Item 1.01 Exhibit
Conflict Mineral Report
Kennecott
Kennecott performed an RCOI and determined that gold used in Kennecott’s products did not originate in a Covered Country. This RCOI involved implementation of a chain of custody management system for its gold production that is certified by the RJC. The raw materials purchasing procedure, a component of the chain of custody management system, requires that all purchased copper concentrate and gold slime materials have a certificate of origin that is obtained and reviewed prior to material purchase. The RJC issued Kennecott a Chain of Custody Certification (C0000 0007), which ensures that the gold used in its products is responsibly sourced and does not support conflict in Covered Countries.
Further, Kennecott is listed on the EICC-GeSi Conflict Free Gold Refiners List (CID000969) as compliant with the relevant EICC-GeSI relevant Conflict-Free Smelter Program assessment protocol. Based on the chain of custody management system, the EICC-GeSi Conflict Free Gold Refiners certification and the RJC Chain of Custody certification, Kennecott has concluded that none of the gold used in its products originates in a Covered Country.
RTFT and QMP
RTFT and QMP performed an RCOI on the single supplier that supplies 3TGs for use in their metal powders. This supplier was found to source tin only from conflict free certified smelters operating outside of the Covered Countries.
ECL and Alesa
After completion of the RCOI for ECL and Alesa, Rio Tinto has reason to believe that a portion of the 3TGs in their supply chain may have originated in the Covered Countries. Rio Tinto completed a due diligence exercise on the 3TGs’source and chain of custody and herein provides this CMR, which includes a description of those due diligence measures.
Due Diligence
Rio Tinto has relied on its direct suppliers to provide information on the origin of the 3TGs contained in components and materials supplied, including sources of 3TGs that are supplied from lower tier suppliers. This was done with the combination of the CMRT forms as well as any additional documentation that was requested of suppliers. In conducting its due diligence, Rio Tinto has implemented the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Framework”). The OECD Framework has a five-step matrix for risk-based due diligence in the mineral supply chain, which requires:
| 1. | Establishing strong company management systems Rio Tinto supports and respects human rights consistent with the United Nations Universal Declaration of Human Rights and actively seeks to ensure the Group is not complicit in human rights abuses. The way we work, Rio Tinto’s global code of business conduct, supported by the Group’s Human Rights policy, provides the framework for the approach to business integrity, human rights and to avoid financing or supporting conflict either directly or through our supply chain. | |
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Rio Tinto has assigned resources to the conflict minerals compliance program. The team structure is made up of a steering committee (governance team) and a conflict minerals working group (technical compliance). Rio Tinto has in place existing Enterprise Resource Planning systems designed to identify upstream actors in the supply chain. Suppliers are required to comply with The way we work. All future contracts for impacted Rio Tinto companies will include specific clauses regarding providing information around the source of any 3TGs in materials Rio Tinto purchase. Rio Tinto offers various grievance mechanisms across the business including a help line through issues and inappropriate behaviour may be raised. |
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| 2. | Identifying and assessing risk in the supply chain Rio Tinto contracted with 3PSP to identify risks within ECL and Alesa’s supply chain and 3PSP has conducted a RCOI and due diligence on those suppliers. A focus has been placed on those ECL and Alesa suppliers that were deemed to be a higher risk (“relevant suppliers”). | ||
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The process utilized by 3PSP involved the following steps: | |||
i) | All relevant suppliers were contacted and asked to fill out a CMRT form. | ||
ii) | A selection of responses was reviewed for further due diligence, which included: | ||
- all relevant suppliers whose products contained 3TGs from the Covered Countries, | |||
- all relevant suppliers whose products contained 3TGs, but not 3TGs from Covered Countries | |||
iii) | Additional information was requested from these relevant suppliers to confirm their responses on the CMRT forms. | ||
iv) | Any relevant supplier unable to provide sufficient information is escalated to the Rio Tinto risk mitigation process. | ||
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| 3. | Designing and implementing a strategy to respond to identified risks Processes are in place to communicate supply chain risk assessment to senior management. Depending on supply chain risk, ECL and Alesa will either work with relevant suppliers to help mitigate risks or remove the supplier from the supply chain. This is decided on a case by case basis. | ||
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| 4. | Carrying out independent third-party audit of supply chain due diligence ECL and Alesa do not, typically, have a direct relationship with 3TG smelters and refiners. As a result, ECL and Alesa do not perform or direct audits of them. Rio Tinto and 3PSP compared the facilities listed in the supplier responses to the list of smelters maintained by the Conflict-Free Sourcing Initiative (“CFSI”), the United States Department of Commerce and the LBMA and, if a supplier indicated that the facility was certified as “Conflict-Free,” confirmed that the name was listed by CFSI. | ||
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| 5. | Reporting on supply chain due diligence Rio Tinto will meet the reporting requirements of the Dodd-Frank Act and display information regarding its conflict minerals program on its publically available website as described in the Form SD. | ||
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Steps to be taken to mitigate risk | |||
ECL and Alesa intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TGs in their products could benefit armed groups in the Covered Countries: | |||
| i) | Include a conflict minerals flow-down clause in new or renewed supplier contracts. It is common for contracts with suppliers to be in force for three to five years or more and the Group may not impose new contract terms and flow-down requirements unilaterally. When ECL and Alesa enter into new contracts or renewal of contracts, they intend to add a clause to require suppliers to provide information about the source of 3TGs and smelters. It will take a number of years to ensure that all supplier contracts contain appropriate flow-down clauses. In the meantime, we are working with selected suppliers to ensure that such suppliers provide ECL and Alesa with accurate 3TG sourcing information. | ||
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| ii) | Engage with suppliers and direct them to training resources in order to increase the supplier survey response rate and improve the detail of the content provided by suppliers in survey responses. | ||
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| iii) | Engage any suppliers found to be supplying ECL and Alesa with 3TGs from sources that support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict. | ||
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iv) | ECL and Alesa have begun a process of prequalification for all new suppliers where conflict minerals information will be required prior to contracts being signed. |
Product Description
Due diligence is ongoing and the information received continues to improve in quantity and quality. The majority of the responses received to date provide data at a company or divisional level and did not always specify the smelters or refiners used for materials supplied to ECL and Alesa. We have disclosed validated smelters or refiners provided to ECL and Alesa in their supply chain. We cannot definitively determine whether any of the 3TGs reported by the suppliers were contained in materials supplied to ECL or Alesa or to validate that any of these smelters or refiners are actually in their supply chain. As a result, Rio Tinto is unable to identify all smelters and refiners or all the countries of origin of the 3TGs that are contained in our products.
The table below lists the validated smelters or refiners in the ECL and Alesa supply chain, which, to the extent known, process 3TGs. If known, we have listed their Conflict Free status according to the CFSI and also the source of their raw materials.
Metal | Standard Smelter or Refiner Name | Conflict Free | Sources |
Gold | Advanced Chemical Company | Unknown | Unknown |
Gold | Aida Chemical Industries Co. Ltd. | Yes | Unknown |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Yes | Unknown |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Unknown | Unknown |
Gold | AngloGold Ashanti Córrego do Sítio Minerção | Yes | Brazil |
Gold | Argor-Heraeus SA | Yes | Unknown |
Gold | Asahi Pretec Corporation | Yes | Unknown |
Gold | Asaka Riken Co Ltd | Unknown | Unknown |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Yes | Turkey |
Gold | Aurubis AG | Yes | Chile, Brazil, Peru, Argentina, Canada, Bulgaria |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Unknown | Unknown |
Gold | Bauer Walser AG | Unknown | Unknown |
Gold | Boliden AB | Yes | Unknown |
Gold | C. Hafner GmbH + Co. KG | Yes | Unknown |
Gold | Caridad | Unknown | Unknown |
Gold | CCR Refinery – Glencore Canada Corporation | Yes | Unknown |
Gold | Cendres + Métaux SA | Unknown | Unknown |
Gold | Chimet S.p.A. | Yes | Unknown |
Gold | China National Gold Group Corporation | Unknown | Unknown |
Gold | Chugai Mining | Unknown | Unknown |
Gold | Colt Refining | Unknown | Unknown |
Gold | Daejin Indus Co. Ltd | Unknown | Unknown |
Gold | Daye Non-Ferrous Metals Mining Ltd. | Unknown | Unknown |
Gold | Do Sung Corporation | Unknown | Unknown |
Gold | Doduco | Unknown | Unknown |
Gold | Dowa | Yes | Unknown |
Gold | Eco-System Recycling Co., Ltd. | Yes | Unknown |
Gold | FSE Novosibirsk Refinery | Unknown | Unknown |
Gold | Gansu Seemine Material Hi-Tech Co Ltd | Unknown | Unknown |
Gold | Guangdong Jinding Gold Limited | Unknown | Unknown |
Gold | Heimerle + Meule GmbH | Yes | Unknown |
Gold | Heraeus Ltd. Hong Kong | Yes | Unknown |
Gold | Heraeus Precious Metals GmbH & Co. KG | Yes | Unknown |
Gold | Hunan Chenzhou Mining Group Co., Ltd. | Unknown | Unknown |
Gold | Hwasung CJ Co. Ltd | Unknown | Unknown |
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Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | Unknown | Unknown |
Gold | Ishifuku Metal Industry Co., Ltd. | Yes | Unknown |
Gold | Istanbul Gold Refinery | Yes | Unknown |
Gold | Japan Mint | Yes | Unknown |
Gold | Jiangxi Copper Company Limited | Unknown | Unknown |
Gold | Johnson Matthey Inc | Yes | Unknown |
Gold | Johnson Matthey Ltd | Yes | Unknown |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Yes | Unknown |
Gold | JSC Uralelectromed | Yes | Unknown |
Gold | JX Nippon Mining & Metals Co., Ltd. | Yes | Unknown |
Gold | Kazzinc Ltd | Yes | Kazakhstan |
Gold | Kennecott Utah Copper LLC | Yes | United States |
Gold | Kojima Chemicals Co., Ltd | Yes | Unknown |
Gold | Korea Metal Co. Ltd | Unknown | Unknown |
Gold | Kyrgyzaltyn JSC | Unknown | Unknown |
Gold | L' azurde Company For Jewelry | Yes | Unknown |
Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | Unknown | Unknown |
Gold | LS-NIKKO Copper Inc. | Yes | Unknown |
Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | Unknown | Unknown |
Gold | Materion | Yes | Unknown |
Gold | Matsuda Sangyo Co., Ltd. | Yes | Unknown |
Gold | Metalor Technologies (Hong Kong) Ltd | Yes | Unknown |
Gold | Metalor Technologies (Singapore) Pte. Ltd. | Yes | Unknown |
Gold | Metalor Technologies SA | Yes | Unknown |
Gold | Metalor USA Refining Corporation | Yes | Unknown |
Gold | Met-Mex Peñoles, S.A. | Yes | Mexico |
Gold | Mitsubishi Materials Corporation | Yes | Unknown |
Gold | Mitsui Mining and Smelting Co., Ltd. | Yes | Peru, Chile, Canada |
Gold | Moscow Special Alloys Processing Plant | Unknown | Unknown |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Yes | Unknown |
Gold | Navoi Mining and Metallurgical Combinat | Unknown | Unknown |
Gold | Nihon Material Co. LTD | Yes | Unknown |
Gold | Ohio Precious Metals, LLC | Yes | Unknown |
Gold | Ohura Precious Metal Industry Co., Ltd | Yes | Unknown |
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | Yes | Unknown |
Gold | OJSC Kolyma Refinery | Unknown | Unknown |
Gold | PAMP SA | Yes | Unknown |
Gold | Penglai Penggang Gold Industry Co Ltd | Unknown | Unknown |
Gold | Prioksky Plant of Non-Ferrous Metals | Unknown | Unknown |
Gold | PT Aneka Tambang (Persero) Tbk | Yes | Unknown |
Gold | PX Précinox SA | Yes | Unknown |
Gold | Rand Refinery (Pty) Ltd | Yes | Botswana, Ethiopia, Ghana, Guinea, Mali, Mozambique, Namibia, South Africa, Tanzania, Zambia, Zimbabwe, Cote de Ivory, Burkina Faso, Kenya, Egypt, Peru, Asia, United Arab Emirates, Australia, Indonesia, Kenya, Malaysia, Taiwan, United States, Thailand |
Gold | Royal Canadian Mint | Yes | Unknown |
Gold | Sabin Metal Corp. | Unknown | Unknown |
Gold | SAMWON METALS Corp. | Unknown | Unknown |
Gold | Schone Edelmetaal | Yes | Unknown |
Gold | SEMPSA Joyería Platería SA | Yes | Unknown |
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Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | Yes | Unknown |
Gold | So Accurate Group, Inc. | Unknown | Unknown |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Unknown | Unknown |
Gold | Solar Applied Materials Technology Corp. | Yes | Unknown |
Gold | Sumitomo Metal Mining Co., Ltd. | Yes | Unknown |
Gold | Tanaka Kikinzoku Kogyo K.K. | Yes | Unknown |
Gold | The Great Wall Gold and Silver Refinery of China | Unknown | Unknown |
Gold | The Refinery of Shandong Gold Mining Co. Ltd | Yes | Unknown |
Gold | Tokuriki Honten Co., Ltd | Yes | Unknown |
Gold | Tongling nonferrous Metals Group Co.,Ltd | Unknown | Unknown |
Gold | Torecom | Unknown | Unknown |
Gold | Umicore Brasil Ltda | Yes | Unknown |
Gold | Umicore Precious Metals Thailand | Yes | Unknown |
Gold | Umicore SA Business Unit Precious Metals Refining | Yes | Unknown |
Gold | United Precious Metal Refining, Inc. | Yes | Unknown |
Gold | Valcambi SA | Yes | Unknown |
Gold | Western Australian Mint trading as The Perth Mint | Yes | Unknown |
Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | Unknown | Unknown |
Gold | Yokohama Metal Co Ltd | Unknown | Unknown |
Gold | Yunnan Copper Industry Co Ltd | Unknown | Unknown |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Yes | Unknown |
Gold | Zijin Mining Group Co. Ltd | Yes | Unknown |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | Yes | Unknown |
Tantalum | Conghua Tantalum and Niobium Smeltry | Yes | DRC |
Tantalum | Duoluoshan | Yes | DRC, Rwanda |
Tantalum | Exotech Inc. | Yes | Unknown |
Tantalum | F&X Electro-Materials Ltd. | Yes | DRC |
Tantalum | Global Advanced Metals Aizu | Yes | DRC, Australia |
Tantalum | Global Advanced Metals Boyertown | Yes | DRC, Australia |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | Yes | Unknown |
Tantalum | H.C. Starck GmbH Goslar | Yes | DRC |
Tantalum | H.C. Starck GmbH Laufenburg | Yes | DRC |
Tantalum | H.C. Starck Hermsdorf GmbH | Yes | Unknown |
Tantalum | H.C. Starck Inc. | Yes | Unknown |
Tantalum | H.C. Starck Ltd. | Yes | Unknown |
Tantalum | H.C. Starck Smelting GmbH & Co.KG | Yes | DRC |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | Yes | Unknown |
Tantalum | Hi-Temp | Yes | Unknown |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | Yes | DRC |
Tantalum | Jiujiang Tanbre Co., Ltd. | Yes | DRC |
Tantalum | KEMET Blue Metals | Yes | DRC |
Tantalum | King-Tan Tantalum Industry Ltd | Yes | Unknown |
Tantalum | LSM Brasil S.A. | Yes | Unknown |
Tantalum | Metallurgical Products India (Pvt.) Ltd. | Yes | Unknown |
Tantalum | Mineração Taboca S.A. | Yes | Brazil |
Tantalum | Mitsui Mining & Smelting | Yes | Unknown |
Tantalum | Molycorp Silmet A.S. | Yes | Unknown |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Yes | DRC |
Tantalum | Nippon Mining & Metals Co. Ltd. | Unknown | Unknown |
Tantalum | Plansee SE Liezen | Yes | Unknown |
Tantalum | Plansee SE Reutte | Yes | Unknown |
Tantalum | QuantumClean | Yes | Unknown |
Tantalum | RFH Tantalum Smeltry Co., Ltd | Yes | Unknown |
Tantalum | Shanghai Jiangxi Metals Co. Ltd | Unknown | Unknown |
Tantalum | Solikamsk Magnesium Works OAO | Yes | Russian Federation |
Tantalum | Taki Chemicals | Yes | Unknown |
Tantalum | Telex | Yes | Unknown |
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Tantalum | Ulba | Yes | DRC |
Tantalum | Zhuzhou Cement Carbide | Yes | DRC |
Tin | Alpha | Yes | Unknown |
Tin | China Rare Metal Materials Company | Yes | Unknown |
Tin | China Tin Group Co., Ltd. | Unknown | Unknown |
Tin | CNMC (Guangxi) PGMA Co. Ltd. | Unknown | Unknown |
Tin | Cooper Santa | Unknown | Unknown |
Tin | CSC Pure Technologies | Unknown | Unknown |
Tin | CV Duta Putra Bangka | Unknown | Unknown |
Tin | CV JusTindo | Unknown | Indonesia |
Tin | CV Makmur Jaya | Unknown | Indonesia |
Tin | CV Nurjanah | Unknown | Indonesia |
Tin | CV Serumpun Sebalai | Unknown | Indonesia |
Tin | CV United Smelting | Yes | Indonesia |
Tin | Dongguan Qiandao Tin Co., Ltd | Unknown | Unknown |
Tin | Dowa | Yes | Unknown |
Tin | Electroloy Metal Pte | Unknown | Unknown |
Tin | EM Vinto | Yes | Unknown |
Tin | Estanho de Rondônia S.A. | Unknown | Unknown |
Tin | Fenix Metals | Unknown | Unknown |
Tin | Gejiu Kai Meng Industry and Trade LLC | Unknown | Unknown |
Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | Yes | Unknown |
Tin | Gejiu Zi-Li | Unknown | Unknown |
Tin | Huichang Jinshunda Tin Co. Ltd | Unknown | Unknown |
Tin | Hyundai-Steel | Unknown | Unknown |
Tin | Jean Goldschmidt International SA | Unknown | Unknown |
Tin | Jiangxi Nanshan | Unknown | Unknown |
Tin | Koki Products Co. Ltd. | Unknown | Unknown |
Tin | KOVOHUTE PRIBRAM NASTUPNICKA, A.S. | Unknown | Unknown |
Tin | Linwu Xianggui Smelter Co | Unknown | Unknown |
Tin | Magnu's Minerais Metais e Ligas LTDA | Yes | Finland, Chile |
Tin | Malaysia Smelting Corporation (MSC) | Yes | DRC, Central Africa |
Tin | Melt Metais e Ligas S/A | Yes | Unknown |
Tin | Metallo Chimique | Yes | Unknown |
Tin | Mineração Taboca S.A. | Yes | Brazil |
Tin | Minsur | Yes | Brazil |
Tin | Mitsubishi Materials Corporation | Yes | Unknown |
Tin | Novosibirsk Integrated Tin Works | Unknown | Unknown |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Unknown | Unknown |
Tin | OMSA | Yes | Bolivia |
Tin | Poongsan Corporation | Unknown | Unknown |
Tin | POSCO | Unknown | Unknown |
Tin | PT Alam Lestari Kencana | Unknown | Indonesia |
Tin | PT Artha Cipta Langgeng | Unknown | Indonesia |
Tin | PT Babel Inti Perkasa | Yes | Indonesia |
Tin | PT Babel Surya Alam Lestari | Unknown | Indonesia |
Tin | PT Bangka Kudai Tin | Unknown | Indonesia |
Tin | PT Bangka Putra Karya | Yes | Indonesia |
Tin | PT Bangka Timah Utama Sejahtera | Unknown | Indonesia |
Tin | PT Bangka Tin Industry | Yes | Indonesia |
Tin | PT Belitung Industri Sejahtera | Yes | Indonesia |
Tin | PT BilliTin Makmur Lestari | Unknown | Indonesia |
Tin | PT Bukit Timah | Yes | Indonesia |
Tin | PT DS Jaya Abadi | Yes | Indonesia |
Tin | PT Eunindo Usaha Mandiri | Yes | Indonesia |
Tin | PT Fang Di MulTindo | Unknown | Indonesia |
Tin | PT HP Metals Indonesia | Unknown | Indonesia |
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Tin | PT Inti Stania Prima | Unknown | Unknown |
Tin | PT Karimun Mining | Unknown | Indonesia |
Tin | PT Koba Tin | Unknown | Indonesia |
Tin | PT Mitra Stania Prima | Yes | Indonesia |
Tin | PT Pelat Timah Nusantara Tbk | Unknown | Indonesia |
Tin | PT Prima Timah Utama | Yes | Indonesia |
Tin | PT REFINED BANGKA TIN | Yes | Indonesia |
Tin | PT Sariwiguna Binasentosa | Yes | Indonesia |
Tin | PT Stanindo Inti Perkasa | Yes | Indonesia |
Tin | PT Sumber Jaya Indah | Unknown | Indonesia |
Tin | PT Supra Sukses Trinusa | Unknown | Indonesia |
Tin | PT Tambang Timah | Yes | Indonesia |
Tin | PT Timah (Persero), Tbk | Yes | Indonesia |
Tin | PT Tinindo Inter Nusa | Yes | Indonesia |
Tin | PT Yinchendo Mining Industry | Unknown | Indonesia |
Tin | Pure Technology | Unknown | Unknown |
Tin | Rahman Hydraulic Tin Sdn Bhd | Unknown | Unknown |
Tin | Rui Da Hung | Unknown | Unknown |
Tin | Soft Metais, Ltda. | Unknown | Unknown |
Tin | Technic Inc. | Unknown | Unknown |
Tin | Thaisarco | Yes | DRC |
Tin | White Solder Metalurgia e Mineração Ltda. | Yes | Brazil |
Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | Unknown | Unknown |
Tin | Yunnan Tin Company, Ltd. | Yes | China, Brazil, Australia, Bolivia |
Tungsten | A.L.M.T. Corp. | Unknown | Unknown |
Tungsten | Air Products | Unknown | Unknown |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | Unknown | Unknown |
Tungsten | Dayu Weiliang Tungsten Co., Ltd. | Unknown | Unknown |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | Unknown | Unknown |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | Yes | Unknown |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | Yes | Unknown |
Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | Unknown | Unknown |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Yes | Unknown |
Tungsten | Global Tungsten & Powders Corp. | Yes | Europe, Asia, Americas |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | Unknown | Unknown |
Tungsten | H.C. Starck GmbH | Unknown | Unknown |
Tungsten | Hunan Chenzhou Mining Group Co., Ltd. | Unknown | Unknown |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | Yes | Unknown |
Tungsten | Izawa Metal Co., Ltd | Unknown | Unknown |
Tungsten | Japan New Metals Co., Ltd. | Yes | Unknown |
Tungsten | Jiangsu Hetian Technological Material Co., Ltd | Unknown | Unknown |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | Yes | Unknown |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | Unknown | Unknown |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | Unknown | Unknown |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | Unknown | Unknown |
Tungsten | Kennametal Fallon | Unknown | Unknown |
Tungsten | Kennametal Huntsville | Unknown | Unknown |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | Yes | Unknown |
Tungsten | Nanchang Cemented Carbide Limited Liability Company | Unknown | Unknown |
Tungsten | North American Tungsten | Unknown | Unknown |
Tungsten | Sumitomo Metal Mining Co. Ltd. | Unknown | Unknown |
Tungsten | TaeguTec Ltd. | Unknown | Unknown |
Tungsten | Tamano Smelter, Hibi Kyodo Smelting Co., Ltd | Unknown | Unknown |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Unknown | Unknown |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd | Yes | DRC, Vietnam |
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Tungsten | Wolfram Bergbau und Hütten AG | Yes | Austria |
Tungsten | Wolfram Company CJSC | Unknown | Unknown |
Tungsten | Xiamen Honglu Tungsten Molybdenum Industry Co. Ltd | Unknown | Unknown |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | Yes | DRC |
Tungsten | Xiamen Tungsten Co., Ltd. | Yes | Unknown |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | Unknown | Unknown |
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As outlined above in this Exhibit 1.01 in the section addressing “Steps to be taken to mitigate risk,” ECL and Alesa are working with their suppliers to more accurately determine the mine or location of origin of the 3TGs.
Below is a general description of ECL and Alesa’s products and the manufacturing facilities.
ECL
ECL’s business model includes direct manufacturing of equipment that may use component parts acquired from other suppliers. ECL’s network of four subsidiaries is based in Ronchin, France, with operations in Quebec City; Matola, Mozambique; Richards Bay, South Africa; Brisbane (Eagle Farm), Portland, and Newcastle, Australia; and Dubai, United Arab Emirates.
ECL designs, manufactures and installs high quality equipment in smelters for the aluminium industry, as well as delivering solutions to assist its customers at every step of the project and at every milestone in the equipment’s life cycle. ECL produces a range of products including:
metal and bath handling equipment, or casthouse purpose made cranes (e.g., a variety of cranes for metal ladle skimming, stripping, and plate handling)
diverse types of machines for pot tending, anode changing, overhead tapping, anode jacking, and stud pulling, among others
equipment for the carbon sector (furnace tending, rodding shops, anode handling and storage)
Alesa
Alesa is based in Zurich, Switzerland, with facilities in Montreal, Canada and Gardanne, France. Alesa’s expertise includes materials handling, as well as automation. Alesa’s client projects represent a broad variety of industries. Alesa`s services and products range from feasibility studies, design, engineering, fabrication and installation to start-up assistance, training and customer service. Alesa’s business model for equipment fabrication typically involves contracting out the manufacturing and production of the equipment, having a supplier make particular product components, purchasing equipment or parts to be incorporated into a final product. Examples of equipment include:
Materials handling solutions; carbon plant technology and automation
Harbour facilities (ship loading/unloading systems)
Conveying systems (pneumatic and mechanical)
Storage equipment (fill/reclaim)
Vehicle loading and unloading
Pot control systems
Automatic fire control systems
Anode handling equipment
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