Auditor Information

RMI Audit Firm and Auditor Approval Process 

The RMI approves auditors to enable them to conduct Responsible Minerals Assurance Process (RMAP) audits. The auditor approval process is designed to verify that auditors have appropriate experience and expertise, and that there is no conflict of interest when undertaking RMAP audits for smelters. The approval process follows the relevant requirements outlined in ISO 17011, the international standard for accrediting certification/assessment bodies. Please review Audit Firm and Auditor Approval Process for detailed information on RMI requirements.

To become an approved auditing body for RMAP, audit firms must complete the RMAP Audit Firm Approval Application, fill out the Approved Auditor List as well as the Auditor Approval Application for each auditor on the List, and return it to the RMI for consideration (please email us here). Each individual auditor candidacy, nominated by the approved audit firm, is also to be reviewed and approved by the RMI before the auditors are able to conduct RMAP audits.

RMAP Audit Documents and Tools


Auditor Training 

The auditor approval process is supported by specific on-line and in-person courses on RMAP’s audit protocols and procedures, in addition to the pre-requisites for relevant auditor training/certifications and experience. Auditor on-line training courses can be found on the RMI eLearning Academy (free and open to all). A list of the required on-line courses is included below. Click here to request credentials for the eLearning Academy. Approved auditors are also required to undergo an in-person auditor training whenever available in their region.

Required Auditor Courses

  1. RMI & RMAP Overview
    • RMI Responsible Sourcing*
    • RMI Responsible Minerals Assurance Process - Basic Due Diligence*
    • RMI Management Systems*
  2.  
  3. RMAP Training Modules
    • Overview of the RMI’s RMAP Standard*
    • Practical Implementation of the RMI’s RMAP Standard*
    • OECD Due Diligence Guidance Step 1*
    • Introduction to Auditing Against the RMI's RMAP Standard*
    • Risk management for low-risk sources*
    • Risk management for high-risk sources*
    • Introduction to the RMI’s RMAP Gold Standard**
    • RMI’s RMAP Assessment Tools
  4.  
  5. RMAP Featured Topics
    • Introduction to the OECD Due Diligence Guidance*
    • Tools for Responsible Mineral Sourcing from High-Risk Areas*
    • Identifying Responsible Mineral Sourcing Risks*
    • Identifying Conflict-Affected and High-Risk Areas (CAHRAs)*
    • KYC and AML**
    • Responsible Cobalt Sourcing** 
    • Responsible Gold Sourcing** 
  6.  
  7. Other Required Topics
    • RMI Remote Auditor Training (November 2020)*
    • RMI Virtual Auditor Training (March 2020)*
    • Cobalt Standard - Auditor Training**
    • Understanding Cobalt Supply Chains** 
    • Joint RMI - LBMA - RJC Auditor Training: Due Diligence of Gold Refiners**
    • RMI Auditor Training 2019: Revised Procedure and Assessment Tools
    • RMI Downstream Assessment Program (DAP)* 
      • Downstream Auditor Training
      • RMI Downstream Program Webinar
    • Upstream Assurance Mechanism Training
      • ITSCI Program Documents
      • Better Sourcing Program (BSP) Training Recording
    • Smelting & Refining 101: Tantalum**
    • Smelting & Refining 101: Tin**
    • Smelting & Refining 101: Tungsten**
    • Smelting & Refining 101: Gold**

Topics for Auditors Conducting Assessments Against Voluntary ESG Standard

  • Risk Readiness Assessment Criteria - Freshwater Management and Conservation
  • Risk Readiness Assessment Criteria - Greenhouse Gas (GHG) Emissions
  • Risk Readiness Assessment Criteria - Human Rights

 

* To be completed online before conducting the first audit

** To be completed before conducting mineral-specific audit


Fully Approved Auditing Firms

RMAP and Downstream Audit Program

Arche Advisors
http://www.archeadvisors.com/

Based in the U.S.
Scope: RMAP and DAP - International
Approved since 2016

Intertek 
https://www.intertek.com/

Based in the UK
Scope: RMAP and DAP - International
Approved since 2016

SCS Global Services
https://www.scsglobalservices.com/

Based in the U.S.
Scope: RMAP and DAP -International
Approved since 2016

UL
http://www.ul.com/

Based in the U.S.
Scope: RMAP and DAP - International
Approved since 2010

SGS
http://www.sgs.com/

Based in Switzerland and Hong Kong
Scope: RMAP and DAP - China 
Approved since 2011

RCS Global 
http://www.rcsglobal.com/

Based in the UK
Scope: RMAP - Cobalt crude refiners (DRC); DAP - International 
Approved since 2019


Provisionally Approved Auditing Firms

ERM CVS (through October 30, 2021)
www.ermcvs.com
Scope: International, based in the US
Auditing RMAP since 2021

BDO (through October 30, 2021)
www.bdo.co.uk
Scope: International, based in the UK
Auditing RMAP since 2021

TDI (through October 30, 2021)
https://www.thedragonflyinitiative.com/
Scope: International, based in the UK
Auditing RMAP since 2020

PWC Belgium (through October 30, 2021)
https://www.pwc.be/en
Scope: International, based in Belgium 
Auditing RMAP since 2020

Note: Auditing firms conducting audits in China require additional approval.

The RMI regularly reviews information submitted by auditing firms to assess their continued acceptability to remain on the list of approved auditors. All approved auditors must undergo re-approval to remain on the list of approved firms every three years. To apply for re-approval, please use the same form as for the initial application.

Any concerns about the RMAP can be raised directly to RMI staff and through the Grievances and Complaints Mechanism page (anonymous feedback option available).