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 30, 2018

Exhibit 1.01

CLEAN ENERGY FUELS CORP.

Conflict Minerals Report

For the Reporting Period from January 1, 2017 to December 31, 2017

This Conflict Minerals Report (the “Report”) of Clean Energy Fuels Corp. (together with its consolidated subsidiaries, 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, 2017 to December 31, 2017 (the “Reporting Period”). As permitted by applicable guidance of the Securities and Exchange Commission, the Company did not obtain 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 renewable natural gas (“RNG”), compressed natural gas (“CNG”) and liquefied natural gas (“LNG”) delivered. The Company’s principal business is supplying RNG, CNG and LNG (RNG can be delivered in the form of CNG or LNG) for light, medium and heavy-duty vehicles and providing operation and maintenance (“O&M”) services for vehicle fleet customer stations. As a comprehensive solution provider, the Company also designs, builds, operates and maintains fueling stations; sells and services 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 and LNG via “virtual” natural gas pipelines and interconnects; procures and sells RNG; sells tradable credits it generates by selling RNG and conventional natural gas as a vehicle fuel, including Renewable Identification Numbers under the federal Renewable Fuel Standard Phase 2 and credits under the California and Oregon Low Carbon Fuel Standards; helps its customers acquire and finance natural gas vehicles; and obtains federal, state and local tax credits, grants and incentives. In addition, before March 31, 2017, the Company produced RNG at its own production facilities (which the Company sold, along with certain of its other RNG production assets), and before December 29, 2017, the Company manufactured, sold and serviced natural gas fueling compressors and other equipment used in CNG stations (which it combined with another company’s natural gas fueling compressor business in a newly formed joint venture, in a transaction the Company refers to as the “CEC Combination”). The Company serves fleet vehicle operators in a variety of markets, including heavy-duty trucking, airports, refuse, public transit, industrial and institutional energy users, and government fleets. As of March 31, 2018, the Company served nearly 1,000 fleet customers operating over 46,000 natural gas vehicles, and the Company owned, operated or supplied over 530 natural gas fueling stations in 41 states in the United States and four provinces 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 the products. The Rule also requires such companies to conduct certain inquiries reasonably designed to determine whether such minerals originated in the countries specified in the Rule. The minerals specified in the Rule, which are collectively referred to in this Report as the “Conflict Minerals,” consist of gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. The countries specified in the Rule, which are collectively referred to in this Report as the “Covered Countries,” consist of the Democratic Republic of the Congo and all countries that share an international border with the Democratic Republic of the Congo, which presently consists of the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. As described in this Report, certain aspects of the Company’s operations involve the manufacture, or contracting for manufacture, of products for which the Conflict Minerals are necessary to the functionality or production of the products.

When this Report uses the term “Compliant,” it means the applicable mine, smelter or refiner has been verified as complying with the Responsible Minerals Assurance Process (“RMAP,” formerly the Conflict-Free Smelter Program or CFSP) of the Responsible Mining Initiative (“RMI,” formerly the Conflict-Free Sourcing Initiative or CFSI) or an equivalent third-party audit program, and when this Report uses the term “Active,” it means the applicable mine, smelter or refiner has agreed to participate in the RMAP but has not yet completed the program to become Compliant.

The Company’s Products Covered by this Report

This Report covers products: (i) for which one or more Conflict Minerals is 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 – This product category includes products that create CNG by compressing natural gas, as well as replacement parts for such products. Products in this category ceased to be Covered Products upon consummation of the CEC Combination, because these products are not manufactured or contracted to be manufactured by the Company after such date.

 

  •   CNG Dispensers – This product category includes products that dispense CNG into vehicles, as well as replacement parts for such products. Products in this category ceased to be Covered Products upon consummation of the CEC Combination, because these products are not manufactured or contracted to be manufactured by the Company after such date.

 

  •   CNG Pressure Reduction Systems – This product category includes systems that reduce the pressure of the natural gas that is supplied to a location, as well as replacement parts for such products. Products in this category ceased to be Covered Products upon consummation of the CEC Combination, because these products are not manufactured or contracted to be manufactured by the Company after such date.

 

  •   LNG Pumps – This product category includes products that offload LNG from cryogenic tanker trailers into storage tanks at LNG fueling stations and deliver LNG to dispensers from storage tanks, as well as replacement parts for such products.

 

  •   LNG Dispensers – This product category includes products that dispense LNG into vehicles, as well as replacement parts for such products.

 

  •   Fueling Station Support Panels – This product category includes electrical storage panels used in natural gas fueling stations, as well as replacement parts for such products. 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.

Third-party products the Company sells at retail 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 the mines, smelters and refiners of the Conflict Minerals are best situated to identify the sources of Conflict Minerals, and therefore the Company 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 sourcing of Conflict Minerals (the “Company Policy”), which 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:

 

  o 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 originally 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);

 

  o 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

 

  o 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, including the design and implementation of the Company Policy, 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 and all other such references in this Report are intended to be inactive textual references, 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

The Company has conducted in good faith a reasonable country of origin inquiry (“RCOI”) regarding the Conflict Minerals. This RCOI was reasonably designed to determine whether any of the Conflict Minerals necessary to the functionality or production of a Covered Product originated in the Covered Countries or may be from recycled or scrap sources. Based on the RCOI, the Company has reason to believe that some of the necessary Conflict Minerals contained in the Covered Products may have originated from the Covered Countries or may not be from recycled or scrap sources. As a result, the Company exercised due diligence on the source and chain of custody of such Conflict Minerals, as described below.

Due Diligence Process

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: Third Edition (2016), including the related supplements on gold, tin, tantalum and tungsten (collectively, the “OECD Guidance”).

Due diligence performed

Below is a summary of the Company’s due diligence process performed in the Reporting Period regarding the sourcing of the necessary Conflict Minerals contained in the Covered Products. The description below is intended to provide a summary of the Company’s due diligence process, and thus the measures described below are not the only measures the Company took in 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 (the “Working Group”). The Working Group was led by the Company’s Senior Vice President, Corporate Transactions and Chief Legal Officer, and also included the Company’s Director, Supply Chain; the Supplier Development Specialist of the Company’s former consolidated subsidiary Clean Energy Compression (which the Company no longer consolidates following consummation of the CEC Combination), the Supply Chain Manager of the Company’s subsidiary Clean Energy Cryogenics; 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 RMI’s Conflict Minerals Reporting Template (the “Template”) as a means for collecting information related 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 supplier’s completed Template or other response to the Company’s due diligence inquiries are worthy of further action by the Company. The Red Flags were designed to ensure that the Template has been completed in full, and also to capture (i) the 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 one of the Covered Countries, and (iv) whether the mines, smelters or refiners identified by suppliers are Compliant or Active.

 

  •   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 process 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 this plan.


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

 

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

 

  •   As noted above, and in accordance with applicable guidance, the Company did not obtain an independent private sector audit within the meaning of the Rule.

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 necessary Conflict Minerals contained in the Covered Products with the greatest possible specificity consisted primarily of the due diligence measures described in this Report. The Company received responses from 76% of its identified in-scope suppliers, which is an increase in supplier participation from 69% for the prior reporting period (the 2016 calendar year).

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 the facilities that may have been used to process the necessary Conflict Minerals contained in the Covered Products include the processing facilities listed in Tables 1, 2 and 3 in Appendix A to this Report. Of the 322 processing facilities identified by the Company’s suppliers as being in the supply chain for the Covered Products, 252 have been validated as Compliant, eight have been confirmed as Active, and 62 have not been confirmed as Compliant or Active.

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. Based on the information provided by the Company’s suppliers, however, the Company has reason to believe that some of the necessary Conflict Minerals contained in the Covered Products may have originated from the Covered Countries or may not be from recycled or scrap sources.

Additional Future Measures

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 (perpetrators of serious human rights abuses) in the Covered Countries:

 

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

 

  •   Continue 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.

 

  •   Seek opportunities to assist suppliers in building capabilities with a view to improving due diligence performance.

 

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

 

  •   Continue to engage in industry initiatives that encourage Compliant supply chains.

Inherent Limitations on Due Diligence Measures

As a downstream purchaser of products that contain Conflict Minerals, the Company’s due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary Conflict Minerals contained in the Covered Products. The supply chain of commodities such as the Conflict Minerals is a complex and multi-step process that involves a number of different parties. Because the Company does not have direct contractual relationships with mines, smelters and refiners, its due diligence processes must rely on information provided by its direct suppliers, as well as similar information provided to those suppliers within their supply chains, to identify the original sources of the necessary Conflict Minerals contained in the Covered Products. The results of the Company’s due diligence efforts could contain inaccuracies or incomplete information due to this process of collecting information. Further, many suppliers’ responses represent the supply chain at a company-level rather than being product-specific, and as a result, the list of processing facilities disclosed in this Report may contain facilities that did not actually process the

Conflict Minerals contained in the Covered Products. In addition, the Company relies on information collected and provided by independent third-party audit programs, such as the RMAP of the RMI, and these sources of information may yield unreliable, inaccurate or incomplete information due to a variety of factors, including human or other errors or fraudulent actions.


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 improve its due diligence measures. 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. All statements made in this Report concerning future matters that are not historical in nature 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 or implied 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 other industry information used by the Company, may be inaccurate; the risk that mines, smelters or refiners may not participate in the RMAP or equivalent third-party audit programs, which are voluntary initiatives; and risks related to the Company’s compliance with government regulations and policies, which, among other risks, are discussed under “Risk Factors” in the Company’s most recent annual report on Form 10-K and the other filings it makes with the U.S. Securities and Exchange Commission from time to time, including any subsequently filed quarterly and current reports. Forward-looking statements are not predictions of future events, and readers should not rely on them as such. All forward-looking statements included in this Report speak only as of the date of this Report, and 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.


Appendix A

Tables of Our Conflict Minerals Processing Facilities

Table 1. Compliant processing facilities as of May 15, 2018.

The following processing facilities that were reported as being in the Company’s supply chain have been validated as Compliant:

 

Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

Advanced Chemical Company

  

UNITED STATES OF AMERICA

Gold

  

Aida Chemical Industries Co., Ltd.

  

JAPAN

Gold

  

Allgemeine Gold-und Silberscheideanstalt A.G.

  

GERMANY

Gold

  

Almalyk Mining and Metallurgical Complex (AMMC)

  

UZBEKISTAN

Gold

  

AngloGold Ashanti Corrego do Sitio Mineracao

  

BRAZIL

Gold

  

Argor-Heraeus S.A.

  

SWITZERLAND                                     

Gold

  

Asahi Pretec Corp.

  

JAPAN

Gold

  

Asaka Riken Co., Ltd.

  

JAPAN

Gold

  

Aurubis AG

  

GERMANY

Gold

  

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

  

PHILIPPINES

Gold

  

Boliden AB

  

SWEDEN

Gold

  

C. Hafner GmbH + Co. KG

  

GERMANY

Gold

  

CCR Refinery - Glencore Canada Corporation

  

CANADA

Gold

  

Cendres + Metaux S.A.

  

SWITZERLAND

Gold

  

Chimet S.p.A.

  

ITALY

Gold

  

Daejin Indus Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

DSC (Do Sung Corporation)

  

KOREA, REPUBLIC OF

Gold

  

DODUCO Contacts and Refining GmbH

  

GERMANY

Gold

  

Dowa

  

JAPAN

Gold

  

Eco-System Recycling Co., Ltd.

  

JAPAN

Gold

  

OJSC Novosibirsk Refinery

  

RUSSIAN FEDERATION

Gold

  

HeeSung Metal Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Heimerle + Meule GmbH

  

GERMANY

Gold

  

Heraeus Ltd. Hong Kong

  

CHINA

Gold

  

Heraeus Precious Metals GmbH & Co. KG

  

GERMANY

Gold

  

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

  

CHINA

Gold

  

Ishifuku Metal Industry Co., Ltd.

  

JAPAN

Gold

  

Istanbul Gold Refinery

  

TURKEY

Gold

  

Japan Mint

  

JAPAN

Gold

  

Jiangxi Copper Co., Ltd.

  

CHINA

Gold

  

Asahi Refining USA Inc.

  

UNITED STATES OF AMERICA

Gold

  

Asahi Refining Canada Ltd.

  

CANADA

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

  

KAZAKHSTAN

 

A-1


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

Kennecott Utah Copper LLC

  

UNITED STATES OF AMERICA

Gold

  

Kojima Chemicals Co., Ltd.

  

JAPAN

Gold

  

Kyrgyzaltyn JSC

  

KYRGYZSTAN

Gold

  

LS-NIKKO Copper Inc.

  

KOREA, REPUBLIC OF

Gold

  

Materion

  

UNITED STATES OF AMERICA

Gold

  

Matsuda Sangyo Co., Ltd.

  

JAPAN

Gold

  

Metalor Technologies (Suzhou) Ltd.

  

CHINA

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 OF AMERICA

Gold

  

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

  

MEXICO

Gold

  

Mitsubishi Materials Corporation

  

JAPAN

Gold

  

Mitsui Mining and Smelting Co., Ltd.

  

JAPAN

Gold

  

Moscow Special Alloys Processing Plant

  

RUSSIAN FEDERATION                     

Gold

  

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

  

TURKEY

Gold

  

Nihon Material Co., Ltd.

  

JAPAN

Gold

  

Ohura Precious Metal Industry Co., Ltd.

  

JAPAN

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 Precinox S.A.

  

SWITZERLAND

Gold

  

Rand Refinery (Pty) Ltd.

  

SOUTH AFRICA

Gold

  

Royal Canadian Mint

  

CANADA

Gold

  

Samduck Precious Metals

  

KOREA, REPUBLIC OF

Gold

  

SEMPSA Joyeria Plateria S.A.

  

SPAIN

Gold

  

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

  

CHINA

Gold

  

Sichuan Tianze Precious Metals Co., Ltd.

  

CHINA

Gold

  

SOE Shyolkovsky Factory of Secondary Precious Metals

  

RUSSIAN FEDERATION

Gold

  

Solar Applied Materials Technology Corp.

  

TAIWAN, PROVINCE OF CHINA

Gold

  

Sumitomo Metal Mining Co., Ltd.

  

JAPAN

Gold

  

Tanaka Kikinzoku Kogyo K.K

  

JAPAN

Gold

  

The Refinery of Shandong Gold Mining Co., Ltd.

  

CHINA

Gold

  

Tokuriki Honten Co., Ltd.

  

JAPAN

Gold

  

Torecom

  

KOREA, REPUBLIC OF

Gold

  

Umicore Brasil Ltda.

  

BRAZIL

Gold

  

Umicore S.A. Business Unit Precious Metals Refining

  

BELGIUM

Gold

  

United Precious Metal Refining, Inc.

  

UNITED STATES OF AMERICA

Gold

  

Valcambi S.A.

  

SWITZERLAND

 

A-2


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

Western Australian Mint (T/a The Perth Mint)

  

AUSTRALIA

Gold

  

Yamakin Co., Ltd.

  

JAPAN

Gold

  

Yokohama Metal Co., Ltd.

  

JAPAN

Gold

  

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

  

CHINA

Gold

  

Gold Refinery of Zijin Mining Group Co., Ltd.

  

CHINA

Gold

  

SAFINA A.S.

  

CZECH REPUBLIC

Gold

  

Umicore Precious Metals Thailand

  

THAILAND

Gold

  

Geib Refining Corporation

  

UNITED STATES OF AMERICA

Gold

  

MMTC-PAMP India Pvt., Ltd.

  

INDIA

Gold

  

Republic Metals Corporation

  

UNITED STATES OF AMERICA

Gold

  

Al Etihad Gold LLC

  

UNITED ARAB EMIRATES

Gold

  

Emirates Gold DMCC

  

UNITED ARAB EMIRATES

Gold

  

T.C.A S.p.A

  

ITALY

Gold

  

Korea Zinc Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Marsam Metals

  

BRAZIL

Gold

  

SAAMP

  

FRANCE

Gold

  

Italpreziosi

  

ITALY

Gold

  

SAXONIA Edelmetalle GmbH

  

GERMANY                                     

Gold

  

WIELAND Edelmetalle GmbH

  

GERMANY

Gold

  

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

  

AUSTRIA

Gold

  

AU Traders and Refiners

  

SOUTH AFRICA

Gold

  

SungEel HiMetal Co., Ltd.

  

KOREA, REPUBLIC OF

Gold

  

Planta Recuperadora de Metales SpA

  

CHILE

Gold

  

Safimet S.p.A

  

ITALY

Tantalum

  

Asaka Riken Co., Ltd.

  

JAPAN

Tantalum

  

Changsha South Tantalum Niobium Co., Ltd.

  

CHINA

Tantalum

  

Conghua Tantalum and Niobium Smeltry

  

CHINA

Tantalum

  

Exotech Inc.

  

UNITED STATES OF AMERICA

Tantalum

  

F&X Electro-Materials Ltd.

  

CHINA

Tantalum

  

Guangdong Zhiyuan New Material Co., Ltd.

  

CHINA

Tantalum

  

JiuJiang JinXin Nonferrous Metals Co., Ltd.

  

CHINA

Tantalum

  

Jiujiang Nonferrous Metals Smelting Company Limited

  

CHINA

Tantalum

  

LSM Brasil S.A.

  

BRAZIL

Tantalum

  

Metallurgical Products India Pvt., Ltd.

  

INDIA

Tantalum

  

Mineracao Taboca S.A.

  

BRAZIL

Tantalum

  

Mitsui Mining & Smelting

  

JAPAN

Tantalum

  

NPM Silmet AS

  

ESTONIA

Tantalum

  

Ningxia Orient Tantalum Industry Co., Ltd.

  

CHINA

Tantalum

  

QuantumClean

  

UNITED STATES OF AMERICA

Tantalum

  

RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.

  

CHINA

 

A-3


Metal

  

Processing Facility Name

  

Processing Facility Location

Tantalum

  

Solikamsk Magnesium Works OAO

  

RUSSIAN FEDERATION                                 

Tantalum

  

Taki Chemical Co., Ltd.

  

JAPAN

Tantalum

  

Telex Metals

  

UNITED STATES OF AMERICA

Tantalum

  

Ulba Metallurgical Plant JSC

  

KAZAKHSTAN

Tantalum

  

Hengyang King Xing Lifeng New Materials Co., Ltd.

  

CHINA

Tantalum

  

D Block Metals, LLC

  

UNITED STATES OF AMERICA

Tantalum

  

FIR Metals & Resource Ltd.

  

CHINA

Tantalum

  

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

  

CHINA

Tantalum

  

XinXing HaoRong Electronic Material Co., Ltd.

  

CHINA

Tantalum

  

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

  

CHINA

Tantalum

  

KEMET Blue Metals

  

MEXICO

Tantalum

  

H.C. Starck Co., Ltd.

  

THAILAND

Tantalum

  

H.C. Starck Tantalum and Niobium GmbH

  

GERMANY

Tantalum

  

H.C. Starck Hermsdorf GmbH

  

GERMANY

Tantalum

  

H.C. Starck Inc.

  

UNITED STATES OF AMERICA

Tantalum

  

H.C. Starck Ltd.

  

JAPAN

Tantalum

  

H.C. Starck Smelting GmbH & Co. KG

  

GERMANY

Tantalum

  

Global Advanced Metals Boyertown

  

UNITED STATES OF AMERICA

Tantalum

  

Global Advanced Metals Aizu

  

JAPAN

Tantalum

  

KEMET Blue Powder

  

UNITED STATES OF AMERICA

Tantalum

  

Resind Industria e Comercio Ltda.

  

BRAZIL

Tantalum

  

Jiangxi Tuohong New Raw Material

  

CHINA

Tantalum

  

Power Resources Ltd.

   MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

Tantalum

  

Jiujiang Janny New Material Co., Ltd.

  

CHINA

Tin

  

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

  

CHINA

Tin

  

Jiangxi Ketai Advanced Material Co., Ltd.

  

CHINA

Tin

  

Alpha

  

UNITED STATES OF AMERICA

Tin

  

CV Gita Pesona

  

INDONESIA

Tin

  

PT Aries Kencana Sejahtera

  

INDONESIA

Tin

  

CV Serumpun Sebalai

  

INDONESIA

Tin

  

CV United Smelting

  

INDONESIA

Tin

  

Dowa

  

JAPAN

Tin

  

EM Vinto

   BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

Fenix Metals

  

POLAND

Tin

  

Gejiu Non-Ferrous Metal Processing Co., Ltd.

  

CHINA

Tin

  

Huichang Jinshunda Tin Co., Ltd.

  

CHINA

Tin

  

Gejiu Kai Meng Industry and Trade LLC

  

CHINA

 

A-4


Metal

  

Processing Facility Name

  

Processing Facility Location

Tin

  

China Tin Group Co., Ltd.

  

CHINA

Tin

  

Malaysia Smelting Corporation (MSC)

  

MALAYSIA                                                         

Tin

  

Metallic Resources, Inc.

  

UNITED STATES OF AMERICA

Tin

  

Mineracao Taboca S.A.

  

BRAZIL

Tin

  

Minsur

  

PERU

Tin

  

Mitsubishi Materials Corporation

  

JAPAN

Tin

  

Nankang Nanshan Tin Manufactory Co., Ltd.

  

CHINA

Tin

  

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

  

THAILAND

Tin

  

Operaciones Metalurgical S.A.

   BOLIVIA (PLURINATIONAL STATE OF)

Tin

  

PT Artha Cipta Langgeng

  

INDONESIA

Tin

  

PT Babel Inti Perkasa

  

INDONESIA

Tin

  

PT Bangka Tin Industry

  

INDONESIA

Tin

  

PT Belitung Industri Sejahtera

  

INDONESIA

Tin

  

PT Bukit Timah

  

INDONESIA

Tin

  

PT DS Jaya Abadi

  

INDONESIA

Tin

  

PT Eunindo Usaha Mandiri

  

INDONESIA

Tin

  

PT Karimun Mining

  

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 Sumber Jaya Indah

  

INDONESIA

Tin

  

PT Tambang Timah

  

INDONESIA

Tin

  

PT Timah (Persero) Tbk Mentok

  

INDONESIA

Tin

  

PT Tinindo Inter Nusa

  

INDONESIA

Tin

  

PT Tommy Utama

  

INDONESIA

Tin

  

Rui Da Hung

  

TAIWAN, PROVINCE OF CHINA

Tin

  

Soft Metais Ltda.

  

BRAZIL

Tin

  

Thaisarco

  

THAILAND

Tin

  

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

  

CHINA

Tin

  

White Solder Metalurgia e Mineracao Ltda.

  

BRAZIL

Tin

  

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

  

CHINA

Tin

  

Yunnan Tin Company Limited

  

CHINA

Tin

  

CV Venus Inti Perkasa

  

INDONESIA

Tin

  

Magnu’s Minerais Metais e Ligas Ltda.

  

BRAZIL

Tin

  

Melt Metais e Ligas S.A.

  

BRAZIL

Tin

  

PT ATD Makmur Mandiri Jaya

  

INDONESIA

Tin

  

O.M. Manufacturing Philippines, Inc.

  

PHILIPPINES

 

A-5


Metal

  

Processing Facility Name

  

Processing Facility Location

Tin

  

PT Inti Stania Prima

  

INDONESIA

Tin

  

CV Ayi Jaya

  

INDONESIA

Tin

  

CV Dua Sekawan

  

INDONESIA

Tin

  

CV Tiga Sekawan

  

INDONESIA

Tin

  

Resind Industria e Comercio Ltda.

  

BRAZIL

Tin

  

Metallo Belgium N.V.

  

BELGIUM

Tin

  

Metallo Spain S.L.U.

  

SPAIN

Tin

  

PT Bangka Prima Tin

  

INDONESIA

Tin

  

PT Sukses Inti Makmur

  

INDONESIA

Tin

  

PT Kijang Jaya Mandiri

  

INDONESIA

Tin

  

PT Menara Cipta Mulia

  

INDONESIA

Tin

  

HuiChang Hill Tin Industry Co., Ltd.

  

CHINA

Tin

  

Gejiu Fengming Metallurgy Chemical Plant

  

CHINA

Tin

  

Guanyang Guida Nonferrous Metal Smelting Plant

  

CHINA

Tin

  

Gejiu Jinye Mineral Company

  

CHINA

Tin

  

PT Lautan Harmonis Sejahtera

  

INDONESIA

Tin

  

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

  

CHINA

Tin

  

Chifeng Dajingzi Tin Industry Co., Ltd.

  

CHINA

Tin

  

PT Bangka Serumpun

  

INDONESIA                                     

Tungsten

  

A.L.M.T. TUNGSTEN Corp.

  

JAPAN

Tungsten

  

Kennametal Huntsville

  

UNITED STATES OF AMERICA

Tungsten

  

Guangdong Xianglu Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Chongyi Zhangyuan Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Fujian Jinxin Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Global Tungsten & Powders Corp.

  

UNITED STATES OF AMERICA

Tungsten

  

Hunan Chenzhou Mining Co., Ltd.

  

CHINA

Tungsten

  

Hunan Chunchang Nonferrous Metals Co., Ltd.

  

CHINA

Tungsten

  

Japan New Metals Co., Ltd.

  

JAPAN

Tungsten

  

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

CHINA

Tungsten

  

Kennametal Fallon

  

UNITED STATES OF AMERICA

Tungsten

  

Tejing (Vietnam) Tungsten Co., Ltd.

  

VIETNAM

Tungsten

  

Vietnam Youngsun Tungsten Industry Co., Ltd.

  

VIETNAM

Tungsten

  

Wolfram Bergbau und Hutten AG

  

AUSTRIA

Tungsten

  

Xiamen Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

  

CHINA

Tungsten

  

Jiangxi Yaosheng Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

  

CHINA

Tungsten

  

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

  

CHINA

Tungsten

  

Malipo Haiyu Tungsten Co., Ltd.

  

CHINA

Tungsten

  

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

  

CHINA

 

A-6


Metal

  

Processing Facility Name

  

Processing Facility Location

Tungsten

  

Jiangxi Gan Bei Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Ganzhou Seadragon W & Mo Co., Ltd.

  

CHINA

Tungsten

  

Asia Tungsten Products Vietnam Ltd.

  

VIETNAM

Tungsten

  

Chenzhou Diamond Tungsten Products Co., Ltd.

  

CHINA

Tungsten

  

H.C. Starck Tungsten GmbH

  

GERMANY

Tungsten

  

H.C. Starck Smelting GmbH & Co. KG

  

GERMANY                                     

Tungsten

  

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

  

VIETNAM

Tungsten

  

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

  

CHINA

Tungsten

  

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

  

CHINA

Tungsten

  

Niagara Refining LLC

  

UNITED STATES OF AMERICA

Tungsten

  

Hydrometallurg, JSC

  

RUSSIAN FEDERATION

Tungsten

  

Unecha Refractory metals plant

  

RUSSIAN FEDERATION

Tungsten

  

South-East Nonferrous Metal Company Limited of Hengyang City

  

CHINA

Tungsten

  

Philippine Chuangxin Industrial Co., Inc.

  

PHILIPPINES

Tungsten

  

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

  

CHINA

Tungsten

  

ACL Metais Eireli

  

BRAZIL

Tungsten

  

Woltech Korea Co., Ltd.

  

KOREA, REPUBLIC OF

Tungsten

  

Moliren Ltd.

  

RUSSIAN FEDERATION

Table 2. Active processing facilities as of May 15, 2018.

The following processing facilities that were reported as being in the Company’s supply chain have been confirmed as Active:

 

Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

KGHM Polska Miedz Spolka Akcyjna

  

POLAND

Gold

  

Remondis Argentia B.V.

  

NETHERLANDS                             

Gold

  

L’Orfebre S.A.

  

ANDORRA

Gold

  

Modeltech Sdn Bhd

  

MALAYSIA

Gold

  

Bangalore Refinery

  

INDIA

Gold

  

NH Recytech Company

  

KOREA, REPUBLIC OF

Gold

  

DS PRETECH Co., Ltd.

  

KOREA, REPUBLIC OF

Tin

  

Modeltech Sdn Bhd

  

MALAYSIA

Table 3. Processing facilities not Compliant or Active as of May 15, 2018.

The following processing facilities that were reported as being in the Company’s supply chain have not been confirmed as Compliant or Active:

 

Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

   TURKEY

Gold

  

Caridad

   MEXICO                                         

Gold

  

Yunnan Copper Industry Co., Ltd.

   CHINA

Gold

  

Chugai Mining

   JAPAN

 

A-7


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

Daye Non-Ferrous Metals Mining Ltd.

  

CHINA

Gold

  

Refinery of Seemine Gold Co., Ltd.

  

CHINA

Gold

  

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

  

CHINA

Gold

  

Hangzhou Fuchunjiang Smelting Co., Ltd.

  

CHINA

Gold

  

Hunan Chenzhou Mining Co., Ltd.

  

CHINA

Gold

  

HwaSeong CJ CO., LTD.

  

KOREA, REPUBLIC OF

Gold

  

Kazakhmys Smelting LLC

  

KAZAKHSTAN

Gold

  

L’azurde Company For Jewelry

  

SAUDI ARABIA

Gold

  

Lingbao Gold Co., Ltd.

  

CHINA

Gold

  

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

  

CHINA

Gold

  

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

  

CHINA

Gold

  

Navoi Mining and Metallurgical Combinat

  

UZBEKISTAN

Gold

  

Elemetal Refining, LLC

  

UNITED STATES OF AMERICA

Gold

  

Penglai Penggang Gold Industry Co., Ltd.

  

CHINA

Gold

  

Sabin Metal Corp.

  

UNITED STATES OF AMERICA

Gold

  

Samwon Metals Corp.

  

KOREA, REPUBLIC OF

Gold

  

Schone Edelmetaal B.V.

  

NETHERLANDS                                 

Gold

  

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

  

CHINA

Gold

  

So Accurate Group, Inc.

  

UNITED STATES OF AMERICA

Gold

  

Great Wall Precious Metals Co., Ltd. of CBPM

  

CHINA

Gold

  

Tongling Nonferrous Metals Group Co., Ltd.

  

CHINA

Gold

  

Morris and Watson

  

NEW ZEALAND

Gold

  

Guangdong Jinding Gold Limited

  

CHINA

Gold

  

Fidelity Printers and Refiners Ltd.

  

ZIMBABWE

Gold

  

Singway Technology Co., Ltd.

  

TAIWAN, PROVINCE OF CHINA

Gold

  

Kaloti Precious Metals

  

UNITED ARAB EMIRATES

Gold

  

Sudan Gold Refinery

  

SUDAN

Gold

  

Tony Goetz NV

  

BELGIUM

Gold

  

TOO Tau-Ken-Altyn

  

KAZAKHSTAN

Gold

  

Abington Reldan Metals, LLC

  

UNITED STATES OF AMERICA

Gold

  

GCC Gujrat Gold Centre Pvt. Ltd.

  

INDIA

Gold

  

Sai Refinery

  

INDIA

Gold

  

Universal Precious Metals Refining Zambia

  

ZAMBIA

Gold

  

Kyshtym Copper-Electrolytic Plant ZAO

  

RUSSIAN FEDERATION

Gold

  

Morris and Watson Gold Coast

  

AUSTRALIA

Gold

  

Degussa Sonne / Mond Goldhandel GmbH

  

GERMANY

Gold

  

Pease & Curren

  

UNITED STATES OF AMERICA

Gold

  

State Research Institute Center for Physical Sciences and Technology

  

LITHUANIA

 

A-8


Metal

  

Processing Facility Name

  

Processing Facility Location

Gold

  

African Gold Refinery

  

UGANDA

Tantalum

  

Duoluoshan

  

CHINA

Tantalum

  

King-Tan Tantalum Industry Ltd.

  

CHINA

Tantalum

  

Yichun Jin Yang Rare Metal Co., Ltd.

  

CHINA

Tin

  

CNMC (Guangxi) PGMA Co., Ltd.

  

CHINA

Tin

  

Estanho de Rondonia S.A.

  

BRAZIL

Tin

  

Gejiu Zili Mining And Metallurgy Co., Ltd.

  

CHINA

Tin

  

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

  

VIETNAM

Tin

  

Nghe Tinh Non-Ferrous Metals Joint Stock Company

  

VIETNAM

Tin

  

Tuyen Quang Non-Ferrous Metals Joint Stock Company

  

VIETNAM

Tin

  

An Vinh Joint Stock Mineral Processing Company

  

VIETNAM                         

Tin

  

Super Ligas

  

BRAZIL

Tin

  

PT O.M. Indonesia

  

INDONESIA

Tin

  

Pongpipat Company Limited

  

MYANMAR

Tungsten

  

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

  

CHINA

Tungsten

  

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

  

CHINA

Tungsten

  

Ganzhou Yatai Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Ganzhou Haichuang Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

  

CHINA

Tungsten

  

Hunan Litian Tungsten Industry Co., Ltd.

  

CHINA

 

A-9