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Section 1: SD (SD)

Document

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________________________________________
  
FORM SD

Specialized Disclosure Report
_____________________________________________
  
BLUE BIRD CORPORATION
(Exact name of registrant as specified in its charter)
 
 
Delaware
 
001-36267
 
46-3891989
(State or other jurisdiction
of incorporation or organization)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
 
3920 Arkwright Road, 2nd Floor
Macon, Georgia 31210
 
31210
(Address of principal executive offices)
 
(Zip Code)

Paul Yousif
 
(478) 822-2801
(Name and telephone number, including area code, of the person to contact in connection with this report.)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
 
Q
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.


Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, Blue Bird Corporation (the “Company”) has undertaken efforts to determine its conflict minerals1 reporting requirements for the period from January 1 to December 31, 2018.
The Company has filed this Specialized Disclosure Report and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at http://investors.blue-bird.com/Docs.

______________________________________________________ 
1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.





Item 1.02 Exhibit
The Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto.
Section 2 – Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this report.
Exhibit 1.01 – Blue Bird Corporation’s Conflict Minerals Report for the period January 1 to December 31, 2018.

*****

SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
 
Blue Bird Corporation
By:
/s/ Paul Yousif
 
Date: May 22, 2019
 
Paul Yousif
General Counsel and Corporate Treasurer, Corporate Secretary
 
 


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Section 2: EX-1.01 (EXHIBIT 1.01)

Exhibit
Exhibit 1.01

CONFLICT MINERALS REPORT OF
BLUE BIRD CORPORATION
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2018


I.
Introduction
This is the Conflict Minerals1 Report of Blue Bird Corporation (“we,” “our,” “us,” or the “Company”) prepared for calendar year 2018 (“Reporting Period”) in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and SEC Release No. 34-67716 (August 22, 2012) under the Act (the “Adopting Release”). The reader is referred to these sources for the definitions of defined terms contained herein.
In accordance with Rule 13p-1, we undertook efforts to determine the presence and source of the conflict minerals within our products. The Company designed its efforts in conformity with the internationally recognized due diligence framework set forth in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas2 (“OECD Due Diligence Guidance”) and related Supplements.
The statements below are based on the activities performed to date in good faith by the Company and are based on the infrastructure and information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving identification of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other issues.
II.
Overview
Company Profile
We are the leading independent designer and manufacturer of school buses, with more than 550,000 buses sold since our formation in 1927 and approximately 180,000 buses in operation today.
We are subject to this rule as we have determined that, during 2018 conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the DRC or adjoining countries.
______________________________________________________ 
1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.
2 OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en

1


Exhibit 1.01

Conflict Minerals Policy
The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company’s commitment to complying with the reporting and due diligence obligations required by the SEC rule and the Company’s expectations from its suppliers. In addition, the policy includes language encouraging suppliers to source responsibly. The policy resides on our corporate website (http://investors.blue-bird.com/govdocs.aspx?iid=4042668) and is included in our supplier code of conduct and terms and conditions.
Reasonable Country of Origin Inquiry Information
We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.
The Company’s RCOI process included (i) reviewing the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release and (ii) conducting an inquiry of our direct suppliers of the in-scope products using the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of our RCOI which indicated sourcing from the DRC or an adjoining country, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD Due Diligence Guidance. Our due diligence efforts are discussed further in this Conflict Minerals Report.
Due Diligence Program Design
The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a “downstream” company.
Step 1:     Establish strong Company management systems
Step 2:     Identify and assess risks in the supply chain
Step 3:     Design and implement a strategy to respond to identified risks
Step 4:    Carry out independent third-party audit of smelter/refiner's due diligence practices
Step 5:     Report annually on supply chain due diligence
III.
Due Diligence Measures Performed by The Company
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
Step 1: Establish strong Company management systems

2


Exhibit 1.01

a.
Conflict minerals team – The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including compliance, finance, procurement, sales, and legal. The team was structured to include the involvement from those in upper management roles, including the General Counsel and Corporate Treasurer, to ensure that critical information, including the Company’s conflict minerals policy, reached relevant employees and suppliers.
b.
Conflict minerals policy – The Company adopted and published a policy establishing our expectations of our suppliers. The policy resides on our corporate website.
c.
Internal engagement – We developed a training program to educate employees on our conflict minerals process, the goals of our program, and our reporting obligations as a supplier and a public filer.
d.
Supplier engagement – The Company communicated its conflict minerals policy and provided educational materials to our in-scope suppliers. Suppliers were informed when the request for information was initiated on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program. Stakeholders can communicate directly and confidentially with our compliance officer.
e.
Company level grievance mechanism – As recommended by the OECD Due Diligence Guidance, the Company has a grievance mechanism in place as a risk-awareness system for conflict minerals issues. Stakeholders, internal and external, can communicate directly and confidentially with our compliance officer.
f.
Records management – The Company will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years.
Step 2: Identify and assess risks in the supply chain
We performed the following steps as part of our risk assessment process:
a.
Identified products in scope – Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release.
b.
Conducted RCOI – The Company utilized the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide materials and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a list of countries of origin identified through the RCOI process.
c.
Completed additional follow-up – The Company contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the accuracy of information provided by our suppliers.
d.
Identified smelters or refiners (“SORs”) – The Company compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. The Company reconciled this list to the list of smelter facilities designated by the RMI’s Responsible Minerals Assurance Process (“RMAP”). The RMAP completes independent, third-party audits of smelters and refiners to determine which can be validated as having systems in place that ensure the minerals are responsibly sourced according to the OECD Due Diligence Guidance. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters

3


Exhibit 1.01

lists to the list of RMI SORs. We have provided that list in this report within section IV – Product Description; Processing Facilities.
Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a.
Reported results to senior management – The Conflict Minerals team reported the results of our RCOI to upper management, which included the team’s plan to respond to risks identified in the due diligence processes.
b.
Designed and implemented a plan – The Company used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as any additional documentation furnished to support those responses and the suppliers’ due diligence processes. In the coming year, the resulting risk ratings will be used to develop specific supplier outreach and training to address the identified risks and to take corrective actions with suppliers found not in compliance with the Company’s conflict minerals policy.
c.
Verified SORs – As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of smelter facilities validated by the RMI. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs.
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
The Company is using information provided by independent third party audit programs, including the RMI, London Bullion Market Association (LBMA), and Responsible Jewelry Council (RJC), to confirm the existence and verify the OECD-conformance status of SORs identified during our due diligence.
For smelters that had not been audited as conformant, the Company sent a communication to encourage participation in the RMAP and requested the SOR to provide the mines and/or locations the SOR sources from to assist in identifying all countries of origin.
Step 5: Report annually on supply chain due diligence
Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://investors.blue-bird.com/Docs.
IV.
Product Description; Processing Facilities

Product Description – We review and present our business in two reportable segments (“segments”) - Buses and Parts.


4


Exhibit 1.01

Bus Segment

We design, engineer, manufacture and sell three types of buses (Type C school buses, Type D school buses and specialty buses). Each of our Type C and Type D buses is manufactured and assembled on its own dedicated purpose-built chassis in Fort Valley, Georgia. Regardless of specifications, all school bus bodies that we manufacture include our signature 14-gauge one piece steel bows roof system, complemented by a rugged and sturdy floor structure.
 
Specialty buses include school buses that are converted to suit applications required by the United States Government, state and local governments and various customers for commercial and export markets. We also sell a “Sigma” bus that is developed for public transportation using our school bus chassis and a purpose-built body supplied by Autopartes Y Components, S.A. (“AYCO”) in Mexico. The “Sigma” bus is sold primarily to customers in Central and South America.

The Blue Bird Micro Bird by Girardin Type A bus is produced through Micro Bird Holdings, Inc., an unconsolidated Canadian joint venture with Groupe Autobus Girardin LTEE (“Micro Bird”), and is sold through our dealer network. This is a smaller bus than the Type C or Type D bus and is produced on a chassis provided by either Ford or GM.

Parts Segment

Parts are key for routine maintenance, replacement of parts that are damaged in service and replacement of parts that suffer from wear and tear through the useful life of the vehicle.
Processing FacilitiesBased on our due diligence process and the information received from our suppliers, the following facilities were identified by the Company’s suppliers as the smelters and refiners of the tin, tantalum, tungsten and/or gold present in and necessary to the functionality of products manufactured by the Company in the Reporting Period. The information from our suppliers is still evolving and may contain company-level declarations. As such, this smelter list is presented in good faith as the best information we have to date. This list may contain smelters that are not in our supply chain and/or there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from RMI, LBMA, and RJC improves.
Metal
 
Smelter Name
 
Country
 
Smelter ID
Gold
 
8853 S.p.A.
 
ITALY
 
CID002763
Gold
 
Advanced Chemical Company
 
UNITED STATES OF AMERICA
 
CID000015
Gold
 
Aida Chemical Industries Co., Ltd.
 
JAPAN
 
CID000019
Gold
 
Al Etihad Gold Refinery DMCC
 
UNITED ARAB EMIRATES
 
CID002560
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
GERMANY
 
CID000035
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
UZBEKISTAN
 
CID000041
Gold
 
AngloGold Ashanti Corrego do Sitio Mineracao
 
BRAZIL
 
CID000058
Gold
 
Argor-Heraeus S.A.
 
SWITZERLAND
 
CID000077
Gold
 
Asahi Pretec Corp.
 
JAPAN
 
CID000082

5


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Gold
 
Asahi Refining Canada Ltd.
 
CANADA
 
CID000924
Gold
 
Asahi Refining USA Inc.
 
UNITED STATES OF AMERICA
 
CID000920
Gold
 
Asaka Riken Co., Ltd.
 
JAPAN
 
CID000090
Gold
 
AU Traders and Refiners
 
SOUTH AFRICA
 
CID002850
Gold
 
Aurubis AG
 
GERMANY
 
CID000113
Gold
 
Bangalore Refinery
 
INDIA
 
CID002863
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
PHILIPPINES
 
CID000128
Gold
 
Boliden AB
 
SWEDEN
 
CID000157
Gold
 
C. Hafner GmbH + Co. KG
 
GERMANY
 
CID000176
Gold
 
Caridad
 
MEXICO
 
CID000180
Gold
 
CCR Refinery - Glencore Canada Corporation
 
CANADA
 
CID000185
Gold
 
Cendres + Metaux S.A.
 
SWITZERLAND
 
CID000189
Gold
 
Chimet S.p.A.
 
ITALY
 
CID000233
Gold
 
Chugai Mining
 
JAPAN
 
CID000264
Gold
 
Daejin Indus Co., Ltd.
 
KOREA, REPUBLIC OF
 
CID000328
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
CHINA
 
CID000343
Gold
 
Degussa Sonne / Mond Goldhandel GmbH
 
GERMANY
 
CID002867
Gold
 
Dijllah Gold Refinery FZC
 
UNITED ARAB EMIRATES
 
CID003348
Gold
 
DODUCO Contacts and Refining GmbH
 
GERMANY
 
CID000362
Gold
 
Dowa
 
JAPAN
 
CID000401
Gold
 
DS PRETECH Co., Ltd.
 
KOREA, REPUBLIC OF
 
CID003195
Gold
 
DSC (Do Sung Corporation)
 
KOREA, REPUBLIC OF
 
CID000359
Gold
 
Eco-System Recycling Co., Ltd.
 
JAPAN
 
CID000425
Gold
 
Emirates Gold DMCC
 
UNITED ARAB EMIRATES
 
CID002561
Gold
 
GCC Gujrat Gold Centre Pvt. Ltd.
 
INDIA
 
CID002852
Gold
 
Geib Refining Corporation
 
UNITED STATES OF AMERICA
 
CID002459
Gold
 
Gold Refinery of Zijin Mining Group Co., Ltd.
 
CHINA
 
CID002243
Gold
 
Great Wall Precious Metals Co., Ltd. of CBPM
 
CHINA
 
CID001909
Gold
 
Guangdong Jinding Gold Limited
 
CHINA
 
CID002312
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
CHINA
 
CID000651
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
CHINA
 
CID000671
Gold
 
HeeSung Metal Ltd.
 
KOREA, REPUBLIC OF
 
CID000689
Gold
 
Heimerle + Meule GmbH
 
GERMANY
 
CID000694
Gold
 
Heraeus Metals Hong Kong Ltd.
 
CHINA
 
CID000707
Gold
 
Heraeus Precious Metals GmbH & Co. KG
 
GERMANY
 
CID000711
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
 
CID000767
Gold
 
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
 
CHINA
 
CID000773
Gold
 
HwaSeong CJ CO., LTD.
 
KOREA, REPUBLIC OF
 
CID000778
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
 
CHINA
 
CID000801
Gold
 
International Precious Metal Refiners
 
UNITED ARAB EMIRATES
 
CID002562
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
JAPAN
 
CID000807
Gold
 
Istanbul Gold Refinery
 
TURKEY
 
CID000814
Gold
 
Italpreziosi
 
ITALY
 
CID002765
Gold
 
Japan Mint
 
JAPAN
 
CID000823
Gold
 
Jiangxi Copper Co., Ltd.
 
CHINA
 
CID000855
Gold
 
JSC Uralelectromed
 
RUSSIAN FEDERATION
 
CID000929
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
JAPAN
 
CID000937

6


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Gold
 
Kazakhmys Smelting LLC
 
KAZAKHSTAN
 
CID000956
Gold
 
Kazzinc
 
KAZAKHSTAN
 
CID000957
Gold
 
Kennecott Utah Copper LLC
 
UNITED STATES OF AMERICA
 
CID000969
Gold
 
KGHM Polska Miedz Spolka Akcyjna
 
POLAND
 
CID002511
Gold
 
Kojima Chemicals Co., Ltd.
 
JAPAN
 
CID000981
Gold
 
Korea Zinc Co., Ltd.
 
KOREA, REPUBLIC OF
 
CID002605
Gold
 
Kyrgyzaltyn JSC
 
KYRGYZSTAN
 
CID001029
Gold
 
Kyshtym Copper-Electrolytic Plant ZAO
 
RUSSIAN FEDERATION
 
CID002865
Gold
 
L'azurde Company For Jewelry
 
SAUDI ARABIA
 
CID001032
Gold
 
Lingbao Gold Co., Ltd.
 
CHINA
 
CID001056
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
CHINA
 
CID001058
Gold
 
L'Orfebre S.A.
 
ANDORRA
 
CID002762
Gold
 
LS-NIKKO Copper Inc.
 
KOREA, REPUBLIC OF
 
CID001078
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
CHINA
 
CID001093
Gold
 
Marsam Metals
 
BRAZIL
 
CID002606
Gold
 
Materion
 
UNITED STATES OF AMERICA
 
CID001113
Gold
 
Matsuda Sangyo Co., Ltd.
 
JAPAN
 
CID001119
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
CHINA
 
CID001149
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
SINGAPORE
 
CID001152
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
CHINA
 
CID001147
Gold
 
Metalor Technologies S.A.
 
SWITZERLAND
 
CID001153
Gold
 
Metalor USA Refining Corporation
 
UNITED STATES OF AMERICA
 
CID001157
Gold
 
Metalurgica Met-Mex Penoles S.A. De C.V.
 
MEXICO
 
CID001161
Gold
 
Mitsubishi Materials Corporation
 
JAPAN
 
CID001188
Gold
 
Mitsui Mining and Smelting Co., Ltd.
 
JAPAN
 
CID001193
Gold
 
MMTC-PAMP India Pvt., Ltd.
 
INDIA
 
CID002509
Gold
 
Modeltech Sdn Bhd
 
MALAYSIA
 
CID002857
Gold
 
Morris and Watson
 
NEW ZEALAND
 
CID002282
Gold
 
Morris and Watson Gold Coast
 
AUSTRALIA
 
CID002866
Gold
 
Moscow Special Alloys Processing Plant
 
RUSSIAN FEDERATION
 
CID001204
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.S.
 
TURKEY
 
CID001220
Gold
 
Navoi Mining and Metallurgical Combinat
 
UZBEKISTAN
 
CID001236
Gold
 
NH Recytech Company
 
KOREA, REPUBLIC OF
 
CID003189
Gold
 
Nihon Material Co., Ltd.
 
JAPAN
 
CID001259
Gold
 
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
 
AUSTRIA
 
CID002779
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
JAPAN
 
CID001325
Gold
 
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
 
RUSSIAN FEDERATION
 
CID001326
Gold
 
OJSC Novosibirsk Refinery
 
RUSSIAN FEDERATION
 
CID000493
Gold
 
PAMP S.A.
 
SWITZERLAND
 
CID001352
Gold
 
Pease & Curren
 
UNITED STATES OF AMERICA
 
CID002872
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
CHINA
 
CID001362
Gold
 
Planta Recuperadora de Metales SpA
 
CHILE
 
CID002919
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
RUSSIAN FEDERATION
 
CID001386
Gold
 
PT Aneka Tambang (Persero) Tbk
 
INDONESIA
 
CID001397
Gold
 
PX Precinox S.A.
 
SWITZERLAND
 
CID001498
Gold
 
Rand Refinery (Pty) Ltd.
 
SOUTH AFRICA
 
CID001512

7


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Gold
 
Refinery of Seemine Gold Co., Ltd.
 
CHINA
 
CID000522
Gold
 
REMONDIS PMR B.V.
 
NETHERLANDS
 
CID002582
Gold
 
Royal Canadian Mint
 
CANADA
 
CID001534
Gold
 
SAAMP
 
FRANCE
 
CID002761
Gold
 
Sabin Metal Corp.
 
UNITED STATES OF AMERICA
 
CID001546
Gold
 
Safimet S.p.A
 
ITALY
 
CID002973
Gold
 
Sai Refinery
 
INDIA
 
CID002853
Gold
 
Samwon Metals Corp.
 
KOREA, REPUBLIC OF
 
CID001562
Gold
 
SAXONIA Edelmetalle GmbH
 
GERMANY
 
CID002777
Gold
 
SEMPSA Joyeria Plateria S.A.
 
SPAIN
 
CID001585
Gold
 
Shandong Humon Smelting Co., Ltd.
 
CHINA
 
CID002525
Gold
 
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
 
CHINA
 
CID001619
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
CHINA
 
CID001622
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
CHINA
 
CID001736
Gold
 
Singway Technology Co., Ltd.
 
TAIWAN, PROVINCE OF CHINA
 
CID002516
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals
 
RUSSIAN FEDERATION
 
CID001756
Gold
 
Solar Applied Materials Technology Corp.
 
TAIWAN, PROVINCE OF CHINA
 
CID001761
Gold
 
State Research Institute Center for Physical Sciences and Technology
 
LITHUANIA
 
CID003153
Gold
 
Sumitomo Metal Mining Co., Ltd.
 
JAPAN
 
CID001798
Gold
 
SungEel HiMetal Co., Ltd.
 
KOREA, REPUBLIC OF
 
CID002918
Gold
 
T.C.A S.p.A
 
ITALY
 
CID002580
Gold
 
Tanaka Kikinzoku Kogyo K.K.
 
JAPAN
 
CID001875
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd.
 
CHINA
 
CID001916
Gold
 
Tokuriki Honten Co., Ltd.
 
JAPAN
 
CID001938
Gold
 
Tongling Nonferrous Metals Group Co., Ltd.
 
CHINA
 
CID001947
Gold
 
TOO Tau-Ken-Altyn
 
KAZAKHSTAN
 
CID002615
Gold
 
Torecom
 
KOREA, REPUBLIC OF
 
CID001955
Gold
 
Umicore Brasil Ltda.
 
BRAZIL
 
CID001977
Gold
 
Umicore Precious Metals Thailand
 
THAILAND
 
CID002314
Gold
 
Umicore S.A. Business Unit Precious Metals Refining
 
BELGIUM
 
CID001980
Gold
 
United Precious Metal Refining, Inc.
 
UNITED STATES OF AMERICA
 
CID001993
Gold
 
Valcambi S.A.
 
SWITZERLAND
 
CID002003
Gold
 
Western Australian Mint (T/a The Perth Mint)
 
AUSTRALIA
 
CID002030
Gold
 
WIELAND Edelmetalle GmbH
 
GERMANY
 
CID002778
Gold
 
Yamakin Co., Ltd.
 
JAPAN
 
CID002100
Gold
 
Yokohama Metal Co., Ltd.
 
JAPAN
 
CID002129
Gold
 
Yunnan Copper Industry Co., Ltd.
 
CHINA
 
CID000197
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
 
CHINA
 
CID002224
Tantalum
 
Asaka Riken Co., Ltd.
 
JAPAN
 
CID000092
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd.
 
CHINA
 
CID000211
Tantalum
 
D Block Metals, LLC
 
UNITED STATES OF AMERICA
 
CID002504
Tantalum
 
Exotech Inc.
 
UNITED STATES OF AMERICA
 
CID000456
Tantalum
 
F&X Electro-Materials Ltd.
 
CHINA
 
CID000460
Tantalum
 
FIR Metals & Resource Ltd.
 
CHINA
 
CID002505
Tantalum
 
Global Advanced Metals Aizu
 
JAPAN
 
CID002558

8


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Tantalum
 
Global Advanced Metals Boyertown
 
UNITED STATES OF AMERICA
 
CID002557
Tantalum
 
Guangdong Rising Rare Metals-EO Materials Ltd.
 
CHINA
 
CID000291
Tantalum
 
Guangdong Zhiyuan New Material Co., Ltd.
 
CHINA
 
CID000616
Tantalum
 
H.C. Starck Co., Ltd.
 
THAILAND
 
CID002544
Tantalum
 
H.C. Starck Hermsdorf GmbH
 
GERMANY
 
CID002547
Tantalum
 
H.C. Starck Inc.
 
UNITED STATES OF AMERICA
 
CID002548
Tantalum
 
H.C. Starck Ltd.
 
JAPAN
 
CID002549
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
 
CID002550
Tantalum
 
H.C. Starck Tantalum and Niobium GmbH
 
GERMANY
 
CID002545
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd.
 
CHINA
 
CID002492
Tantalum
 
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
 
CHINA
 
CID002512
Tantalum
 
Jiangxi Tuohong New Raw Material
 
CHINA
 
CID002842
Tantalum
 
Jiujiang Janny New Material Co., Ltd.
 
CHINA
 
CID003191
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd.
 
CHINA
 
CID000914
Tantalum
 
Jiujiang Tanbre Co., Ltd.
 
CHINA
 
CID000917
Tantalum
 
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
 
CHINA
 
CID002506
Tantalum
 
KEMET Blue Metals
 
MEXICO
 
CID002539
Tantalum
 
KEMET Blue Powder
 
UNITED STATES OF AMERICA
 
CID002568
Tantalum
 
LSM Brasil S.A.
 
BRAZIL
 
CID001076
Tantalum
 
Metallurgical Products India Pvt., Ltd.
 
INDIA
 
CID001163
Tantalum
 
Mineracao Taboca S.A.
 
BRAZIL
 
CID001175
Tantalum
 
Mitsui Mining and Smelting Co., Ltd.
 
JAPAN
 
CID001192
Tantalum
 
Ningxia Orient Tantalum Industry Co., Ltd.
 
CHINA
 
CID001277
Tantalum
 
NPM Silmet AS
 
ESTONIA
 
CID001200
Tantalum
 
Power Resources Ltd.
 
NORTH MACEDONIA, REPUBLIC OF
 
CID002847
Tantalum
 
QuantumClean
 
UNITED STATES OF AMERICA
 
CID001508
Tantalum
 
Resind Industria e Comercio Ltda.
 
BRAZIL
 
CID002707
Tantalum
 
Solikamsk Magnesium Works OAO
 
RUSSIAN FEDERATION
 
CID001769
Tantalum
 
Taki Chemical Co., Ltd.
 
JAPAN
 
CID001869
Tantalum
 
Telex Metals
 
UNITED STATES OF AMERICA
 
CID001891
Tantalum
 
Ulba Metallurgical Plant JSC
 
KAZAKHSTAN
 
CID001969
Tantalum
 
XinXing HaoRong Electronic Material Co., Ltd.
 
CHINA
 
CID002508
Tantalum
 
Yanling Jincheng Tantalum & Niobium Co., Ltd.
 
CHINA
 
CID001522
Tin
 
Alpha
 
UNITED STATES OF AMERICA
 
CID000292
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
VIET NAM
 
CID002703
Tin
 
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
 
CHINA
 
CID000228
Tin
 
Chifeng Dajingzi Tin Industry Co., Ltd.
 
CHINA
 
CID003190
Tin
 
China Tin Group Co., Ltd.
 
CHINA
 
CID001070
Tin
 
CV Ayi Jaya
 
INDONESIA
 
CID002570
Tin
 
CV Dua Sekawan
 
INDONESIA
 
CID002592
Tin
 
CV Gita Pesona
 
INDONESIA
 
CID000306
Tin
 
CV United Smelting
 
INDONESIA
 
CID000315
Tin
 
CV Venus Inti Perkasa
 
INDONESIA
 
CID002455
Tin
 
Dongguan CiEXPO Environmental Engineering Co., Ltd.
 
CHINA
 
CID003356
Tin
 
Dowa
 
JAPAN
 
CID000402
Tin
 
EM Vinto
 
BOLIVIA (PLURINATIONAL STATE OF)
 
CID000438

9


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Tin
 
Estanho de Rondonia S.A.
 
BRAZIL
 
CID000448
Tin
 
Fenix Metals
 
POLAND
 
CID000468
Tin
 
Gejiu Fengming Metallurgy Chemical Plant
 
CHINA
 
CID002848
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
CHINA
 
CID000942
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
CHINA
 
CID000538
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
 
CHINA
 
CID001908
Tin
 
Gejiu Zili Mining And Metallurgy Co., Ltd.
 
CHINA
 
CID000555
Tin
 
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
 
CHINA
 
CID003116
Tin
 
Guanyang Guida Nonferrous Metal Smelting Plant
 
CHINA
 
CID002849
Tin
 
Huichang Jinshunda Tin Co., Ltd.
 
CHINA
 
CID000760
Tin
 
Jiangxi New Nanshan Technology Ltd.
 
CHINA
 
CID001231
Tin
 
Magnu's Minerais Metais e Ligas Ltda.
 
BRAZIL
 
CID002468
Tin
 
Malaysia Smelting Corporation (MSC)
 
MALAYSIA
 
CID001105
Tin
 
Melt Metais e Ligas S.A.
 
BRAZIL
 
CID002500
Tin
 
Metallic Resources, Inc.
 
UNITED STATES OF AMERICA
 
CID001142
Tin
 
Metallo Belgium N.V.
 
BELGIUM
 
CID002773
Tin
 
Metallo Spain S.L.U.
 
SPAIN
 
CID002774
Tin
 
Mineracao Taboca S.A.
 
BRAZIL
 
CID001173
Tin
 
Minsur
 
PERU
 
CID001182
Tin
 
Mitsubishi Materials Corporation
 
JAPAN
 
CID001191
Tin
 
Modeltech Sdn Bhd
 
MALAYSIA
 
CID002858
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
VIET NAM
 
CID002573
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
THAILAND
 
CID001314
Tin
 
O.M. Manufacturing Philippines, Inc.
 
PHILIPPINES
 
CID002517
Tin
 
Operaciones Metalurgicas S.A.
 
BOLIVIA (PLURINATIONAL STATE OF)
 
CID001337
Tin
 
Pongpipat Company Limited
 
MYANMAR
 
CID003208
Tin
 
PT Aries Kencana Sejahtera
 
INDONESIA
 
CID000309
Tin
 
PT Artha Cipta Langgeng
 
INDONESIA
 
CID001399
Tin
 
PT ATD Makmur Mandiri Jaya
 
INDONESIA
 
CID002503
Tin
 
PT Babel Inti Perkasa
 
INDONESIA
 
CID001402
Tin
 
PT Babel Surya Alam Lestari
 
INDONESIA
 
CID001406
Tin
 
PT Bangka Prima Tin
 
INDONESIA
 
CID002776
Tin
 
PT Bangka Serumpun
 
INDONESIA
 
CID003205
Tin
 
PT Bangka Tin Industry
 
INDONESIA
 
CID001419
Tin
 
PT Belitung Industri Sejahtera
 
INDONESIA
 
CID001421
Tin
 
PT Bukit Timah
 
INDONESIA
 
CID001428
Tin
 
PT DS Jaya Abadi
 
INDONESIA
 
CID001434
Tin
 
PT Inti Stania Prima
 
INDONESIA
 
CID002530
Tin
 
PT Karimun Mining
 
INDONESIA
 
CID001448
Tin
 
PT Kijang Jaya Mandiri
 
INDONESIA
 
CID002829
Tin
 
PT Menara Cipta Mulia
 
INDONESIA
 
CID002835
Tin
 
PT Mitra Stania Prima
 
INDONESIA
 
CID001453
Tin
 
PT Panca Mega Persada
 
INDONESIA
 
CID001457
Tin
 
PT Premium Tin Indonesia
 
INDONESIA
 
CID000313
Tin
 
PT Prima Timah Utama
 
INDONESIA
 
CID001458
Tin
 
PT Rajawali Rimba Perkasa
 
INDONESIA
 
CID003381
Tin
 
PT Rajehan Ariq
 
INDONESIA
 
CID002593

10


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Tin
 
PT Refined Bangka Tin
 
INDONESIA
 
CID001460
Tin
 
PT Sariwiguna Binasentosa
 
INDONESIA
 
CID001463
Tin
 
PT Stanindo Inti Perkasa
 
INDONESIA
 
CID001468
Tin
 
PT Sukses Inti Makmur
 
INDONESIA
 
CID002816
Tin
 
PT Sumber Jaya Indah
 
INDONESIA
 
CID001471
Tin
 
PT Timah Tbk Kundur
 
INDONESIA
 
CID001477
Tin
 
PT Timah Tbk Mentok
 
INDONESIA
 
CID001482
Tin
 
PT Tinindo Inter Nusa
 
INDONESIA
 
CID001490
Tin
 
PT Tirus Putra Mandiri
 
INDONESIA
 
CID002478
Tin
 
PT Tommy Utama
 
INDONESIA
 
CID001493
Tin
 
Resind Industria e Comercio Ltda.
 
BRAZIL
 
CID002706
Tin
 
Rui Da Hung
 
TAIWAN, PROVINCE OF CHINA
 
CID001539
Tin
 
Soft Metais Ltda.
 
BRAZIL
 
CID001758
Tin
 
Super Ligas
 
BRAZIL
 
CID002756
Tin
 
Thai Nguyen Mining and Metallurgy Co., Ltd.
 
VIET NAM
 
CID002834
Tin
 
Thaisarco
 
THAILAND
 
CID001898
Tin
 
Tin Technology & Refining
 
UNITED STATES OF AMERICA
 
CID003325
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
VIET NAM
 
CID002574
Tin
 
White Solder Metalurgia e Mineracao Ltda.
 
BRAZIL
 
CID002036
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
 
CHINA
 
CID002158
Tin
 
Yunnan Tin Company Limited
 
CHINA
 
CID002180
Tungsten
 
A.L.M.T. Corp.
 
JAPAN
 
CID000004
Tungsten
 
ACL Metais Eireli
 
BRAZIL
 
CID002833
Tungsten
 
Chenzhou Diamond Tungsten Products Co., Ltd.
 
CHINA
 
CID002513
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd.
 
CHINA
 
CID000258
Tungsten
 
Fujian Jinxin Tungsten Co., Ltd.
 
CHINA
 
CID000499
Tungsten
 
Ganzhou Haichuang Tungsten Co., Ltd.
 
CHINA
 
CID002645
Tungsten
 
Ganzhou Huaxing Tungsten Products Co., Ltd.
 
CHINA
 
CID000875
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
 
CHINA
 
CID002315
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd.
 
CHINA
 
CID002494
Tungsten
 
Global Tungsten & Powders Corp.
 
UNITED STATES OF AMERICA
 
CID000568
Tungsten
 
Guangdong Xianglu Tungsten Co., Ltd.
 
CHINA
 
CID000218
Tungsten
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
 
CID002542
Tungsten
 
H.C. Starck Tungsten GmbH
 
GERMANY
 
CID002541
Tungsten
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
 
CID000766
Tungsten
 
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
 
CHINA
 
CID002579
Tungsten
 
Hunan Chunchang Nonferrous Metals Co., Ltd.
 
CHINA
 
CID000769
Tungsten
 
Hunan Litian Tungsten Industry Co., Ltd.
 
CHINA
 
CID003182
Tungsten
 
Hydrometallurg, JSC
 
RUSSIAN FEDERATION
 
CID002649
Tungsten
 
Japan New Metals Co., Ltd.
 
JAPAN
 
CID000825
Tungsten
 
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
 
CHINA
 
CID002551
Tungsten
 
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
 
CHINA
 
CID002647
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd.
 
CHINA
 
CID002321
Tungsten
 
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
 
CHINA
 
CID002313
Tungsten
 
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
 
CHINA
 
CID002318
Tungsten
 
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
 
CHINA
 
CID002317

11


Exhibit 1.01

Metal
 
Smelter Name
 
Country
 
Smelter ID
Tungsten
 
Jiangxi Yaosheng Tungsten Co., Ltd.
 
CHINA
 
CID002316
Tungsten
 
Kennametal Fallon
 
UNITED STATES OF AMERICA
 
CID000966
Tungsten
 
Kennametal Huntsville
 
UNITED STATES OF AMERICA
 
CID000105
Tungsten
 
Malipo Haiyu Tungsten Co., Ltd.
 
CHINA
 
CID002319
Tungsten
 
Masan Tungsten Chemical LLC (MTC)
 
VIET NAM
 
CID002543
Tungsten
 
Moliren Ltd.
 
RUSSIAN FEDERATION
 
CID002845
Tungsten
 
Niagara Refining LLC
 
UNITED STATES OF AMERICA
 
CID002589
Tungsten
 
Philippine Chuangxin Industrial Co., Inc.
 
PHILIPPINES
 
CID002827
Tungsten
 
South-East Nonferrous Metal Company Limited of Hengyang City
 
CHINA
 
CID002815
Tungsten
 
Tejing (Vietnam) Tungsten Co., Ltd.
 
VIET NAM
 
CID001889
Tungsten
 
Unecha Refractory metals plant
 
RUSSIAN FEDERATION
 
CID002724
Tungsten
 
Wolfram Bergbau und Hutten AG
 
AUSTRIA
 
CID002044
Tungsten
 
Woltech Korea Co., Ltd.
 
KOREA, REPUBLIC OF
 
CID002843
Tungsten
 
Xiamen Tungsten (H.C.) Co., Ltd.
 
CHINA
 
CID002320
Tungsten
 
Xiamen Tungsten Co., Ltd.
 
CHINA
 
CID002082
Tungsten
 
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
 
CHINA
 
CID002830
Tungsten
 
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
 
CHINA
 
CID002095

V.
Future Due Diligence
We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information available globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to those above, the Company will undertake the following steps during the next reporting period:
Review the conflict minerals policy statement and update if necessary.
Continue to collect responses from suppliers using the most recent revision of the CMRT.
Engage with suppliers that did not provide a response in 2018 or provided incomplete responses to enhance our data collection for 2019.
Monitor and track performance of risk mitigation efforts.
Continue engagement with smelters by sending letters to those that have not been audited as conformant.
Send messages to our suppliers to engage with these smelters.
Compare and validate RCOI results to information collected via independent third-party audit programs, such as the RMI, and through our Company’s own coordinated outreach to smelters.
Encourage responsible sourcing from the DRC and adjoining countries.


12


Exhibit 1.01


APPENDIX I – Countries of Origin
The information provided in this Appendix is based on the information collected from the Company’s suppliers.
Australia
 
Mauritania
Austria
 
Mongolia
Benin
 
Mozambique
Bolivia
 
Myanmar
Brazil
 
Nicaragua
Burundi
 
Niger
Chile
 
Nigeria
China
 
Peru
Colombia
 
Portugal
Congo, Democratic Republic of the
 
Russian Federation
Ecuador
 
Rwanda
Eritrea
 
Sierra Leone
Ethiopia
 
South Africa
Ghana
 
Swaziland
Guinea
 
Taiwan
Guyana
 
Tanzania
India
 
Thailand
Indonesia
 
Togo
Laos
 
Uganda
Madagascar
 
United Kingdom of Great Britain and Northern Ireland
Malaysia
 
United States of America
Mali
 
 




13

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