Responsible Minerals Initiative (RMI) - Responsible Minerals Assurance Process

Per RMAP: audit. Requirements include (a) third-party audit per RMAP standards + (b) corrective actions + (c) RMI conformant smelter/refiner status + (d) maintain audit findings.

• RMAP evidence for RMIRMA-4

• due diligence + audit partial

Per RMAP: chain of custody + reporting. Requirements include (a) chain of custody documentation + (b) supplier documentation + (c) annual reporting + (d) maintain records.

• RMAP evidence for RMIRMA-3

• due diligence + audit partial

Per RMI Responsible Minerals Assurance Process (RMAP): management system. Requirements include (a) Scope of Assurance + (b) Management System aligned to OECD Due Diligence Guidance + (c) Internal Systems of Transparency.

• RMAP evidence for RMIRMA-1

• due diligence + audit partial

Independent third-party assessment of smelter/refiner management systems and sourcing practices

• RMAP audit scope, plan and report
• Risk-based audit selection criteria
• Onsite audit checklists and corrective actions
• Assessor independence and rotation records

• Audit scope omits new sourcing routes
• Risk selection criteria not transparent
• Corrective actions extended without root cause
• Assessor rotation lapses on long engagements

Apply risk-based approach to validate smelters company-level management processes for responsible procurement

• RMAP audit scope, plan and report
• Risk-based audit selection criteria
• Onsite audit checklists and corrective actions
• Assessor independence and rotation records

• Audit scope omits new sourcing routes
• Risk selection criteria not transparent
• Corrective actions extended without root cause
• Assessor rotation lapses on long engagements

Conduct onsite audits taking 1-3 days per facility depending on complexity with annual renewal required

• RMAP audit scope, plan and report
• Risk-based audit selection criteria
• Onsite audit checklists and corrective actions
• Assessor independence and rotation records

• Audit scope omits new sourcing routes
• Risk selection criteria not transparent
• Corrective actions extended without root cause
• Assessor rotation lapses on long engagements

Rotate assessors every 3 years with RMI shadowing during onboarding and routinely each year

• RMAP audit scope, plan and report
• Risk-based audit selection criteria
• Onsite audit checklists and corrective actions
• Assessor independence and rotation records

• Audit scope omits new sourcing routes
• Risk selection criteria not transparent
• Corrective actions extended without root cause
• Assessor rotation lapses on long engagements

Establish policies and management systems for responsible mineral sourcing aligned with OECD Guidance

• Supply chain due diligence policy aligned to OECD guidance
• Supplier survey results and risk scoring
• Red flag escalation and resolution log
• Public due diligence report

• Policy not aligned to OECD five-step framework
• Supplier survey response rates low
• Red flags closed without root cause analysis
• Public report omits remediation outcomes

Collect relevant supply chain information to conduct red flag review and risk assessment

• Supply chain due diligence policy aligned to OECD guidance
• Supplier survey results and risk scoring
• Red flag escalation and resolution log
• Public due diligence report

• Policy not aligned to OECD five-step framework
• Supplier survey response rates low
• Red flags closed without root cause analysis
• Public report omits remediation outcomes

Conduct red flag review based on supply chain information to identify potential risks per OECD Annex II

• Supply chain due diligence policy aligned to OECD guidance
• Supplier survey results and risk scoring
• Red flag escalation and resolution log
• Public due diligence report

• Policy not aligned to OECD five-step framework
• Supplier survey response rates low
• Red flags closed without root cause analysis
• Public report omits remediation outcomes

Report on due diligence activities, findings, and remediation actions to stakeholders

• Supply chain due diligence policy aligned to OECD guidance
• Supplier survey results and risk scoring
• Red flag escalation and resolution log
• Public due diligence report

• Policy not aligned to OECD five-step framework
• Supplier survey response rates low
• Red flags closed without root cause analysis
• Public report omits remediation outcomes

Standards for tin, tantalum, tungsten, and gold aligned with OECD Guidance Annex II risk indicators

• Mineral scope determination and applicability log
• Smelter or refiner identification list with CMRT/EMRT
• Mineral-specific risk assessment outputs
• Engagement records with upstream producers

• Scope omits emerging minerals (cobalt, mica)
• Smelter list not reconciled to current RMI status
• Risk assessments not updated for conflict zones
• Upstream engagement limited to tier 1

Specific standard for cobalt supply chain due diligence and responsible sourcing

• Mineral scope determination and applicability log
• Smelter or refiner identification list with CMRT/EMRT
• Mineral-specific risk assessment outputs
• Engagement records with upstream producers

• Scope omits emerging minerals (cobalt, mica)
• Smelter list not reconciled to current RMI status
• Risk assessments not updated for conflict zones
• Upstream engagement limited to tier 1

Global Responsible Sourcing Due Diligence Standard applicable to all minerals not covered by mineral-specific RMAP

• Mineral scope determination and applicability log
• Smelter or refiner identification list with CMRT/EMRT
• Mineral-specific risk assessment outputs
• Engagement records with upstream producers

• Scope omits emerging minerals (cobalt, mica)
• Smelter list not reconciled to current RMI status
• Risk assessments not updated for conflict zones
• Upstream engagement limited to tier 1

Facility Standard addressing broader social risks including labor rights and community impacts

• Facility-level social standards self assessment
• Environmental management system records
• OHS incident and near-miss log
• Governance and ethics policy acknowledgements

• Self assessments not validated by independent review
• EMS scope misses key emission sources
• OHS incidents underreported at facility level
• Governance training not refreshed for new managers

Environmental risk assessment and management requirements for smelting and refining facilities

• Facility-level social standards self assessment
• Environmental management system records
• OHS incident and near-miss log
• Governance and ethics policy acknowledgements

• Self assessments not validated by independent review
• EMS scope misses key emission sources
• OHS incidents underreported at facility level
• Governance training not refreshed for new managers

Occupational health and safety and governance risk assessment requirements at the facility level

• Facility-level social standards self assessment
• Environmental management system records
• OHS incident and near-miss log
• Governance and ethics policy acknowledgements

• Self assessments not validated by independent review
• EMS scope misses key emission sources
• OHS incidents underreported at facility level
• Governance training not refreshed for new managers

Per RMAP: risk. Requirements include (a) Risk Identification including high-risk circumstances + (b) Risk Mitigation including reasonable steps + (c) supply chain risk assessment.

• RMAP evidence for RMIRMA-2

• due diligence + audit partial