Form: SD

Specialized Disclosure Report filed pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1)

May 6, 2016

Exhibit 1.01

 

CLEAN ENERGY FUELS CORP.

Conflict Minerals Report

For the Reporting Period from January 1, 2015 to December 31, 2015

 

This Conflict Minerals Report (the “Report”) of Clean Energy Fuels Corp. (the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (collectively, the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2015 to December 31, 2015 (the “Reporting Period”). As permitted by applicable guidance of the Securities and Exchange Commission, the Company has not obtained an independent private sector audit within the meaning of the Rule.

 

Overview of the Company and the Rule

 

The Company is the leading provider of natural gas as an alternative fuel for vehicle fleets in the United States and Canada, based on the number of stations operated and the amount of gasoline gallon equivalents (“GGEs”) of compressed natural gas (“CNG”), liquefied natural gas (“LNG”) and renewable natural gas (“RNG”) delivered.  The Company’s principal business is supplying CNG, LNG and RNG (RNG can be delivered in the form of CNG or LNG) for light, medium and heavy-duty vehicles and providing operation, repair and maintenance (“O&M”) services for vehicle fleet customer stations. As a comprehensive solution provider, the Company also designs, builds, operates, services, repairs and maintains fueling stations, manufactures, sells and services non-lubricated natural gas fueling compressors and other equipment used in CNG stations and LNG stations, offers assessment, design and modification solutions to provide operators with code-compliant service and maintenance facilities for natural gas vehicle fleets, transports and sells CNG to large industrial and institutional energy users who do not have direct access to natural gas pipelines, processes and sells RNG, sells tradable credits it generates by selling natural gas and RNG as a vehicle fuel, and helps its customers acquire and finance natural gas vehicles and obtain federal, state and local tax credits, grants and incentives.  The Company targets customers in a variety of markets, including heavy-duty trucking, airports, refuse, public transit, industrial and institutional energy users and government fleets. As of December 31, 2015, the Company served approximately 986 fleet customers operating approximately 44,152 natural gas vehicles, and owned, operated or supplied over 570 natural gas fueling stations in 42 states in the U.S. and in British Columbia and Ontario in Canada.

 

The Rule requires disclosure of certain information if a company manufactures or contracts to manufacture products for which the minerals specified in the Rule are necessary to the functionality or production of those products.  The Rule also requires such companies to conduct certain inquiries designed to determine whether such minerals originated in the countries specified in the Rule.  The specified minerals, which are collectively referred to in this Report as the “Conflict Minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten.  The specified countries, which are collectively referred to in this Report as “Covered Countries,” are the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.  As described in this Report, certain of the Company’s operations manufacture, or contract to manufacture, products for which the Conflict Minerals are necessary to the functionality or production of those products.

 

When this Report uses the term “conflict-free,” it means the mines, smelters or refiners have been verified as complying with the Conflict-Free Smelter Program (the “CFSP”) of the Conflict-Free Sourcing Initiative (“CFSI”) or an equivalent third-party audit program.

 

Description of the Company’s Products Covered by this Report

 

This Report covers products: (i) for which Conflict Minerals are necessary to the functionality or production of the product; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which the manufacture was completed during the Reporting Period.  These products, which are collectively referred to in this Report as the “Covered Products,” consist of the following:

 

·                  CNG Compressors — products that create CNG by compressing natural gas.  This product category also includes replacement parts for CNG compressors.

 

·                  CNG Dispensers — products that dispense CNG into vehicles.  This product category also includes replacement parts for CNG dispensers.

 



 

·                  CNG Pressure Reduction Systems — systems that reduce the pressure of the natural gas that is supplied to a location.  This product category also includes replacement parts for CNG pressure reduction systems.

 

·                  LNG Pumps — products that offload LNG from cryogenic tanker trailers into storage tanks at LNG fueling stations.  LNG pumps also deliver LNG to dispensers from storage tanks.  This product category also includes replacement parts for LNG pumps.

 

·                  LNG Dispensers — products that dispense LNG into vehicles.  This product category also includes replacement parts for LNG dispensers.

 

·                  Fueling Station Support Panels — electrical storage panels used in natural gas fueling stations.  A fueling station support panel houses the point of sale system that tracks dispenser transactions, the communications system, purge fans, a digital video recorder and camera to record activities at the station and power circuits for station lighting and electrical control. This product category also includes replacement parts for fueling station support panels.

 

Third-party products that the Company retails but does not manufacture or contract to manufacture are outside the scope of this Report.

 

Overview of the Company’s Supply Chain

 

The Company’s supply chain with respect to the Covered Products is complex, and there are many third parties in the supply chain between the original sources of Conflict Minerals and the ultimate manufacture of the Covered Products.  In this regard, the Company does not purchase Conflict Minerals directly from mines, smelters or refiners.  The Company must therefore rely on its suppliers to provide information regarding the origin of Conflict Minerals that are necessary to the functionality or production of the Covered Products.  Moreover, the Company believes that the mines, smelters and refiners of the Conflict Minerals are best situated to identify the sources of Conflict Minerals, and therefore has sought to identify the applicable mines, smelters and refiners of Conflict Minerals in the Company’s supply chain.

 

The Company’s Conflict Minerals Policy

 

The Company maintains a policy relating to the Conflict Minerals (the “Company Policy”) that provides as follows:

 

·                  The Company is guided by its core beliefs and values as stated in the Company’s Code of Ethics.  The Company is committed to ethical practices and compliance with applicable laws and regulations wherever it does business.  The Company believes that its commitment to integrity and citizenship extends to its worldwide supply base.  The Company is committed to sourcing its products responsibly, and it expects its suppliers to also source materials from responsible suppliers.

 

·                  The Company expects its suppliers to partner with it to comply with the Rule.  The Company expects its suppliers to:

 

·                  Complete the Company’s Conflict Minerals survey, identifying whether any Conflict Mineral is present in the material that they sell to the Company and the smelter, refiner or mine that provided it (for this purpose, the Company’s direct suppliers may have to require successive upstream suppliers to complete the Company’s Conflict Minerals survey until the applicable smelter, refiner or mine is identified);

 

·                  Agree to cooperate fully with the Company in connection with any due diligence that the Company chooses to perform with respect to its inquiries; and

 

·                  When the Company deems it necessary, to provide reasonable proof of the due diligence performed by the supplier to support the information provided by the supplier to the Company.

 

·                  The Company evaluates its relationships with its suppliers on an ongoing basis, and reserves the right to consider the extent to which a supplier has failed to reasonably comply with the Company Policy in the course of such evaluation.

 

The Company has designed its Conflict Minerals reporting efforts to align and comply with the Rule.  The full text of the Company Policy is available at: http://investors.cleanenergyfuels.com/corporate-governance.cfm.  The foregoing website reference is intended to be an inactive textual reference and the contents of the Company’s website are not intended to be incorporated into this Report.

 



 

The Company’s Reasonable Country of Origin Inquiry and Due Diligence Process

 

The Company has conducted a good faith reasonable country of origin inquiry regarding the Conflict Minerals.  This good faith reasonable country of origin inquiry was reasonably designed to determine whether any of the Conflict Minerals originated in the Covered Countries and whether any of the Conflict Minerals may be from recycled or scrap sources.  The Company also exercised due diligence on the source and chain of custody of the Conflict Minerals as described below.

 

Due diligence process design

 

The Company’s due diligence measures have been designed to conform, in all material respects, to the framework in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas: Second Edition (2013), including the related supplements on gold, tin, tantalum and tungsten (the “OECD Guidance”).

 

Due diligence performed

 

Below is a summary of the Company’s due diligence process performed for the Covered Products for the Reporting Period.  The measures described below are not all of the measures that the Company took in respect of the Reporting Period in furtherance of the Company Policy or pursuant to the Rule and the OECD Guidance.

 

OECD Guidance Step 1: Maintain a management system

 

·                  The Company continued to make the Company Policy publicly available.

 

·                  The Company maintained a working group that oversaw its due diligence process (“Working Group”).  The Working Group was led by the Company’s General Counsel, the Company’s Manager, Supply Chain, and the Director of Supply Chain Management and Manufacturing of the Company’s Clean Energy Compression subsidiary.  The Working Group also included a Clean Energy Compression Supplier Development Specialist, the Director of LNG Engineering and the Supply Chain Manager of the Company’s Clean Energy Cryogenics subsidiary, and the Company’s Director, Legal Affairs.  The Company also engaged an external service provider to support the due diligence process.

 

·                  The Company continued to use CFSI’s Conflict Minerals Reporting Template (the “Template”) as a means for the collection of information relating to the use and origin of Conflict Minerals (including smelter data) in the Company’s supply chain.

 

OECD Guidance Step 2: Identify and assess risks

 

·                  The Company contacted its 82 identified in-scope suppliers and provided them with a summary of the Rule, links to the Template and the Company Policy, and contact information for the Company.

 

·                  To aid in the identification and assessment of potentially adverse impacts, the Company defined several “Red Flags,” or indicators that one or more items in a response are worthy of further action by the Company.  The Red Flags were designed to ensure that the Template has been completely filled out and capture (i) reasonableness of responses using logic checks; (ii) whether a supplier has initiated its own due diligence on minerals sourcing; (iii) whether any Conflict Minerals are sourced from a Covered County, and if sourced from a Covered Country, whether the identified mines, smelters or refiners are conflict-free; and (iv) whether the mines, smelters or refiners identified by suppliers are “certified” or “active” under the CFSI.

 

·                  Suppliers that did not submit the Template by the requested deadline or presented Red Flags were contacted by members of the Working Group.

 

OECD Guidance Step 3: Design and implement strategy to respond to risk

 

·                  The Working Group reported the findings of the due diligence program to the Company’s senior management and Board of Directors.

 



 

·                  The Company maintained a risk management plan that establishes supplier risk management strategies, and followed up with suppliers as needed in accordance with such plan.

 

OECD Guidance Step 4: Carry out independent third-party audits of the supply chain

 

·                  The Company relied on the CFSI and that organization’s CFSP for independent third-party audits of the mines, smelters and refiners in its supply chain.

 

OECD Guidance Step 5: Report on supply chain due diligence

 

·                  The Company is reporting the results of the due diligence it performed by providing this Report as Exhibit 1.01 to a Form SD filed with the Securities and Exchange Commission.  The Company also has made this Report publicly available on its website.

 

Results of Due Diligence Performed

 

The Company’s efforts to determine the mine or location of origin of the Conflict Minerals contained in the Covered Products with the greatest possible specificity consisted primarily of the due diligence measures described in this Report.  Due to the efforts of the Working Group to identify and solicit responses from in-scope suppliers, the Company received responses from 85% of its identified in-scope suppliers.  This level of supplier response constituted a 22% increase over 2014 and a 37% increase over 2013.

 

As compared to 2014, more of the suppliers contacted by the Company provided the names of the facilities from which they source Conflict Minerals; however, the suppliers that identify such facilities continue to constitute a small portion of the Company’s identified in-scope suppliers.  Some suppliers responded that they were not requesting mine, smelter or refiner names from their suppliers and/or had not implemented due diligence procedures to determine the origin of Conflict Minerals in their respective supply chains.

 

Based on the information provided by the Company’s suppliers, and taking into account the supplier responses described in the preceding paragraph, the Company believes that the facilities that may have been used to process the Conflict Minerals in the Covered Products include the facilities listed in Tables 1, 2 and 3 at the end of this Report.  Of the 368 processing facilities identified for the Reporting Period by the Company’s suppliers, 204 were validated as conflict-free, 46 have agreed to participate in the CFSP but have not yet completed the program and 118 have not been validated as conflict-free.

 

Many of the supplier responses represented their supply chain at a company-level rather than being product-specific.  As such, the list of processing facilities disclosed in this Report may contain more facilities than those that actually process the Conflict Minerals contained in the Covered Products.

 

Based on its due diligence efforts, the Company does not have sufficient information to conclusively determine the countries of origin of the Conflict Minerals in the Covered Products.  However, based on the information provided by the Company’s suppliers, the Company has reason to believe that some of the Conflict Minerals contained in the Covered Products may have originated from Covered Countries or may not be from recycled or scrap sources.

 

Steps To Be Taken

 

The Company aims to take the following steps, among others, to improve its due diligence measures and to further mitigate the risk that the necessary Conflict Minerals contained in the Covered Products finance or benefit armed groups (perpetrator of serious human rights abuses) in the Covered Countries:

 

·                  Enhancing its employee training relating to the Rule, the Company Policy and the Company’s procedures to identify and work with in-scope suppliers.

 

·                  Continuing to engage with suppliers to help them better understand the Rule and the Company Policy and to obtain accurate and complete information about the origin of Conflict Minerals in the Company’s supply chain, including improving the quality of the processing facility data provided by suppliers.

 



 

·                  Seeking opportunities to assist suppliers in building capabilities with a view to improving due diligence performance.

 

·                  Continuing its initiative to include language in its new supply contracts that requires suppliers to comply with the Company Policy.

 

·                  Engaging in industry initiatives encouraging conflict-free supply chains.

 

Forward-Looking Statements

 

This Report contains forward-looking statements regarding the Company’s business, products and Conflict Minerals efforts, including steps the Company intends to take to mitigate the risk that Conflict Minerals in its products finance or benefit armed groups in the Covered Countires.  Words such as “expects,” “believes,” “aims” and similar expressions or variations of such words are intended to identify forward-looking statements, but are not the exclusive means of identifying forward-looking statements in this Report.  Additionally, statements concerning future matters that are not historical are forward-looking statements.  Although forward-looking statements in this Report reflect the Company’s good faith judgment, such statements can only be based on facts and assumptions currently known by the Company.  Consequently, forward-looking statements are inherently subject to risks and uncertainties, and actual results and outcomes may differ materially from the results and outcomes discussed in or anticipated by the forward-looking statements.  Factors that could cause or contribute to such differences in results and outcomes include, among others: the risk that information reported to the Company by its suppliers, or industry information used by the Company, may be inaccurate; the risk that mines, smelters or refiners may not participate in the CFSP, which is a voluntary initiative; as well as risks discussed under the heading “Risk Factors” in the Company’s most recent Quarterly Report on Form 10-Q related to the Company’s compliance with government regulations and policies.  Readers are urged not to place undue reliance on forward-looking statements, which speak only as of the date of this Report.  The Company undertakes no obligation to revise or update any forward-looking statements in order to reflect any event or circumstance that may arise after the date of this Report.

 



 

Tables of Our Conflict Minerals Processing Facilities

 

Table 1.  CFSP-compliant processing facilities as of March 21, 2016.

 

Processing facilities reported in the Company’s supply chain validated as compliant according to the CFSP.

 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Gold

 

Aida Chemical Industries Co. Ltd.

 

Japan

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

Gold

 

AngloGold Ashanti Córrego do Sítio Mineração

 

Brazil

Gold

 

Argor-Heraeus S.A.

 

Switzerland

Gold

 

Asahi Pretec Corp.

 

Japan

Gold

 

Asahi Refining Canada Limited

 

Canada

Gold

 

Asahi Refining USA Inc.

 

United States

Gold

 

Asaka Riken Co., Ltd.

 

Japan

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

Gold

 

Aurubis AG

 

Germany

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Philippines

Gold

 

C. Hafner GmbH + Co. KG

 

Germany

Gold

 

CCR Refinery - Glencore Canada Corporation

 

Canada

Gold

 

Chimet S.p.A.

 

Italy

Gold

 

DODUCO GmbH

 

Germany

Gold

 

Dowa

 

Japan

Gold

 

Eco-System Recycling Co., Ltd.

 

Japan

Gold

 

Elemetal Refining, LLC

 

United States

Gold

 

Elemetal Refining, LLC

 

Japan

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

Gold

 

FSE Novosibirsk Refinery

 

Russian Federation

Gold

 

Heraeus Ltd. Hong Kong

 

China

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

Gold

 

Istanbul Gold Refinery

 

Turkey

Gold

 

Japan Mint

 

Japan

Gold

 

Jiangxi Copper Co., Ltd.

 

China

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

Russian Federation

Gold

 

JSC Uralelectromed

 

Russian Federation

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

Gold

 

Kazzinc Ltd

 

Kazakhstan

Gold

 

Kennecott Utah Copper LLC

 

United States

Gold

 

Kojima Chemicals Co., Ltd

 

Japan

Gold

 

LS-NIKKO Copper Inc.

 

Korea, Republic Of

Gold

 

Materion

 

United States

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

Gold

 

Metalor Technologies (Hong Kong) Ltd

 

China

Gold

 

Metalor Technologies (Singapore) Pte. Ltd.

 

Singapore

Gold

 

Metalor Technologies S.A.

 

Switzerland

Gold

 

Metalor USA Refining Corporation

 

United States

Gold

 

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

 

Mexico

Gold

 

Mitsubishi Materials Corporation

 

Japan

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

India

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

Gold

 

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

 

Turkey

Gold

 

Nihon Material Co. LTD

 

Japan

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

Gold

 

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

 

Russian Federation

Gold

 

PAMP S.A.

 

Switzerland

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

Gold

 

PX Précinox S.A.

 

Switzerland

Gold

 

Republic Metals Corporation

 

United States

Gold

 

Royal Canadian Mint

 

Canada

Gold

 

Schone Edelmetaal B.V.

 

Netherlands

Gold

 

SEMPSA Joyería Platería S.A.

 

Spain

Gold

 

Sichuan Tianze Precious Metals Co., Ltd

 

China

Gold

 

Singway Technology Co., Ltd.

 

Taiwan

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

Gold

 

Solar Applied Materials Technology Corp.

 

Taiwan

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

Gold

 

T.C.A S.p.A

 

Italy

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

Gold

 

Tokuriki Honten Co., Ltd

 

Japan

Gold

 

Umicore Brasil Ltda

 

Brazil

Gold

 

Umicore Precious Metals Thailand

 

Thailand

Gold

 

Umicore S.A. Business Unit Precious Metals Refining

 

Belgium

Gold

 

United Precious Metal Refining, Inc.

 

United States

Gold

 

Valcambi S.A.

 

Switzerland

Gold

 

Western Australian Mint trading as The Perth Mint

 

Australia

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

Japan

Gold

 

Yokohama Metal Co Ltd

 

Japan

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

 

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

China

Tantalum

 

D Block Metals, LLC

 

United States

Tantalum

 

Duoluoshan

 

China

Tantalum

 

Exotech Inc.

 

United States

Tantalum

 

F&X Electro-Materials Ltd.

 

China

Tantalum

 

FIR Metals & Resource Ltd.

 

China

Tantalum

 

Global Advanced Metals Aizu

 

Japan

Tantalum

 

Global Advanced Metals Boyertown

 

United States

Tantalum

 

H.C. Starck Co., Ltd.

 

Thailand

Tantalum

 

H.C. Starck GmbH Goslar

 

Germany

Tantalum

 

H.C. Starck GmbH Laufenburg

 

Germany

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

Germany

Tantalum

 

H.C. Starck Inc.

 

United States

Tantalum

 

H.C. Starck Ltd.

 

Japan

Tantalum

 

H.C. Starck Smelting GmbH & Co. KG

 

Germany

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

United States

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., LTD

 

China

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

China

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co, Ltd

 

China

Tantalum

 

KEMET Blue Metals

 

Mexico

Tantalum

 

KEMET Blue Powder

 

United States

Tantalum

 

King-Tan Tantalum Industry Ltd

 

China

Tantalum

 

LSM Brasil S.A.

 

Brazil

Tantalum

 

Metallurgical Products India (Pvt.) Ltd.

 

India

Tantalum

 

Mineração Taboca S.A.

 

Brazil

Tantalum

 

Mitsui Mining & Smelting

 

Japan

Tantalum

 

Molycorp Silmet A.S.

 

Estonia

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

Tantalum

 

Plansee SE Liezen

 

Austria

Tantalum

 

Plansee SE Reutte

 

Austria

Tantalum

 

QuantumClean

 

United States

Tantalum

 

Resind Indústria e Comércio Ltda.

 

Brazil

Tantalum

 

RFH Tantalum Smeltry Co., Ltd

 

China

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

Tantalum

 

Taki Chemicals

 

Japan

Tantalum

 

Telex Metals

 

United States

Tantalum

 

Tranzact, Inc.

 

United States

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd

 

China

Tantalum

 

Zhuzhou Cement Carbide

 

China

Tin

 

Alpha

 

United States

Tin

 

China Rare Metal Materials Company

 

China

Tin

 

China Tin Group Co., Ltd.

 

China

Tin

 

Cooper Santa

 

Brazil

Tin

 

CV Ayi Jaya

 

Indonesia

Tin

 

CV Gita Pesona

 

Indonesia

Tin

 

CV JusTindo

 

Indonesia

Tin

 

CV Nurjanah

 

Indonesia

Tin

 

CV Serumpun Sebalai

 

Indonesia

Tin

 

CV United Smelting

 

Indonesia

Tin

 

CV Venus Inti Perkasa

 

Indonesia

Tin

 

Dowa

 

Japan

Tin

 

Elmet S.L.U. (Metallo Group)

 

Spain

Tin

 

Fenix Metals

 

Poland

Tin

 

Gejiu Non-Ferrous Metal Processing Co. Ltd.

 

China

Tin

 

Magnu’s Minerais Metais e Ligas LTDA

 

Brazil

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

Tin

 

Melt Metais e Ligas S.A.

 

Brazil

Tin

 

Metallic Resources, Inc.

 

United States

Tin

 

Metallo-Chimique N.V.

 

Belgium

Tin

 

Mineração Taboca S.A.

 

Brazil

Tin

 

Minsur

 

Peru

Tin

 

Mitsubishi Materials Corporation

 

Japan

Tin

 

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

 

Thailand

Tin

 

O.M. Manufacturing Philippines, Inc.

 

Philippines

Tin

 

Operaciones Metalurgical S.A.

 

Bolivia

Tin

 

PT Artha Cipta Langgeng

 

Indonesia

Tin

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

Tin

 

PT Babel Inti Perkasa

 

Indonesia

Tin

 

PT Bangka Prima Tin

 

Indonesia

Tin

 

PT Bangka Tin Industry

 

Indonesia

Tin

 

PT Belitung Industri Sejahtera

 

Indonesia

Tin

 

PT BilliTin Makmur Lestari

 

Indonesia

Tin

 

PT Bukit Timah

 

Indonesia

Tin

 

PT Cipta Persada Mulia

 

Indonesia

Tin

 

PT DS Jaya Abadi

 

Indonesia

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Tin

 

PT Eunindo Usaha Mandiri

 

Indonesia

Tin

 

PT Inti Stania Prima

 

Indonesia

Tin

 

PT Mitra Stania Prima

 

Indonesia

Tin

 

PT Panca Mega Persada

 

Indonesia

Tin

 

PT Prima Timah Utama

 

Indonesia

Tin

 

PT Refined Bangka Tin

 

Indonesia

Tin

 

PT Sariwiguna Binasentosa

 

Indonesia

Tin

 

PT Stanindo Inti Perkasa

 

Indonesia

Tin

 

PT Sukses Inti Makmur

 

Indonesia

Tin

 

PT Sumber Jaya Indah

 

Indonesia

Tin

 

PT Timah (Persero) Tbk Kundur

 

Indonesia

Tin

 

PT Timah (Persero) Tbk Mentok

 

Indonesia

Tin

 

PT Tinindo Inter Nusa

 

Indonesia

Tin

 

PT Tommy Utama

 

Indonesia

Tin

 

PT Wahana Perkit Jaya

 

Indonesia

Tin

 

Resind Indústria e Comércio Ltda.

 

Brazil

Tin

 

Rui Da Hung

 

Taiwan

Tin

 

Soft Metais Ltda.

 

Brazil

Tin

 

Thaisarco

 

Thailand

Tin

 

VQB Mineral and Trading Group JSC

 

Vietnam

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

Brazil

Tin

 

Yunnan Tin Company, Ltd.

 

China

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

Japan

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Vietnam

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

China

Tungsten

 

Global Tungsten & Powders Corp.

 

United States

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

Tungsten

 

H.C. Starck GmbH

 

Germany

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

China

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

Tungsten

 

Japan New Metals Co., Ltd.

 

Japan

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

China

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

China

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Tungsten

 

Kennametal Huntsville

 

United States

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

Tungsten

 

Niagara Refining LLC

 

United States

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

Vietnam

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Vietnam

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd

 

Vietnam

Tungsten

 

Wolfram Bergbau und Hütten AG

 

Austria

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

China

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

China

 

Table 2.  CFSP participating processing facilities as of March 21, 2016.

 

Processing facilities reported in the Company’s supply chain that have agreed to participate in the CFSP but have not yet completed the program.

 

Metal

 

Processing Facility Name

 

Processing Facility 
Location

Gold

 

Advanced Chemical Company

 

United States

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

Gold

 

Boliden AB

 

Sweden

Gold

 

Cendres + Métaux S.A.

 

Switzerland

Gold

 

Daejin Indus Co. Ltd

 

Korea, Republic Of

Gold

 

Do Sung Corporation

 

Korea, Republic Of

Gold

 

Faggi Enrico S.p.A.

 

Italy

Gold

 

Geib Refining Corporation

 

United States

Gold

 

Heimerle + Meule GmbH

 

Germany

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

Poland

Gold

 

Korea Zinc Co. Ltd.

 

Korea, Republic Of

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

China

Gold

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

Gold

 

Rand Refinery (Pty) Ltd

 

South Africa

Gold

 

Samduck Precious Metals

 

Korea, Republic Of

Gold

 

SAXONIA Edelmetalle GmbH

 

Germany

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co. Ltd

 

China

Gold

 

The Refinery of Shandong Gold Mining Co. Ltd

 

China

Gold

 

Torecom

 

Korea, Republic Of

Gold

 

WIELAND Edelmetalle GmbH

 

Germany

Gold

 

Zijin Mining Group Co. Ltd

 

China

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Vietnam

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

China

Tin

 

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

 

Vietnam

Tin

 

EM Vinto

 

Bolivia

Tin

 

Feinhütte Halsbrücke GmbH

 

Germany

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Vietnam

Tin

 

Phoenix Metal Ltd.

 

Rwanda

Tin

 

PT Karimun Mining

 

Indonesia

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Vietnam

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

China

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

China

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

China

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

 

China

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

Tungsten

 

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

 

China

Tungsten

 

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

 

China

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

China

Tungsten

 

Kennametal Fallon

 

United States

Tungsten

 

Pobedit, JSC

 

Russian Federation

Tungsten

 

Sanher Tungsten Vietnam Co., Ltd.

 

Vietnam

 

Table 3.  No known CFSP participating as of March 21, 2016.

 

Processing facilities reported in the Company’s supply chain that have not been validated as CFSP-compliant.

 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Gold

 

Aktyubinsk Copper Company TOO

 

Kazakhstan

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

Gold

 

Bauer Walser AG

 

Germany

Gold

 

Caridad

 

Mexico

Gold

 

Chia Tai Metal Craft Products Co., Ltd.

 

China

Gold

 

China Gold International Resources Corp. Ltd.

 

Canada

Gold

 

China Golddeal

 

China

Gold

 

China National Gold Group Corporation

 

China

Gold

 

CHIN-LEEP ENTERPRISE CO., LTD.

 

Taiwan

Gold

 

Chugai Mining

 

Japan

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Gold

 

Codelco

 

Chile

Gold

 

Colt Refining

 

United States

Gold

 

DaeryongENC

 

Korea, Republic Of

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

Gold

 

E-CHEM Enterprise Corp

 

Taiwan

Gold

 

Gansu Seemine Material Hi-Tech Co Ltd

 

China

Gold

 

Guangdong Jinding Gold Limited

 

China

Gold

 

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

 

China

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

Gold

 

Heesung Catalysts Corp.

 

Korea, Republic Of

Gold

 

Hunan Chenzhou Mining Group Co., Ltd.

 

China

Gold

 

Hwasung CJ Co. Ltd

 

Korea, Republic Of

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

China

Gold

 

Jin Jinyin refining company limited

 

Japan

Gold

 

Kaloti Precious Metals

 

United Arab Emirates

Gold

 

Kanfort Industrial (Yantai)

 

China

Gold

 

Kazakhmys Smelting LLC

 

Kazakhstan

Gold

 

Korea Metal Co. Ltd

 

Korea, Republic Of

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

Gold

 

L’ azurde Company For Jewelry

 

Saudi Arabia

Gold

 

Lingbao Gold Company Limited

 

China

Gold

 

Lingbao Jinyuan Tonghui Refinery Co. Ltd.

 

China

Gold

 

London Bullion Market Association

 

United Kingdom

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

Gold

 

MK electron

 

Korea, Republic Of

Gold

 

Morigin Company

 

Japan

Gold

 

Morris and Watson

 

New Zealand

Gold

 

Ningbo Kangqiang

 

China

Gold

 

OJSC Kolyma Refinery

 

Russian Federation

Gold

 

Penglai Penggang Gold Industry Co Ltd

 

China

Gold

 

Realized the enterprise co.,ltd.

 

China

Gold

 

Sabin Metal Corp.

 

United States

Gold

 

SAMWON Metals Corp.

 

Korea, Republic Of

Gold

 

Sanmenxia HengSheng Science Technology R&D CO.LTD

 

China

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

Gold

 

So Accurate Group, Inc.

 

United States

Gold

 

Sudan Gold Refinery

 

Sudan

Gold

 

Suzhou Xingrui Noble

 

China

Gold

 

The Great Wall Gold and Silver Refinery of China

 

China

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Gold

 

THE HUTTI GOLD MINES CO.LTD

 

India

Gold

 

Tian Cheng Chemical Industry

 

China

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

Gold

 

Yantai Zhaojinlufu

 

China

Gold

 

Yunnan Copper Industry Co Ltd

 

China

Gold

 

YUNSIN

 

China

Gold

 

Zhejiang Suijin

 

China

Tantalum

 

Global Advanced Metals

 

United States

Tantalum

 

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

 

China

Tantalum

 

Shanghai Jiangxi Metals Co. Ltd

 

China

Tantalum

 

Tantalite Resources

 

South Africa

Tin

 

5N Plus

 

Canada

Tin

 

Amalgamated Metal Corporation

 

Malaysia

Tin

 

ASUKA Industries Inc.

 

Japan

Tin

 

CNMC (Guangxi) PGMA Co. Ltd.

 

China

Tin

 

CV Makmur Jaya

 

Indonesia

Tin

 

Electroloy Corporation Sdn Bhd

 

Malaysia

Tin

 

Estanho de Rondônia S.A.

 

Brazil

Tin

 

Gejiu Jin Ye Mineral Co., Ltd.

 

China

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

Tin

 

Guangxi Huaxi Group Limited

 

China

Tin

 

Huichang Jinshunda Tin Co. Ltd

 

China

Tin

 

JalanPantai/Malaysia

 

Malaysia

Tin

 

Jean Goldschmidt International

 

Belgium

Tin

 

Jiangxi Nanshan

 

China

Tin

 

Kaimeng(Gejiu) Industry and Trade Co., Ltd.

 

China

Tin

 

Kupol

 

Russian Federation

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

China

Tin

 

Metahub Industries Sdn. Bhd.

 

Malaysia

Tin

 

Metallo Chimique

 

Belgium

Tin

 

Minmetals Ganzhou Tin Co. Ltd.

 

China

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

China

Tin

 

Nikkei MC Aluminum Co., Ltd

 

Japan

Tin

 

Novosibirsk Integrated Tin Works

 

Russian Federation

Tin

 

PT Alam Lestari Kencana

 

Indonesia

Tin

 

PT Babel Surya Alam Lestari

 

Indonesia

Tin

 

PT Bangka Kudai Tin

 

Indonesia

Tin

 

PT Bangka Putra Karya

 

Indonesia

Tin

 

PT Bangka Timah Utama Sejahtera

 

Indonesia

 



 

Metal

 

Processing Facility Name

 

Processing Facility
Location

Tin

 

PT Fang Di MulTindo

 

Indonesia

Tin

 

PT HANJAYA PERKASA METALS

 

Indonesia

Tin

 

PT HP Metals Indonesia

 

Indonesia

Tin

 

PT Koba Tin

 

Indonesia

Tin

 

PT Pelat Timah Nusantara Tbk

 

Indonesia

Tin

 

PT Seirama Tin Investment

 

Indonesia

Tin

 

PT Supra Sukses Trinusa

 

Indonesia

Tin

 

PT Tirus Putra Mandiri

 

Indonesia

Tin

 

PT Yinchendo Mining Industry

 

Indonesia

Tin

 

Shikishima Aluminum Inc./Fukui Factory

 

Japan

Tin

 

SOLDER COAT Co.,LTD

 

Japan

Tin

 

Standard Sp z o.o.

 

Poland

Tin

 

Westmetall GmbH & Co.KG

 

Germany

Tin

 

Yukenkougiyou

 

Japan

Tin

 

Yunnan Chengo Electric Smelting Plant

 

China

Tin

 

YunNan GeJiu Jin Ye Mineral Co.,Ltd

 

China

Tin

 

ZHEJIANG HUANGYAN XINQIAN ELECTRICAL EQUIPMENT FITTINGS FACTORY

 

China

Tin

 

Zhen bo shi ye Co., LTD

 

China

Tungsten

 

Alldyne Powder Technologies

 

United States

Tungsten

 

Ceratizit S.A

 

Luxembourg

Tungsten

 

Chunbao Carbide Science & Technology Co., Ltd

 

Taiwan

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

 

China

Tungsten

 

Ganzhou Grand Sea W & Mo Group Co Ltd

 

China

Tungsten

 

ILJIN DIAMOND CO., LTD

 

Korea, Republic Of

Tungsten

 

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

 

China

Tungsten

 

Jiangxi Richsea New Materials Co., Ltd.

 

China

Tungsten

 

Sumitomo Electric Industries

 

Japan

Tungsten

 

Wolfram Company CJSC

 

Russian Federation

Tungsten

 

Zhuzhou Cemented Carbide Group Co Ltd

 

China