ltd.

Thailand

CID002544

Conformant

Tantalum

TANIOBIS GmbH

Germany

CID002545

Conformant

Tantalum

Materion Newton Inc.

United States of America

CID002548

Conformant

Tantalum

TANIOBIS Japan Co., Ltd.

Japan

CID002549

Conformant

Tantalum

TANIOBIS Smelting GmbH & Co. KG

Germany

CID002550

Conformant

Tantalum

Global Advanced Metals Boyertown

United States of America

CID002557

Conformant

Tantalum

Global Advanced Metals Aizu

Japan

CID002558

Conformant

Tantalum

Jiangxi Tuohong New Raw Material

China

CID002842

Conformant

Tantalum

RFH Yancheng Jinye New Material Technology Co., Ltd.

China

CID003583

Conformant

Tantalum

5D Production OU

Estonia

CID003926

Outreach Required

Tantalum

PowerX Ltd.

Rwanda

CID004054

Conformant

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

China

CID002508

Conformant

Tin

Alpha

United States of America

CID000292

Conformant

Tin

PT Aries Kencana Sejahtera

Indonesia

CID000309

Conformant

Tin

PT Premium Tin Indonesia

Indonesia

CID000313

Conformant

Tin

Dowa

Japan

CID000401

Conformant

Tin

EM Vinto

Bolivia (Plurinational State Of)

CID000438

Conformant

Tin

Fenix Metals

Poland

CID000468

Conformant

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

China

CID000538

Conformant

Tin

Gejiu Kai Meng Industry and Trade LLC

China

CID000942

Non Conformant

Tin

China Tin Group Co., Ltd.

China

CID001070

Conformant

Tin

Malaysia Smelting Corporation (MSC)

Malaysia

CID001105

Conformant

Tin

Metallic Resources, Inc.

United States of America

CID001142

Conformant

Tin

Mineracao Taboca S.A.

Brazil

CID001175

Conformant

Tin

Minsur

Peru

CID001182

Conformant

Tin

Mitsubishi Materials Corporation

Japan

CID001188

Conformant

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

Thailand

CID001314

Conformant

Tin

Operaciones Metalurgicas S.A.

Bolivia (Plurinational State Of)

CID001337

Conformant

Tin

PT Artha Cipta Langgeng

Indonesia

CID001399

Conformant

Tin

PT Babel Inti Perkasa

Indonesia

CID001402

Conformant

Tin

PT Bangka Tin Industry

Indonesia

CID001419

Active

Tin

PT Belitung Industri Sejahtera

Indonesia

CID001421

Conformant

Tin

PT Bukit Timah

Indonesia

CID001428

Conformant

Tin

PT Mitra Stania Prima

Indonesia

CID001453

Conformant

Tin

PT Panca Mega Persada

Indonesia

CID001457

Outreach Required

Tin

PT Prima Timah Utama

Indonesia

CID001458

Conformant

Tin

PT Refined Bangka Tin

Indonesia

CID001460

Conformant

Tin

PT Sariwiguna Binasentosa

Indonesia

CID001463

Conformant

Tin

PT Stanindo Inti Perkasa

Indonesia

CID001468

Conformant

Tin

PT Timah Tbk Kundur

Indonesia

CID001477

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Tin

Rui Da Hung

Taiwan, Province Of China

CID001539

Conformant

Tin

Thaisarco

Thailand

CID001898

Conformant

Tin

White Solder Metalurgia e Mineracao Ltda.

Brazil

CID002036

Conformant

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

China

CID002158

Conformant

Tin

Tin Smelting Branch of Yunnan Tin Co., Ltd.

China

CID002180

Conformant

Tin

CV Venus Inti Perkasa

Indonesia

CID002455

Conformant

Tin

Magnu's Minerais Metais e Ligas Ltda.

Brazil

CID002468

Conformant

Tin

Melt Metais e Ligas S.A.

Brazil

CID002500

Non Conformant

Tin

PT ATD Makmur Mandiri Jaya

Indonesia

CID002503

Conformant

Tin

O.M. Manufacturing Philippines, Inc.

Philippines

CID002517

Conformant

Tin

CV Ayi Jaya

Indonesia

CID002570

Conformant

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

Viet Nam

CID002572

Non Conformant

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

Viet Nam

CID002573

Outreach Required

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

Viet Nam

CID002574

Outreach Required

Tin

An Vinh Joint Stock Mineral Processing Company

Viet Nam

CID002703

Outreach Required

Tin

Resind Industria e Comercio Ltda.

Brazil

CID002707

Conformant

Tin

PT Bangka Prima Tin

Indonesia

CID002776

Conformant

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

China

CID000228

Conformant

Tin

Dowa

Japan

CID000402

Conformant

Tin

Estanho de Rondonia S.A.

Brazil

CID000448

Conformant

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

China

CID000555

Non Conformant

Tin

Mineracao Taboca S.A.

Brazil

CID001173

Conformant

Tin

Mitsubishi Materials Corporation

Japan

CID001191

Conformant

Tin

Jiangxi New Nanshan Technology Ltd.

China

CID001231

Conformant

Tin

Novosibirsk Tin Combine

Russian Federation

CID001305

RMI Due Diligence Review - Unable to Proceed

Tin

PT Babel Surya Alam Lestari

Indonesia

CID001406

Conformant

Tin

PT Timah Tbk Mentok

Indonesia

CID001482

Conformant

Tin

PT Timah Nusantara

Indonesia

CID001486

Conformant

Tin

PT Tinindo Inter Nusa

Indonesia

CID001490

Conformant

Tin

PT Tommy Utama

Indonesia

CID001493

Conformant

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

China

CID001908

Non Conformant

Tin

VQB Mineral and Trading Group JSC

Viet Nam

CID002015

Outreach Required

Tin

PT Tirus Putra Mandiri

Indonesia

CID002478

Communication Suspended - Not Interested

Tin

PT Cipta Persada Mulia

Indonesia

CID002696

Conformant

Tin

Resind Industria e Comercio Ltda.

Brazil

CID002706

Conformant

Tin

Super Ligas

Brazil

CID002756

Conformant

Tin

Aurubis Beerse

Belgium

CID002773

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Tin

Aurubis Berango

Spain

CID002774

Conformant

Tin

PT Sukses Inti Makmur

Indonesia

CID002816

Conformant

Tin

PT Menara Cipta Mulia

Indonesia

CID002835

Conformant

Tin

Modeltech Sdn Bhd

Malaysia

CID002858

Non Conformant

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

China

CID003116

Conformant

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

China

CID003190

Conformant

Tin

PT Bangka Serumpun

Indonesia

CID003205

Conformant

Tin

Tin Technology & Refining

United States of America

CID003325

Conformant

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

China

CID003356

Non Conformant

Tin

PT Rajawali Rimba Perkasa

Indonesia

CID003381

Conformant

Tin

Luna Smelter, Ltd.

Rwanda

CID003387

Conformant

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

China

CID003397

Conformant

Tin

Precious Minerals and Smelting Limited

India

CID003409

Active

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

China

CID003410

Outreach Required

Tin

PT Mitra Sukses Globalindo

Indonesia

CID003449

Conformant

Tin

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

Brazil

CID003486

Conformant

Tin

CRM Synergies

Spain

CID003524

Conformant

Tin

Fabrica Auricchio Industria e Comercio Ltda.

Brazil

CID003582

Conformant

Tin

DS Myanmar

Myanmar

CID003831

Conformant

Tin

PT Putera Sarana Shakti (PT PSS)

Indonesia

CID003868

Conformant

Tin

PT Rajehan Ariq

Indonesia

CID002593

Conformant

Tin

HuiChang Hill Tin Industry Co., Ltd.

China

CID002844

Conformant

Tin

Pongpipat Company Limited

Myanmar

CID003208

Outreach Required

Tin

Ma'anshan Weitai Tin Co., Ltd.

China

CID003379

Non Conformant

Tin

Mining Minerals Resources SARL

Congo, Democratic Republic Of The

CID004065

Conformant

Tin

Malaysia Smelting Corporation Berhad (Port Klang)

Malaysia

CID004434

In Communication

Tin

Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD.

Japan

CID004403

Active

Tungsten

A.L.M.T. Corp.

Japan

CID000004

Conformant

Tungsten

Kennametal Huntsville

United States of America

CID000105

Conformant

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

China

CID000218

Conformant

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

China

CID000258

Conformant

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

China

CID000281

Outreach Required

Tungsten

Global Tungsten & Powders LLC

United States of America

CID000568

Conformant

Tungsten

Hunan Chenzhou Mining Co., Ltd.

China

CID000766

Conformant

Tungsten

Hunan Jintai New Material Co., Ltd.

China

CID000769

Non Conformant

Tungsten

Japan New Metals Co., Ltd.

Japan

CID000825

Conformant

Tungsten

Kennametal Fallon

United States of America

CID000966

Conformant

Tungsten

Wolfram Bergbau und Hutten AG

Austria

CID002044

Conformant

Tungsten

Xiamen Tungsten Co., Ltd.

China

CID002082

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

China

CID002313

Communication Suspended - Not Interested

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

China

CID002315

Conformant

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

China

CID002316

Conformant

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

China

CID002317

Conformant

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

China

CID002318

Conformant

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

China

CID002319

Conformant

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

China

CID002320

Conformant

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

China

CID002321

Conformant

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

China

CID002494

Conformant

Tungsten

Asia Tungsten Products Vietnam Ltd.

Viet Nam

CID002502

Conformant

Tungsten

Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch

China

CID002513

Conformant

Tungsten

H.C. Starck Tungsten GmbH

Germany

CID002541

Conformant

Tungsten

TANIOBIS Smelting GmbH & Co. KG

Germany

CID002542

Conformant

Tungsten

Masan High-Tech Materials

Viet Nam

CID002543

Conformant

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

China

CID002551

Conformant

Tungsten

Niagara Refining LLC

United States of America

CID002589

Conformant

Tungsten

China Molybdenum Tungsten Co., Ltd.

China

CID002641

Conformant

Tungsten

Hydrometallurg, JSC

Russian Federation

CID002649

RMI Due Diligence Review - Unable to Proceed

Tungsten

Unecha Refractory metals plant

Russian Federation

CID002724

Non Conformant

Tungsten

Philippine Chuangxin Industrial Co., Inc.

Philippines

CID002827

Conformant

Tungsten

ACL Metais Eireli

Brazil

CID002833

Non Conformant

Tungsten

Moliren Ltd.

Russian Federation

CID002845

RMI Due Diligence Review - Unable to Proceed

Tungsten

Lianyou Metals Co., Ltd.

Taiwan, Province Of China

CID003407

Conformant

Tungsten

JSC "Kirovgrad Hard Alloys Plant"

Russian Federation

CID003408

RMI Due Diligence Review - Unable to Proceed

Tungsten

NPP Tyazhmetprom LLC

Russian Federation

CID003416

RMI Due Diligence Review - Unable to Proceed

Tungsten

Hubei Green Tungsten Co., Ltd.

China

CID003417

Conformant

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

Brazil

CID003427

Non Conformant

Tungsten

Cronimet Brasil Ltda

Brazil

CID003468

Conformant

Tungsten

Artek LLC

Russian Federation

CID003553

RMI Due Diligence Review - Unable to Proceed

Tungsten

Fujian Xinlu Tungsten Co., Ltd.

China

CID003609

Conformant

Exhibit 1.01

Metal

Smelter Name

Smelter Facility Location

Smelter ID

RMAP Audit Status

Tungsten

OOO “Technolom” 2

Russian Federation

CID003612

RMI Due Diligence Review - Unable to Proceed

Tungsten

OOO “Technolom” 1

Russian Federation

CID003614

RMI Due Diligence Review - Unable to Proceed

Tungsten

LLC Vostok

Russian Federation

CID003643

RMI Due Diligence Review - Unable to Proceed

Tungsten

YUDU ANSHENG TUNGSTEN CO., LTD.

China

CID003662

Outreach Required

Tungsten

HANNAE FOR T Co., Ltd.

Korea, Republic Of

CID003978

Outreach Required

Tungsten

Tungsten Vietnam Joint Stock Company

Viet Nam

CID003993

Conformant

Tungsten

Nam Viet Cromit Joint Stock Company

Viet Nam

CID004034

Outreach Required

Tungsten

DONGKUK INDUSTRIES CO., LTD.

Korea, Republic Of

CID004060

Outreach Required

Tungsten

Lianyou Resources Co., Ltd.

Taiwan, Province Of China

CID004397

Conformant

Tungsten

Shinwon Tungsten (Fujian Shanghang) Co., Ltd.

China

CID004430

Conformant

Tungsten

Kenee Mining Corporation Vietnam

Viet Nam

CID004619

Active

Exhibit 1.01

APPENDIX B - Countries of Origin


Country of Origin
China			Djibouti
Brazil			Guinea
Australia			Ghana
Indonesia			Tanzania
Japan			Democratic Republic of Congo
Peru			Italy
Canada			Saudi Arabia
Malaysia			Sweden
Germany			Belarus
Spain			United Arab Emirates
Russian Federation			Papua New Guinea
India			Eritrea
United Kingdom			Morocco
Chile			Poland
United States of America			Zambia
Austria			Mali
Niger			New Zealand
Thailand			Sudan
Nigeria			Azerbaijan
Portugal			Benin
Argentina			Finland
Belgium			Guatemala
Ireland			Honduras
France			Liechtenstein
Myanmar			Nicaragua
Switzerland			Uganda
Colombia			Angola
Mongolia			Armenia
Kazakhstan			Burkina Faso
Singapore			Congo
Mexico			El Salvador
Israel			Jersey
Hungary			Kyrgyzstan
Guyana			Mauritania
Luxembourg			VietNam
Ecuador			Bulgaria
Ethiopia			Central African Republic
Cambodia			Dominican Republic
Estonia			Georgia
Egypt			Liberia
Sierra Leone			Senegal
Namibia			Tajikistan

Exhibit 1.01


Madagascar			Botswana
Rwanda			Cyprus
Hong Kong			Fiji
Netherlands			Kenya
Slovakia			Lithuania
Korea			Oman
Mozambique			Serbia
South Africa			South Sudan
Bolivia (Plurinational State of)			Uruguay
Burundi			Albania
Panama			Bermuda
Suriname			Dominica
Philippines			Guam
Taiwan			Ivory Coast
Andorra			Norway
Uzbekistan			Togo
Turkey			Solomon Islandss