SD 1 sd2020ex101.htm EXHIBIT 1.01

        Exhibit 1.01

CONFLICT MINERALS REPORT OF

BLUE BIRD CORPORATION

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2020

I.    Introduction

This is the Conflict Minerals1 Report of Blue Bird Corporation (“we,” “our,” “us,” or the “Company”) prepared for calendar year 2020 (“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 2020, 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

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        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 (https://s23.q4cdn.com/152250413/files/doc_governance/Conflict-Minerals-Policy-Statement.pdf) 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 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 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

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        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 the expectations of our suppliers. The policy resides on our corporate website (https://s23.q4cdn.com/152250413/files/doc_governance/Conflict-Minerals-Policy-Statement.pdf).

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 most recent version of the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers that 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 multiple times as needed to ensure compliance with our request for detailed conflict minerals information. We also worked to clarify and validate the accuracy of information provided by our suppliers by responding with standardized feedback questions to address any issues or uncertainty with the template provided when necessary and/or obtaining additional information upon request (product identification, order numbers, or shipping addresses) to ensure we are receiving conflict minerals information specific to our supply-chain.

3

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        Exhibit 1.01

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 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 at multiple points in time throughout the data collection period, 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. For 2020, suppliers that indicated that they had received responses from less than 50% of their in-scope suppliers were deemed as high-risk and encouraged to work with their supply chain to increase the level of transparency.

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 from which the SOR sources to assist in identifying all countries of origin. Additionally, the Company sent communications to all suppliers that reported SORs that had not been audited as conformant to request that these suppliers message the SORs to encourage participation in the RMAP.

Step 5: Report annually on supply chain due diligence

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        Exhibit 1.01

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.

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 Facilities – Based 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. For 2020, we identified 285 SORs in our supply chain, 222 of which have been audited as conformant with the RMAP. 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.

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        Exhibit 1.01

Metal

Smelter Name

Country

Smelter ID

Gold

8853 S.p.A.

ITALY

CID002763

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CID000015

Gold

Western Australian Mint (T/a The Perth Mint)

AUSTRALIA

CID002030

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

CID000019

Gold

Dowa

JAPAN

CID000401

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

CID002560

Gold

Alexy Metals

UNITED STATES OF AMERICA

CID003500

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

CID000035

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

CID000041

Gold

Asahi Pretec Corp.

JAPAN

CID000082

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

BRAZIL

CID000058

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

CID001947

Gold

Argor-Heraeus S.A.

SWITZERLAND

CID000077

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

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

CID000103

Gold

AU Traders and Refiners

SOUTH AFRICA

CID002850

Gold

Augmont Enterprises Private Limited

INDIA

CID003461

Gold

Aurubis AG

GERMANY

CID000113

Gold

Bangalore Refinery

INDIA

CID002863

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

CID000128

6

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        Exhibit 1.01

Metal

Smelter Name

Country

Smelter ID

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

CGR Metalloys Pvt Ltd.

INDIA

CID003382

Gold

Yunnan Copper Industry Co., Ltd.

CHINA

CID000197

Gold

Chimet S.p.A.

ITALY

CID000233

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

CID002224

Gold

Shandong Gold Smelting Co., Ltd.

CHINA

CID001916

Gold

Chugai Mining

JAPAN

CID000264

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

CID000343

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

CID002867

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

CID000359

Gold

DODUCO Contacts and Refining GmbH

GERMANY

CID000362

Gold

TSK Pretech

KOREA, REPUBLIC OF

CID003195

Gold

Eco-System Recycling Co., Ltd. East Plant

JAPAN

CID000425

Gold

Eco-System Recycling Co., Ltd. West Plant

JAPAN

CID003425

Gold

Emerald Jewel Industry India Limited (Unit 1)

INDIA

CID003487

Gold

Emerald Jewel Industry India Limited (Unit 2)

INDIA

CID003488

Gold

Emerald Jewel Industry India Limited (Unit 3)

INDIA

CID003489

Gold

Emerald Jewel Industry India Limited (Unit 4)

INDIA

CID003490

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

CID002561

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

CID001204

Gold

JSC Novosibirsk Refinery

RUSSIAN FEDERATION

CID000493

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

CHINA

CID002243

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

INDIA

CID002852

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

CID002459

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

LT Metal Ltd.

KOREA, REPUBLIC OF

CID000689

Gold

Heimerle + Meule GmbH

GERMANY

CID000694

Gold

Heraeus Germany GmbH Co. KG

GERMANY

CID000711

Gold

Heraeus Metals Hong Kong Ltd.

CHINA

CID000707

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

Ishifuku Metal Industry Co., Ltd.

JAPAN

CID000807

Gold

Istanbul Gold Refinery

TURKEY

CID000814

Gold

Italpreziosi

ITALY

CID002765

Gold

JALAN & Company

INDIA

CID002893

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

Gold

K.A. Rasmussen

NORWAY

CID003497

7

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        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

Kundan Care Products Ltd.

INDIA

CID003463

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

MD Overseas

INDIA

CID003548

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

CID001798

Gold

Metal Concentrators SA (Pty) Ltd.

SOUTH AFRICA

CID003575

Gold

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

MEXICO

CID001161

Gold

Metallix Refining Inc.

UNITED STATES OF AMERICA

CID003557

Gold

Umicore S.A. Business Unit Precious Metals Refining

BELGIUM

CID001980

Gold

Metalor Technologies S.A.

SWITZERLAND

CID001153

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 USA Refining Corporation

UNITED STATES OF AMERICA

CID001157

Gold

Mitsubishi Materials Corporation

JAPAN

CID001188

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001193

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CID002509

Gold

Morris and Watson

NEW ZEALAND

CID002282

Gold

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

TURKEY

CID001220

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

CID001236

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

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

QG Refining, LLC

UNITED STATES OF AMERICA

CID003324

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

CID001512

Gold

Refinery of Seemine Gold Co., Ltd.

CHINA

CID000522

8

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        Exhibit 1.01

Metal

Smelter Name

Country

Smelter ID

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

Samduck Precious Metals

KOREA, REPUBLIC OF

CID001555

Gold

Samwon Metals Corp.

KOREA, REPUBLIC OF

CID001562

Gold

Sancus ZFS (L’Orfebre, SA)

COLOMBIA

CID003529

Gold

SAXONIA Edelmetalle GmbH

GERMANY

CID002777

Gold

Sellem Industries Ltd.

MAURITANIA

CID003540

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

Shenzhen Zhonghenglong Real Industry Co., Ltd.

CHINA

CID002527

Gold

Shirpur Gold Refinery Ltd.

INDIA

CID002588

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

CID001875

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

CID001756

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

CID001736

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID002516

Gold

Solar Applied Materials Technology Corp.

TAIWAN, PROVINCE OF CHINA

CID001761

Gold

Sovereign Metals

INDIA

CID003383

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

CID003153

Gold

SungEel HiMetal Co., Ltd.

KOREA, REPUBLIC OF

CID002918

Gold

T.C.A S.p.A

ITALY

CID002580

Gold

Tokuriki Honten Co., Ltd.

JAPAN

CID001938

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

CID002615

Gold

Torecom

KOREA, REPUBLIC OF

CID001955

Gold

Umicore Precious Metals Thailand

THAILAND

CID002314

Gold

United Precious Metal Refining, Inc.

UNITED STATES OF AMERICA

CID001993

Gold

Valcambi S.A.

SWITZERLAND

CID002003

Gold

WIELAND Edelmetalle GmbH

GERMANY

CID002778

Gold

Yamakin Co., Ltd.

JAPAN

CID002100

Gold

Yokohama Metal Co., Ltd.

JAPAN

CID002129

Tantalum

AMG Brasil

BRAZIL

CID001076

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

Tantalum

Global Advanced Metals Boyertown

UNITED STATES OF AMERICA

CID002557

Tantalum

XIMEI RESOURCES (GUANGDONG) LIMITED

CHINA

CID000616

Tantalum

TANIOBIS Co., Ltd.

THAILAND

CID002544

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

CID002547

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        Exhibit 1.01

Metal

Smelter Name

Country

Smelter ID

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

CID002548

Tantalum

TANIOBIS Japan Co., Ltd.

JAPAN

CID002549

Tantalum

TANIOBIS Smelting GmbH & Co. KG

GERMANY

CID002550

Tantalum

TANIOBIS 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 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 de Mexico

MEXICO

CID002539

Tantalum

Meta Materials

NORTH MACEDONIA, REPUBLIC OF

CID002847

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

NPM Silmet AS

ESTONIA

CID001200

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

CID001277

Tantalum

QuantumClean

UNITED STATES OF AMERICA

CID001508

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

CID002707

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

CHINA

CID001522

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

Tin

Alpha

UNITED STATES OF AMERICA

CID000292

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

CID002703

Tin

PT Refined Bangka Tin

INDONESIA

CID001460

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CHINA

CID002158

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

Yunnan Tin Company Limited

CHINA

CID002180

Tin

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

BRAZIL

CID003486

Tin

CRM Synergies

SPAIN

CID003524

Tin

PT Rajehan Ariq

INDONESIA

CID002593

Tin

Dowa

JAPAN

CID000402

Tin

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

CID000438

Tin

Estanho de Rondonia S.A.

BRAZIL

CID000448

Tin

Fenix Metals

POLAND

CID000468

Tin

Minsur

PERU

CID001182

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

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CID002844

10

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        Exhibit 1.01

Metal

Smelter Name

Country

Smelter ID

Tin

PT Timah Tbk Mentok

INDONESIA

CID001482

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

CID001231

Tin

PT Timah Tbk Kundur

INDONESIA

CID001477

Tin

Ma'anshan Weitai Tin Co., Ltd.

CHINA

CID003379

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

Mitsubishi Materials Corporation

JAPAN

CID001191

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 Bangka Serumpun

INDONESIA

CID003205

Tin

PT Mitra Stania Prima

INDONESIA

CID001453

Tin

PT Mitra Sukses Globalindo

INDONESIA

CID003449

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 Yunfan Non-ferrous Metals Co., Ltd.

CHINA

CID003397

Tungsten

A.L.M.T. Corp.

JAPAN

CID000004

Tungsten

ACL Metais Eireli

BRAZIL

CID002833

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

BRAZIL

CID003427

Tungsten

Artek LLC

RUSSIAN FEDERATION

CID003553

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

CID002502

Tungsten

Kennametal Huntsville

UNITED STATES OF AMERICA

CID000105

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

CID000218

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

CID002513

Tungsten

China Molybdenum Tungsten Co., Ltd.

CHINA

CID002641

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

CID000875

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

CID000258

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

CID000281

Tungsten

Cronimet Brasil Ltda

BRAZIL

CID003468

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

CID002645

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

TANIOBIS Smelting GmbH & Co. KG

GERMANY

CID002542

11

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        Exhibit 1.01

Metal

Smelter Name

Country

Smelter ID

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

CID002541

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

CID000769

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000766

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 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

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

CID002316

Tungsten

Kennametal Fallon

UNITED STATES OF AMERICA

CID000966

Tungsten

KGETS Co., Ltd.

KOREA, REPUBLIC OF

CID003388

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

CID002319

Tungsten

Masan High-Tech Materials

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

Unecha Refractory metals plant

RUSSIAN FEDERATION

CID002724

Tungsten

Wolfram Bergbau und Hutten AG

AUSTRIA

CID002044

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

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 needing due diligence 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.

12

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        Exhibit 1.01

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 2020 or provided incomplete responses to enhance our data collection for 2021.

•Monitor and track performance of risk mitigation efforts, including the performance of suppliers deemed high-risk.

•Continue engagement with smelters by sending letters to those that have not been audited as conformant.

•Continue to send messages to our suppliers to engage with these smelters.

•Collect from suppliers product-level or user-defined level responses where useful.

•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.

13

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        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.

Argentina						Mexico
Australia						Mongolia
Austria						Mozambique
Benin						Myanmar
Bolivia (Plurinational State of)						Namibia
Brazil						Niger
Burundi						Nigeria
Canada						Peru
China						Portugal
Colombia						Russian Federation
Congo, Democratic Republic of the						Rwanda
Ecuador						Sierra Leone
Eritrea						South Africa
Ethiopia						Spain
France						Swaziland
Germany						Taiwan
Ghana						Tanzania
Guinea						Thailand
Guyana						Uganda
India						United Kingdom of Great Britain and Northern Ireland
Indonesia						United States of America
Japan						Uzbekistan
Laos						Vietnam
Madagascar						Zimbabwe
Malaysia

14