UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
FORM SD
Specialized Disclosure Report
 
 
Lyft, Inc.
(Exact name of registrant as specified in its charter)
 
 
 
Delaware 001-38846 20-8809830
(State or other jurisdiction of
incorporation or organization)
 
(Commission
File Number)
 (I.R.S. Employer
Identification Number)
 
185 Berry Street, Suite 400
San Francisco, California
 94107
(Address of principal executive offices) (Zip Code)
Erin Brewer
Chief Financial Officer
(844) 250-2773
(Name and telephone number, including area code,
of the person to contact in connection with this report.)
 
 
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
 
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023.
Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended December 31, 2023.
 
 



Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
Information required by this Item is incorporated by reference to the Conflict Minerals Report attached hereto as Exhibit 1.01.
A copy of this Form SD, including the Lyft, Inc. Conflict Minerals Report, is publicly available at https://investor.lyft.com/financials-and-reports/esg/default.aspx.
Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD. 
Section 3 – Exhibits
Item 3.01 Exhibits
The following exhibit is filed as part of this Report.    




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

Date: May 29, 2024
LYFT, INC.
By:
/s/ Erin Brewer
Erin Brewer
Chief Financial Officer











Exhibit 1.01
Conflict Minerals Report
Lyft, Inc. - For Year Ending December 31, 2023

COMPANY OVERVIEW

This report has been prepared by the management of Lyft, Inc. (herein referred to as “Lyft”, the “Company”, “we”, “us”, or “our”). The information includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated.

Lyft is a ridesharing marketplace that connects drivers with riders via the Lyft mobile application in cities across the United States and in select cities in Canada. To complement its software offering, Lyft designs and contracts to manufacture equipment in Lyft’s micro-mobility network including bicycles, e-bicycles, scooters, and bike stations, as well as vehicle accessories (e.g., Lyft Glow in-car emblem and Halo vehicle rooftop digital screens).

FORWARD LOOKING STATEMENTS

This Conflict Minerals Report contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. These statements include, but are not limited to, statements regarding any plans or intentions to improve the number and quality of supplier and smelter response rates; efforts to have suppliers remove certain smelters or refiners from their supply chains; the improvement of due diligence efforts with suppliers; and steps we intend to take to mitigate risk in our supply chain. These forward-looking statements involve risks and uncertainties that could cause actual results to differ materially from those projected. In particular, Lyft’s actions and the results of those actions may be affected by: (a) changes in global regulations related to the extraction of and disclosure obligations related to conflict minerals; (b) the ability of our direct suppliers and smelters to provide accurate information in response to our requests; (c) the availability of alternate sources of materials necessary to the functionality or production of our products on commercially reasonable terms or at all; (d) the ability of certified smelters to meet the demand for raw materials; and (e) limits on our ability to unilaterally influence supplier behavior. These forward-looking statements are made as of the date hereof and Lyft assumes no obligation to update such statements.

INTRODUCTION

For the 2023 calendar year, Lyft determined that tin, tungsten, tantalum and/or gold (“3TGs”) were necessary to the functionality or production of certain products that were manufactured or contracted to be manufactured by Lyft. Therefore, Lyft conducted a reasonable country of origin inquiry (“RCOI”) in good faith to determine whether any of the 3TGs in the products that Lyft manufactured or contracted others to manufacture, and that are covered in this report (collectively, the “Covered Products”) originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively referred to as the “Covered Countries”). Based on its RCOI, Lyft believes that its Covered Products could contain 3TGs that may have originated in the Covered Countries and, therefore, in accordance with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (from here on referred



to “Section 1502 of the Dodd-Frank Act” or “the Rule”), performed due diligence on the source and chain of custody of the 3TGs in question to determine whether its Covered Products are “DRC Conflict Free.” Lyft designed its due diligence measures to conform, in all material respects, with the internationally recognized due diligence framework in The Organization for Economic Co-Operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related supplements for gold, tin, tantalum, and tungsten (the “OECD Guidance”).

Lyft is committed to upholding responsible sourcing practices. As such, Lyft has implemented a Supplier Code of Conduct (the “Supplier Code”) to formalize its efforts to uphold human rights and responsible practices across the supply chain. Lyft’s Supplier Code encompasses regulatory, compliance, and ethical requirements and covers human rights and labor, health and safety, environmental, ethics (which covers responsible sourcing of minerals), and intellectual property categories and also provides for audit, investigation, and reporting mechanisms.

CONFLICT MINERALS PROGRAM

Lyft’s requirement for responsible sourcing of minerals is incorporated into our Supplier Code, and is available online at https://www.lyft.com/suppliers/code-of-conduct.

REASONABLE COUNTRY OF ORIGIN INQUIRY

To determine whether necessary 3TGs in Covered Products originated in Covered Countries, Lyft contracted with Assent Inc. (“Assent”), a third-party service provider, to assist us in reviewing the supply chain and identifying risks. We provided a list of suppliers and parts associated with the Covered Products to Assent for upload to the Assent Sustainability Manager (“ASM”).

To collect data on the origin of materials procured by the supply chain, Lyft utilized the Conflict Minerals Reporting Template (“CMRT”) version 6.31 to conduct a survey of all suppliers that provide Covered Products to Lyft since only those parts could contain 3TGs (“in-scope suppliers”).

During the supplier survey, we 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, we requested that all in-scope 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. On behalf of Lyft, Assent directly contacted suppliers that were unresponsive during the diligence process, and requested these suppliers complete the CMRT and submit it to Assent.
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Our program includes automated data validation on all submitted CMRTs. 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 suppliers who sell parts directly to Lyft (“Tier 1 suppliers”). The results of this data validation contribute to the program’s health assessment and are shared with the suppliers through invalid submission campaigns to ensure they understand areas that require clarification or improvement.

All submitted forms are accepted and data is retained and classified as valid or invalid based on a set of validation errors (see appendix C for CMRT validation criteria). Invalid CMRTs include non-responsive, incomplete, or contradicting answers. 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, Assent tracks non-responses on behalf of Lyft to account for future improvement opportunities.

For reporting year 2023, there were 123 suppliers in scope of the conflict minerals program and 62 provided a completed CMRT. Lyft’s total response rate for the 2023 reporting year was 50.41%.

DESIGN OF DUE DILIGENCE

Lyft designed its due diligence measures to conform, in all material respects, with the framework in the OECD Guidance. The program aligns with the five steps for due diligence that are described by the OECD Guidance and Lyft continues to evaluate market expectations for data collection and reporting to assess opportunities for improvement.

Due diligence requires our 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 be fully controlled by Lyft. However, Lyft’s due diligence process, including outreach and process validation, active risk identification, and risk assessment conducted by Assent, conforms with the OECD’s guidance as it relates to Lyft’s position as a downstream purchaser.

DUE DILIGENCE PERFORMED

1)ESTABLISH STRONG COMPANY MANAGEMENT SYSTEMS

Internal Compliance Team

Lyft established a cross-functional team responsible for implementing the conflict minerals compliance strategy and briefing senior management about the results of these due diligence efforts.

Lyft 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
3


diligence steps that the Company undertakes with suppliers and/or respective stakeholders with regard to conflict minerals.

Lyft leverages Assent in order to work with dedicated program specialists who support Lyft’s conflict minerals program. Lyft communicates regularly with the Assent team in order to receive updates on program status. Each member of Assent’s Customer Success team is trained in conflict minerals compliance and the relevant OECD requirements, and understands the intricacies of the CMRT and conflict minerals reporting, as well as Section 1502 of the Dodd-Frank Act.

Control Systems

Lyft expects all suppliers to have policies and procedures in place to ensure 3TGs used in the production of the products sold to Lyft are DRC Conflict Free and responsibly sourced. This means that the products must not contain 3TGs sourced from the Covered Countries or sourced with child labor. Lyft 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.

Lyft’s Supplier Code applies to all direct suppliers and outlines certain expected behaviors and practices. The Supplier Code is based on industry and internationally accepted principles such as the United Nations Guiding Principles on Business and Human Rights and the OECD Due Diligence Guidance. Lyft’s Supplier Code is available on our website to all suppliers. Lyft has the right to terminate relationships with the suppliers who do not meet Lyft’s requirements. The Supplier Code is reviewed to ensure it continues to align with industry best practices.

Supplier Engagement

Lyft has a strong relationship with Tier 1 suppliers. Lyft has leveraged processes and educational opportunities to ensure non-English speaking suppliers have access to a free platform to upload their CMRTs, help desk support and other multilingual resources. Lyft’s suppliers are able to leverage Assent’s team of supplier support specialists to ensure they receive appropriate support and understand how to properly file a CMRT. Suppliers are provided guidance in their native language, if needed.

Assent engages with suppliers directly to request a valid (free of validated errors) CMRT for the products that they supply to Lyft. With respect to the OECD requirement to strengthen engagement with suppliers, Lyft, in conjunction with Assent, has developed an internal procedure that includes steps of supplier engagement escalation including establishing a designated conflict mineral compliance communications channel and conflict mineral reporting questionnaire follow-up. This engagement process has allowed Lyft to oversee improvements in supplier responses and supplier compliance for this initiative.

Lyft places a strong emphasis on supplier education and training. To accomplish this, Assent’s online resources are leveraged, and all in-scope suppliers are provided with access to Assent’s library of conflict minerals training and support resources. Further, Assent’s automated feedback process notifies suppliers
4


of risks associated with the submitted CMRT, including incorrect submissions as well as those with high-risk smelters, and serves to educate suppliers of certain conflict minerals’ risks.

Grievance Mechanisms

Lyft has established a mechanism whereby employees and suppliers can report violations of our policies, including with respect to conflict minerals. Suppliers and others outside of Lyft may contact Lyft’s Compliance team to report grievances or other issues by making a submission through Lyft’s Compliance & Ethics Hotline (the “Hotline”). A link to the Hotline is included in Lyft’s Supplier Code. The Hotline also includes toll-free telephone contact numbers and operators who speak the languages of the jurisdictions in which we operate.

Violations or grievances at the industry level can be reported to the Responsible Minerals Initiative (“RMI”) directly as well.

Maintain Records

Through Assent, a document retention policy to retain conflict minerals related documents, including supplier responses to CMRTs and the sources identified within each reporting period, has been implemented. We store all of the information and findings from this process in a database that can be audited by internal or external parties.

2)IDENTIFY & ASSESS RISK IN THE SUPPLY CHAIN

Supplier Risk Evaluation
Risks associated with Tier 1 suppliers’ due diligence processes were assessed by their declaration responses on a CMRT, which the ASM identifies automatically based on established criteria including the suppliers’ Responsible Minerals Assurance Process (“RMAP”) audit status and their geopolitical risk. These risks are addressed by Assent staff and members of Lyft’s internal conflict minerals compliance team, who contact the supplier, gather pertinent data and perform an assessment of the supplier’s conformity status, which is referred to as “conflict minerals status.”

Risks at the supplier level may include non-responsive suppliers, incomplete CMRTs, or CMRTs that are submitted at the company level. In those cases where a company-level CMRT (such as when a company declares there are 3TGs in some of its products) is submitted, we are unable to determine if all of the specified smelters and refiners were used for 3TGs in the products supplied to us.

Additionally, some suppliers indicated that they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, they could not provide a comprehensive list of all smelters or refiners in their supply chains.

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Smelter/Refiners Risk Evaluation

Risks were identified by assessing the due diligence practices and status of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent compared these facilities listed in the responses to the list of smelters and refiners consolidated by the RMI to ensure that the facilities met the recognized definition of a 3TGs processing facility that was operational during the 2023 calendar year.

Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance such as the RMAP. Lyft does not have a direct relationship with smelters and refiners and does not perform direct audits of these entities within their pre-supply chain. Smelters that are conformant to RMAP audit standards are considered to have their sourcing validated as conflict-free and responsibly sourced.

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 the Covered Countries;
Known mineral source country of origin;
RMAP audit status;
Credible evidence of unethical or conflict sourcing;
Peer assessments conducted by credible third-party sources; and
Sanctions risks.

Risk mitigation activities are initiated whenever a supplier’s CMRT reports facilities of concern. Through Assent’s automated email receipts, suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing that supplier 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 Lyft. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these smelters of concern from the supply chain. In addition, suppliers are guided to educational materials on mitigating the risks identified through the data collection process.

Suppliers are also evaluated on program strength, which assists in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program is based on the eight questions in the declarations tab in the CMRT related to the suppliers’ conflict minerals practices and policies.

3) DESIGN & IMPLEMENT A STRATEGY TO RESPOND TO RISKS

Together with Assent, Lyft has developed processes to assess and respond to the conflict minerals risk identified in the supply chain. Escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance with the conflict
6


minerals rules and Lyft’s expectations. Through email submission receipts, feedback on supplier submissions is given to suppliers and educational resources are provided to assist suppliers in corrective action methods or to improve their internal programs.

4)CARRY OUT INDEPENDENT THIRD-PARTY AUDIT OF SUPPLY CHAIN DUE DILIGENCE AT IDENTIFIED POINTS IN THE SUPPLY CHAIN

Lyft does not have a direct relationship with any 3TG smelters or refiners and does not perform or direct audits of these entities within the supply chain. Instead, Lyft relies on third-party audits of smelters and refiners by industry recognized audit/assessment programs. As an example, RMAP uses independent private-sector auditors, and audits the source, including the mines of origin, and the chain of custody of the conflict minerals used by smelters and refiners that agree to participate in the program.
5)REPORT ANNUALLY ON SUPPLY CHAIN DUE DILIGENCE

Lyft has published the Form SD for the year ended December 31, 2023. This report is available on Lyft’s website. Information found on or accessed through this website is not considered part of this report and is not incorporated by reference herein. Lyft has also publicly filed a Form SD and this report with the U.S. Securities and Exchange Commission. We will continue to expand efforts both 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 is required to identify the upstream sources of origin of 3TGs. 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 Lyft for the 2023 reporting year.

Supply Chain Outreach Metrics
YearSuppliers in Scope% Responded
RY 20213438.24%
RY 20229549.47%
RY 202312350.41%

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 of Lyft’s product lines the materials may end up in. As a result, those providing the smelters and refiners may 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 actually processed the 3TGs contained in our products.
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A Tier 1 supplier reported the presence of this upstream entity which was sanctioned by the United States Department of Treasury, Office of Foreign Assets Control on March 17, 2022, specifically, CID003185 - African Gold Refinery. Due to the over-reporting inherent in the CMRT information collection process, and the nature of the supply chains, we are unable to confirm that this smelter/refiner is or was active in our supply chain. Lyft has reached out to Tier 1 suppliers who identified this smelter/refiner, and will continue to take efforts to have these Tier 1 suppliers remove this smelter/refiner from their supply chain. We will continue working with our Tier 1 suppliers to improve due diligence efforts.

Assent 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.
StatusNumber of identified smelters/refiners
RMAP Conformant
223
RMAP Active4
Not Enrolled87
Non-Conformant
29

Countries of Origin

Appendix B includes an aggregated list of countries of origin from which the reported facilities collectively source 3TGs, based on reasonable identification of country-of-origin data obtained via Assent’s supply chain database.

Steps to Be Taken to Mitigate Risk
As of the date of this filing, Lyft has taken, or intends to take, the following steps to improve the due diligence conducted to further mitigate risk that the necessary 3TGs in Lyft’s products could originate from Conflict-Affected and High-Risk Areas or benefit armed groups in the Covered Countries. Through Assent, we continue to:

Evaluate upstream sources through a broader set of tools to evaluate risk. These include but are not limited to:
oUsing a comprehensive smelter and refiner library with detailed status and notes for each listing; and
oComparing the list of smelters and refiners against government watch and denied parties lists.
Engage with suppliers more closely, and provide more information and training resources regarding responsible sourcing of 3TGs.
Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.
Increase the emphasis on clean and validated smelter and refiner information from the supply chain through feedback and detailed smelter analysis.
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APPENDIX A: SMELTER LIST

MetalSmelter NameSmelter Facility LocationSmelter ID
Gold8853 S.p.A.ItalyCID002763
GoldABC Refinery Pty Ltd.AustraliaCID002920
GoldAbington Reldan Metals, LLCUnited States Of AmericaCID002708
GoldAdvanced Chemical CompanyUnited States Of AmericaCID000015
GoldAfrican Gold RefineryUgandaCID003185
GoldAgosi AGGermanyCID000035
GoldAida Chemical Industries Co., Ltd.JapanCID000019
GoldAl Etihad Gold Refinery DMCCUnited Arab EmiratesCID002560
GoldAlbino Mountinho Lda.PortugalCID002760
GoldAlexy MetalsUnited States Of AmericaCID003500
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UzbekistanCID000041
GoldAngloGold Ashanti Corrego do Sitio MineracaoBrazilCID000058
GoldArgor-Heraeus S.A.SwitzerlandCID000077
GoldAsahi Pretec Corp.JapanCID000082
GoldAsahi Refining Canada Ltd.CanadaCID000924
GoldAsahi Refining USA Inc.United States Of AmericaCID000920
GoldAsaka Riken Co., Ltd.JapanCID000090
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TurkeyCID000103
GoldAU Traders and RefinersSouth AfricaCID002850
GoldAugmont Enterprises Private LimitedIndiaCID003461
GoldAurubis AGGermanyCID000113
GoldBangalore RefineryIndiaCID002863
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PhilippinesCID000128
GoldBoliden ABSwedenCID000157
GoldC. Hafner GmbH + Co. KGGermanyCID000176
GoldCaridadMexicoCID000180
GoldCCR Refinery - Glencore Canada CorporationCanadaCID000185
GoldCendres + Metaux S.A.SwitzerlandCID000189
GoldCGR Metalloys Pvt Ltd.IndiaCID003382
GoldChimet S.p.A.ItalyCID000233
GoldChugai MiningJapanCID000264
GoldCoimpa Industrial LTDABrazilCID004010
GoldDaye Non-Ferrous Metals Mining Ltd.ChinaCID000343
GoldDegussa Sonne / Mond Goldhandel GmbHGermanyCID002867
GoldDijllah Gold Refinery FZCUnited Arab EmiratesCID003348
GoldDongwu Gold GroupChinaCID003663
GoldDowaJapanCID000401
GoldDSC (Do Sung Corporation)Korea, Republic OfCID000359
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GoldEco-System Recycling Co., Ltd. East PlantJapanCID000425
GoldEco-System Recycling Co., Ltd. North PlantJapanCID003424
GoldEco-System Recycling Co., Ltd. West PlantJapanCID003425
GoldEmerald Jewel Industry India Limited (Unit 1)IndiaCID003487
GoldEmerald Jewel Industry India Limited (Unit 2)IndiaCID003488
GoldEmerald Jewel Industry India Limited (Unit 3)IndiaCID003489
GoldEmerald Jewel Industry India Limited (Unit 4)IndiaCID003490
GoldEmirates Gold DMCCUnited Arab EmiratesCID002561
GoldFidelity Printers and Refiners Ltd.ZimbabweCID002515
GoldFujairah Gold FZCUnited Arab EmiratesCID002584
GoldGGC Gujrat Gold Centre Pvt. Ltd.IndiaCID002852
GoldGold by Gold ColombiaColombiaCID003641
GoldGold Coast RefineryGhanaCID003186
GoldGold Refinery of Zijin Mining Group Co., Ltd.ChinaCID002243
GoldGreat Wall Precious Metals Co., Ltd. of CBPMChinaCID001909
GoldGuangdong Jinding Gold LimitedChinaCID002312
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.ChinaCID000651
GoldHangzhou Fuchunjiang Smelting Co., Ltd.ChinaCID000671
GoldHeimerle + Meule GmbHGermanyCID000694
GoldHeraeus Germany GmbH Co. KGGermanyCID000711
GoldHeraeus Metals Hong Kong Ltd.ChinaCID000707
GoldHunan Chenzhou Mining Co., Ltd.ChinaCID000767
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.ChinaCID000773
GoldHwaSeong CJ CO., LTD.Korea, Republic OfCID000778
GoldIndustrial Refining CompanyBelgiumCID002587
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.ChinaCID000801
GoldInternational Precious Metal RefinersUnited Arab EmiratesCID002562
GoldIshifuku Metal Industry Co., Ltd.JapanCID000807
GoldIstanbul Gold RefineryTurkeyCID000814
GoldItalpreziosiItalyCID002765
GoldJALAN & CompanyIndiaCID002893
GoldJapan MintJapanCID000823
GoldJiangxi Copper Co., Ltd.ChinaCID000855
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GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRussian FederationCID000927
GoldJSC Novosibirsk RefineryRussian FederationCID000493
GoldJSC UralelectromedRussian FederationCID000929
GoldJX Nippon Mining & Metals Co., Ltd.JapanCID000937
GoldK.A. RasmussenNorwayCID003497
GoldKaloti Precious MetalsUnited Arab EmiratesCID002563
GoldKazakhmys Smelting LLCKazakhstanCID000956
GoldKazzincKazakhstanCID000957
GoldKennecott Utah Copper LLCUnited States Of AmericaCID000969
GoldKGHM Polska Miedz Spolka AkcyjnaPolandCID002511
GoldKojima Chemicals Co., Ltd.JapanCID000981
GoldKorea Zinc Co., Ltd.Korea, Republic OfCID002605
GoldKundan Care Products Ltd.IndiaCID003463
GoldKyrgyzaltyn JSCKyrgyzstanCID001029
GoldKyshtym Copper-Electrolytic Plant ZAORussian FederationCID002865
GoldL'azurde Company For JewelrySaudi ArabiaCID001032
GoldLingbao Gold Co., Ltd.ChinaCID001056
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.ChinaCID001058
GoldL'Orfebre S.A.AndorraCID002762
GoldLS-NIKKO Copper Inc.Korea, Republic OfCID001078
GoldLT Metal Ltd.Korea, Republic OfCID000689
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.ChinaCID001093
GoldMarsam MetalsBrazilCID002606
GoldMaterionUnited States Of AmericaCID001113
GoldMatsuda Sangyo Co., Ltd.JapanCID001119
GoldMD OverseasIndiaCID003548
GoldMetal Concentrators SA (Pty) Ltd.South AfricaCID003575
GoldMetallix Refining Inc.United States Of AmericaCID003557
GoldMetalor Technologies (Hong Kong) Ltd.ChinaCID001149
GoldMetalor Technologies (Singapore) Pte., Ltd.SingaporeCID001152
GoldMetalor Technologies (Suzhou) Ltd.ChinaCID001147
GoldMetalor Technologies S.A.SwitzerlandCID001153
GoldMetalor USA Refining CorporationUnited States Of AmericaCID001157
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MexicoCID001161
GoldMitsubishi Materials CorporationJapanCID001188
GoldMitsui Mining and Smelting Co., Ltd.JapanCID001193
GoldMKS PAMP SASwitzerlandCID001352
GoldMMTC-PAMP India Pvt., Ltd.IndiaCID002509
GoldModeltech Sdn BhdMalaysiaCID002857
GoldMorris and WatsonNew ZealandCID002282
GoldMoscow Special Alloys Processing PlantRussian FederationCID001204
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GoldNadir Metal Rafineri San. Ve Tic. A.S.TurkeyCID001220
GoldNavoi Mining and Metallurgical CombinatUzbekistanCID001236
GoldNH Recytech CompanyKorea, Republic OfCID003189
GoldNihon Material Co., Ltd.JapanCID001259
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAustriaCID002779
GoldOhura Precious Metal Industry Co., Ltd.JapanCID001325
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)Russian FederationCID001326
GoldPease & CurrenUnited States Of AmericaCID002872
GoldPenglai Penggang Gold Industry Co., Ltd.ChinaCID001362
GoldPlanta Recuperadora de Metales SpAChileCID002919
GoldPrioksky Plant of Non-Ferrous MetalsRussian FederationCID001386
GoldPT Aneka Tambang (Persero) TbkIndonesiaCID001397
GoldPX Precinox S.A.SwitzerlandCID001498
GoldQG Refining, LLCUnited States Of AmericaCID003324
GoldRand Refinery (Pty) Ltd.South AfricaCID001512
GoldRefinery of Seemine Gold Co., Ltd.ChinaCID000522
GoldREMONDIS PMR B.V.NetherlandsCID002582
GoldRoyal Canadian MintCanadaCID001534
GoldSAAMPFranceCID002761
GoldSabin Metal Corp.United States Of AmericaCID001546
GoldSafimet S.p.AItalyCID002973
GoldSAFINA A.S.CzechiaCID002290
GoldSai RefineryIndiaCID002853
GoldSamduck Precious MetalsKorea, Republic OfCID001555
GoldSamwon Metals Corp.Korea, Republic OfCID001562
GoldSEMPSA Joyeria Plateria S.A.SpainCID001585
GoldShandong Gold Smelting Co., Ltd.ChinaCID001916
GoldShandong Humon Smelting Co., Ltd.ChinaCID002525
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.ChinaCID001619
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.ChinaCID001622
GoldShenzhen CuiLu Gold Co., Ltd.ChinaCID002750
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.ChinaCID002527
GoldShirpur Gold Refinery Ltd.IndiaCID002588
GoldSichuan Tianze Precious Metals Co., Ltd.ChinaCID001736
GoldSingway Technology Co., Ltd.Taiwan, Province Of ChinaCID002516
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRussian FederationCID001756
GoldSolar Applied Materials Technology Corp.Taiwan, Province Of ChinaCID001761
GoldSovereign MetalsIndiaCID003383
12


GoldState Research Institute Center for Physical Sciences and TechnologyLithuaniaCID003153
GoldSudan Gold RefinerySudanCID002567
GoldSumitomo Metal Mining Co., Ltd.JapanCID001798
GoldSungEel HiMetal Co., Ltd.Korea, Republic OfCID002918
GoldSuper Dragon Technology Co., Ltd.Taiwan, Province Of ChinaCID001810
GoldT.C.A S.p.AItalyCID002580
GoldTanaka Kikinzoku Kogyo K.K.JapanCID001875
GoldTokuriki Honten Co., Ltd.JapanCID001938
GoldTongling Nonferrous Metals Group Co., Ltd.ChinaCID001947
GoldTOO Tau-Ken-AltynKazakhstanCID002615
GoldTorecomKorea, Republic OfCID001955
GoldUmicore Precious Metals ThailandThailandCID002314
GoldUmicore S.A. Business Unit Precious Metals RefiningBelgiumCID001980
GoldUnited Precious Metal Refining, Inc.United States Of AmericaCID001993
GoldValcambi S.A.SwitzerlandCID002003
GoldWEEEREFININGFranceCID003615
GoldWestern Australian Mint (T/a The Perth Mint)AustraliaCID002030
GoldWIELAND Edelmetalle GmbHGermanyCID002778
GoldYamakin Co., Ltd.JapanCID002100
GoldYokohama Metal Co., Ltd.JapanCID002129
GoldYunnan Copper Industry Co., Ltd.ChinaCID000197
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationChinaCID002224
Tantalum5D Production OUEstoniaCID003926
TantalumAMG BrasilBrazilCID001076
TantalumD Block Metals, LLCUnited States Of AmericaCID002504
TantalumF&X Electro-Materials Ltd.ChinaCID000460
TantalumFIR Metals & Resource Ltd.ChinaCID002505
TantalumGlobal Advanced Metals AizuJapanCID002558
TantalumGlobal Advanced Metals BoyertownUnited States Of AmericaCID002557
TantalumGuangdong Rising Rare Metals-EO Materials Ltd.ChinaCID000291
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.ChinaCID002492
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.ChinaCID002512
TantalumJiangxi Tuohong New Raw MaterialChinaCID002842
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.ChinaCID000914
TantalumJiujiang Tanbre Co., Ltd.ChinaCID000917
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.ChinaCID002506
13


TantalumKEMET de MexicoMexicoCID002539
TantalumMaterion Newton Inc.United States Of AmericaCID002548
TantalumMetallurgical Products India Pvt., Ltd.IndiaCID001163
TantalumMineracao Taboca S.A.BrazilCID001175
TantalumMitsui Mining and Smelting Co., Ltd.JapanCID001192
TantalumNingxia Orient Tantalum Industry Co., Ltd.ChinaCID001277
TantalumNPM Silmet ASEstoniaCID001200
TantalumPowerX Ltd.RwandaCID004054
TantalumQuantumCleanUnited States Of AmericaCID001508
TantalumResind Industria e Comercio Ltda.BrazilCID002707
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.ChinaCID003583
TantalumSolikamsk Magnesium Works OAORussian FederationCID001769
TantalumTaki Chemical Co., Ltd.JapanCID001869
TantalumTANIOBIS Co., Ltd.ThailandCID002544
TantalumTANIOBIS GmbHGermanyCID002545
TantalumTANIOBIS Japan Co., Ltd.JapanCID002549
TantalumTANIOBIS Smelting GmbH & Co. KGGermanyCID002550
TantalumTelex MetalsUnited States Of AmericaCID001891
TantalumUlba Metallurgical Plant JSCKazakhstanCID001969
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDChinaCID000616
TantalumXinXing HaoRong Electronic Material Co., Ltd.ChinaCID002508
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.ChinaCID001522
TinAlphaUnited States Of AmericaCID000292
TinAn Vinh Joint Stock Mineral Processing CompanyVietnamCID002703
TinAurubis BeerseBelgiumCID002773
TinAurubis BerangoSpainCID002774
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.ChinaCID000228
TinChifeng Dajingzi Tin Industry Co., Ltd.ChinaCID003190
TinChina Tin Group Co., Ltd.ChinaCID001070
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBrazilCID003486
TinCRM SynergiesSpainCID003524
TinCV Ayi JayaIndonesiaCID002570
TinCV Venus Inti PerkasaIndonesiaCID002455
TinDongguan CiEXPO Environmental Engineering Co., Ltd.ChinaCID003356
TinDowaJapanCID000402
TinDS MyanmarMyanmarCID003831
14


TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVietnamCID002572
TinEM VintoBolivia (Plurinational State Of)CID000438
TinEstanho de Rondonia S.A.BrazilCID000448
TinFabrica Auricchio Industria e Comercio Ltda.BrazilCID003582
TinFenix MetalsPolandCID000468
TinGejiu City Fuxiang Industry and Trade Co., Ltd.ChinaCID003410
TinGejiu Kai Meng Industry and Trade LLCChinaCID000942
TinGejiu Non-Ferrous Metal Processing Co., Ltd.ChinaCID000538
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.ChinaCID001908
TinGejiu Zili Mining And Metallurgy Co., Ltd.ChinaCID000555
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.ChinaCID003116
TinHuiChang Hill Tin Industry Co., Ltd.ChinaCID002844
TinJiangxi New Nanshan Technology Ltd.ChinaCID001231
TinLuna Smelter, Ltd.RwandaCID003387
TinMa'anshan Weitai Tin Co., Ltd.ChinaCID003379
TinMagnu's Minerais Metais e Ligas Ltda.BrazilCID002468
TinMalaysia Smelting Corporation (MSC)MalaysiaCID001105
TinMelt Metais e Ligas S.A.BrazilCID002500
TinMetallic Resources, Inc.United States Of AmericaCID001142
TinMineracao Taboca S.A.BrazilCID001173
TinMining Minerals Resources SARLCongo, Democratic Republic Of TheCID004065
TinMinsurPeruCID001182
TinMitsubishi Materials CorporationJapanCID001191
TinModeltech Sdn BhdMalaysiaCID002858
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVietnamCID002573
TinNovosibirsk Tin CombineRussian FederationCID001305
TinO.M. Manufacturing (Thailand) Co., Ltd.ThailandCID001314
TinO.M. Manufacturing Philippines, Inc.PhilippinesCID002517
TinOperaciones Metalurgicas S.A.Bolivia (Plurinational State Of)CID001337
TinPongpipat Company LimitedMyanmarCID003208
TinPrecious Minerals and Smelting LimitedIndiaCID003409
TinPT Aries Kencana SejahteraIndonesiaCID000309
TinPT Artha Cipta LanggengIndonesiaCID001399
15


TinPT ATD Makmur Mandiri JayaIndonesiaCID002503
TinPT Babel Inti PerkasaIndonesiaCID001402
TinPT Babel Surya Alam LestariIndonesiaCID001406
TinPT Bangka Prima TinIndonesiaCID002776
TinPT Bangka SerumpunIndonesiaCID003205
TinPT Bangka Tin IndustryIndonesiaCID001419
TinPT Belitung Industri SejahteraIndonesiaCID001421
TinPT Bukit TimahIndonesiaCID001428
TinPT Cipta Persada MuliaIndonesiaCID002696
TinPT Menara Cipta MuliaIndonesiaCID002835
TinPT Mitra Stania PrimaIndonesiaCID001453
TinPT Mitra Sukses GlobalindoIndonesiaCID003449
TinPT Panca Mega PersadaIndonesiaCID001457
TinPT Premium Tin IndonesiaIndonesiaCID000313
TinPT Prima Timah UtamaIndonesiaCID001458
TinPT Putera Sarana Shakti (PT PSS)IndonesiaCID003868
TinPT Rajawali Rimba PerkasaIndonesiaCID003381
TinPT Rajehan AriqIndonesiaCID002593
TinPT Refined Bangka TinIndonesiaCID001460
TinPT Sariwiguna BinasentosaIndonesiaCID001463
TinPT Stanindo Inti PerkasaIndonesiaCID001468
TinPT Sukses Inti MakmurIndonesiaCID002816
TinPT Timah NusantaraIndonesiaCID001486
TinPT Timah Tbk KundurIndonesiaCID001477
TinPT Timah Tbk MentokIndonesiaCID001482
TinPT Tinindo Inter NusaIndonesiaCID001490
TinPT Tirus Putra MandiriIndonesiaCID002478
TinPT Tommy UtamaIndonesiaCID001493
TinResind Industria e Comercio Ltda.BrazilCID002706
TinRui Da HungTaiwan, Province Of ChinaCID001539
TinSuper LigasBrazilCID002756
TinThaisarcoThailandCID001898
TinTin Smelting Branch of Yunnan Tin Co., Ltd.ChinaCID002180
TinTin Technology & RefiningUnited States Of AmericaCID003325
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVietnamCID002574
TinVQB Mineral and Trading Group JSCVietnamCID002015
TinWhite Solder Metalurgia e Mineracao Ltda.BrazilCID002036
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.ChinaCID002158
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.ChinaCID003397
TungstenA.L.M.T. Corp.JapanCID000004
TungstenACL Metais EireliBrazilCID002833
16


TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BrazilCID003427
TungstenArtek LLCRussian FederationCID003553
TungstenAsia Tungsten Products Vietnam Ltd.VietnamCID002502
TungstenChina Molybdenum Tungsten Co., Ltd.ChinaCID002641
TungstenChongyi Zhangyuan Tungsten Co., Ltd.ChinaCID000258
TungstenCNMC (Guangxi) PGMA Co., Ltd.ChinaCID000281
TungstenCronimet Brasil LtdaBrazilCID003468
TungstenDONGKUK INDUSTRIES CO., LTD.Korea, Republic OfCID004060
TungstenFujian Xinlu Tungsten Co., Ltd.ChinaCID003609
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.ChinaCID002315
TungstenGanzhou Seadragon W & Mo Co., Ltd.ChinaCID002494
TungstenGlobal Tungsten & Powders LLCUnited States Of AmericaCID000568
TungstenGuangdong Xianglu Tungsten Co., Ltd.ChinaCID000218
TungstenH.C. Starck Tungsten GmbHGermanyCID002541
TungstenHANNAE FOR T Co., Ltd.Korea, Republic OfCID003978
TungstenHubei Green Tungsten Co., Ltd.ChinaCID003417
TungstenHunan Chenzhou Mining Co., Ltd.ChinaCID000766
TungstenHunan Jintai New Material Co., Ltd.ChinaCID000769
TungstenHunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products BranchChinaCID002513
TungstenHydrometallurg, JSCRussian FederationCID002649
TungstenJapan New Metals Co., Ltd.JapanCID000825
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.ChinaCID002551
TungstenJiangxi Gan Bei Tungsten Co., Ltd.ChinaCID002321
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.ChinaCID002313
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.ChinaCID002318
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.ChinaCID002317
TungstenJiangxi Yaosheng Tungsten Co., Ltd.ChinaCID002316
TungstenJSC "Kirovgrad Hard Alloys Plant"Russian FederationCID003408
TungstenKennametal FallonUnited States Of AmericaCID000966
TungstenKennametal HuntsvilleUnited States Of AmericaCID000105
TungstenLianyou Metals Co., Ltd.Taiwan, Province Of ChinaCID003407
TungstenLLC VostokRussian FederationCID003643
TungstenMalipo Haiyu Tungsten Co., Ltd.ChinaCID002319
TungstenMasan High-Tech MaterialsVietnamCID002543
TungstenMoliren Ltd.Russian FederationCID002845
TungstenNiagara Refining LLCUnited States Of AmericaCID002589
TungstenNPP Tyazhmetprom LLCRussian FederationCID003416
TungstenOOO “Technolom” 1Russian FederationCID003614
TungstenOOO “Technolom” 2Russian FederationCID003612
17


TungstenPhilippine Chuangxin Industrial Co., Inc.PhilippinesCID002827
TungstenTANIOBIS Smelting GmbH & Co. KGGermanyCID002542
TungstenTungsten Vietnam Joint Stock CompanyVietnamCID003993
TungstenUnecha Refractory metals plantRussian FederationCID002724
TungstenWolfram Bergbau und Hutten AGAustriaCID002044
TungstenXiamen Tungsten (H.C.) Co., Ltd.ChinaCID002320
TungstenXiamen Tungsten Co., Ltd.ChinaCID002082
TungstenYUDU ANSHENG TUNGSTEN CO., LTD.ChinaCID003662




18


APPENDIX B: COUNTRIES OF ORIGIN
Includes: List of countries that declared smelters are known to source from

AlbaniaEcuadorKyrgyzstanSaudi Arabia
AndorraEgyptLiberiaSenegal
AngolaEl SalvadorLiechtensteinSerbia
ArgentinaEritreaLithuaniaSierra Leone
ArmeniaEstoniaLuxembourgSingapore
AustraliaEthiopiaMadagascarSlovakia
AustriaFijiMalaysiaSolomon Islands
AzerbaijanFinlandMaliSouth Africa
BelarusFranceMauritaniaSouth Sudan
BelgiumGeorgiaMexicoSpain
BeninGermanyMongoliaSudan
BermudaGhanaMoroccoSuriname
Bolivia (Plurinational State of)GuamMozambiqueSweden
BotswanaGuatemalaMyanmarSwitzerland
BrazilGuineaNamibiaTaiwan
BulgariaGuyanaNetherlandsTajikistan
Burkina FasoHondurasNew ZealandTanzania
BurundiHong KongNicaraguaThailand
CambodiaHungaryNigerTogo
CanadaIndiaNigeriaTurkey
Central African RepublicIndonesiaNorwayUganda
ChileIrelandOmanUnited Arab Emirates
ChinaIsraelPanamaUnited Kingdom
ColombiaItalyPapua New GuineaUnited States of America
CongoIvory CoastPeruUruguay
CyprusJapanPhilippinesUzbekistan
Democratic Republic of CongoJerseyPolandVietnam
DjiboutiKazakhstanPortugalZambia
DominicaKenyaRussian Federation
Dominican RepublicKoreaRwanda




19


Appendix C: CMRT Declaration Rejection/Approval Criteria

Assent Sustainability Platform Logic Structure

The following tables map the Assent Sustainability Platform’s status outputs and CMRT logic structure when determining supplier conflict mineral statuses as displayed on the dashboard. Using this table, and referencing the CMRT questions listed above, users will be able to determine what answers were provided by their suppliers to earn their conflict minerals statuses.

Dashboard Supplier Response Statuses

Supplier StatusDescription
Not SubmittedA CMRT has not been submitted by the supplier
CompleteA CMRT has been submitted, and is valid and complete
IncompleteA supplier with parts associated to them has submitted a partially completed Product-Level or User-Defined CMRT
Invalid SubmissionA CMRT has been submitted and deemed invalid based on contradicting responses in the template
Out of ScopeThe supplier is out of scope for conflict minerals and does not need to be contacted


20

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