EX-1.01 2 ex1-01.htm EXHIBIT 1.01 ex1-01.htm

EX-1.01 2 ex1-01.htm EXHIBIT 1.01

Exhibit 1.01

 

Spartan Motors, Inc.

Conflict Minerals Report

For the Year Ended December 31, 2016

 

 

This report for the calendar year ended December 31, 2016, is presented to pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the "Rule"). The Rule was adopted by the Securities and Exchange Commission ("SEC") to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act"). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain tantalum, tin, tungsten or gold, which are necessary to the functionality or production of their products. The term "Conflict Minerals" is defined as columbite-tantalite (coltan), cassiterite, gold, wolframite, tantalum, tin, tungsten, and any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo (DRC) or an adjoining country. The term "3TG" is defined as tantalum, tin, tungsten and gold and their compounds.

 

If a registrant can establish that the 3TG in their supply chain originated from sources other than the Democratic Republic of the Congo or an adjoining country, as defined by the SEC (the "Covered Countries"), or from recycled and scrap sources, they must submit a Form SD which describes the Reasonable Country of Origin Inquiry ("RCOI") that the registrant completed.

 

If a registrant has reason to believe that any of the 3TG in their supply chain may have originated in the Covered Countries, or if they are unable to determine the country of origin of those conflict minerals, then the issuer must exercise due diligence on the conflict minerals' source and chain of custody. The registrant must annually submit a Conflict Minerals Report ("CMR") to the SEC that includes a description of those due diligence measures.

 

Company Overview

Spartan Motors, Inc. is a leading, niche market engineer and manufacturer in the heavy-duty, custom vehicles marketplace. Our operating activities are conducted through our wholly-owned operating subsidiary, Spartan Motors USA, Inc. (“Spartan USA”), with locations in Charlotte, Michigan; Brandon, South Dakota; Ephrata, Pennsylvania; Bristol, Indiana; Kansas City, Missouri; and Saltillo, Mexico. Spartan USA was formerly known as Crimson Fire, Inc. As a result of a recent acquisition described below, we now also have facilities in Snyder and Neligh, Nebraska; Delavan, Wisconsin; and a second location in Ephrata, Pennsylvania.

 

Our Charlotte, Michigan location manufactures heavy duty chassis and vehicles and supplies aftermarket parts and assemblies under the Spartan Chassis and Spartan ERV brand names. Our Brandon, South Dakota, Snyder, Nebraska, Delavan, Wisconsin and Ephrata, Pennsylvania locations manufacture emergency response vehicles under the Spartan ER brand name. Our Bristol, Indiana location manufactures delivery vehicles and supplies related aftermarket parts and services under the Utilimaster brand name, while our Kansas City, Missouri and Saltillo, Mexico locations sell and install equipment used in delivery vehicles.

 

Conflict Minerals Policy

Spartan Motors and its subsidiaries endeavor to maintain the highest standards of ethical conduct and integrity in all areas of their business activities.

 

On August 22, 2012, the U.S. Securities and Exchange Commission adopted final rules to implement reporting and disclosure requirements related to "conflict minerals," as directed by the Dodd-Frank.

 

We are committed to working closely with our supply chain to ensure we fully comply with the requirements set forth in Section 1502 of the Dodd-Frank Act. We have implemented the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, and are utilizing the conflict minerals reporting template (CMRT) owned by the Conflict Free Sourcing Initiative (CFSI), for exercising due diligence within our supply chain.

 

We do not knowingly source any product containing Conflict Minerals and we continue work on our due diligence process in order to verify that the components we source do not contain Conflict Minerals. We have requested that our suppliers commit to responsible sourcing of 3TG used in the production of components supplied to us. We expect our suppliers to have in place policies and due diligence measures that will enable us to reasonably assure that products and components supplied to us containing 3TG are DRC conflict free. Our suppliers will be requested to perform due diligence to determine the source of any 3TG that are contained in the components that they supply to us. Our suppliers due diligence must include, where applicable, completion of the CFSI Conflict Minerals reporting CMRT.

 

 
1/16
 

 

Our conflict minerals policy is posted on our website at http://www.spartanmotors.com/about-us/supplier-info/

 

RCOI & Due Diligence

Our due diligence measures have been designed to conform with the framework from the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for Gold and for Tin, Tantalum and Tungsten ("OECD Guidance").

 

Supply Chain

We rely on our direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us, including sources of 3TG that are supplied to them from lower tier suppliers. We have requested that our suppliers commit to responsible sourcing of conflict minerals used in the production of components supplied to us. Our suppliers have been requested to perform due diligence to determine the source of any conflict minerals that are contained in the components that they supply to us. Our suppliers' due diligence must include, where applicable, completion of the CMRT. The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company's supply chain. It includes questions regarding a company's conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on CFSI's website.

For the 2016 reporting year, all of our relevant suppliers were asked to complete the CMRT. This is a requirement set forth in all of our supplier contract agreements.

 

Due Diligence Process

We reviewed the components that are included in the specialty vehicles and chassis that we manufacture that could contain 3TG that is necessary to the functionality or production of our products. Our due diligence measures have been designed to conform with the framework in the OECD Guidance.

 

Step One: Establish Strong Company Management Systems

Internal Team

At our corporate level, we have a cross functional team and a third-party consulting subject matter expert working collaboratively to administer our program. This team is responsible for the corporate conflict minerals policy and providing support and instructions on the due diligence measures required to be followed for each of our divisions.

 

Supplier Engagement

With respect to the OECD requirement to strengthen engagement with suppliers, we have continued with our training program for our suppliers for the 2016 reporting by developing an instructional document that was provided to all of our suppliers. We will encourage our suppliers to share this information throughout the whole supply chain, all the way to the smelter level. Suppliers will continue to receive education and support from our business unit champions during the RCOI process and on an annual basis.

 

We have a robust supplier management plan for new and existing suppliers for Conflict Minerals. Existing suppliers must comply with Spartan’s quality manual and Spartan Terms and Conditions which includes Conflict Minerals reporting requirements. In addition, we provide annual education materials, supplier CMRT invitations and utilize a third party software & consulting Conflict Minerals platform (I-Point). Internal supplier management processes have also been updated to ensure supplier conformance and communication that include Conflict Minerals reporting requirements when a new supplier is selected. As part of the supplier approval process, new suppliers, unless exempt from Conflict Minerals reporting requirements, must provide a completed CMRT prior to being approved as a Spartan Motors supplier.

 

Spartan Motors provides education materials for suppliers on an annual basis to assist them with their conflict minerals reporting compliance. Compliance with all the criteria is dictated in the contract for all Spartan Motors suppliers.

 

Grievance Mechanism

Our website (http://www.spartanmotors.com/about-us/supplier-info/) contains a link to our conflict minerals policy page. Included with our conflict minerals policy on our website is a link that can be utilized to contact our Compliance Officer with concerns regarding our conflict minerals policy or our use of conflict minerals. It is the policy of Spartan Motors that any communications regarding our Code of Business Conduct and Compliance or Conflict Minerals received by our Chief Compliance Officer is submitted for review to our Board of Directors.

 

Step Two: Identify and Assess Risk in the Supply Chain

All of our relevant suppliers were identified for inclusion in our 2016 RCOI. We rely on these suppliers, whose components we believe may contain 3TG, to provide us with information about the source of Conflict Minerals, if any, contained in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers.

 

 
2/16
 

 

We will assess risk by reviewing the suppliers' answers provided in the CMRT for risk indicators that are identified though our third - party consulting Conflict Minerals platform (IPoint). Risk indicators identified from the CMRT reports are then communicated back to our suppliers for awareness and continuous improvement for future Conflict Minerals reporting requirements.

 

Step Three: Design and Implement a Strategy to Respond to Risks

Relevant suppliers are mandated to provide a CMRT for each reporting year. Supplier CMRTs are evaluated against a set list of data quality standards. Any discrepancies identified are logged in an online tool and sent back to the supplier for further investigation and corrective action.

 

Step Four: Carry Out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. We do track all smelters that have been audited via the Conflict Free Sourcing Initiative ("CFSI").

 

 Step Five: Report on Supply Chain Due Diligence

We conducted a survey of those suppliers described above using the CMRT. The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company's supply chain. It includes questions regarding a company's conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT contains questions about the origin of 3TG included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on CFSI's website. The CMRT is being used by many companies in their due diligence processes related to conflict minerals.

 

The number of supplier responses has decreased from the last reporting year due to our attempt to require software only reporting. Many suppliers refused to work in chosen software or experienced difficulty in navigating the software. It is our intention to continue to work with our suppliers to educate them on all the requirements so that we can have a marked improvement in response rate. For the 2016 reporting year, we received responses from 13 percent of all of the suppliers surveyed. The 2016 data collected included the names of 243 entities listed by our suppliers as smelters or refiners. 186 of these entities were identified as validated to be Conflict-Free by the CFSI. We compared these facilities to the CFSI list of smelters and where a supplier indicated that the facility was certified as Conflict-Free, we ensured that the name was listed by CFSI.

 

The large majority of the responses received provided data at a company or divisional level or were unable to specify the smelters or refiners used. We are unable to determine whether any of the 3TG reported by our suppliers were contained in components or parts supplied to us or to validate that any of these smelters or refiners are actually in our supply chain. Requesting that our suppliers complete the CMRT regarding information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.

 

We are committed to this process and will continue to implement and improve our conflict minerals due diligence program. Based on the information obtained pursuant to our RCOI and the due diligence process, we do not have sufficient information to determine the country of origin of the 3TG used in our products.

 

Below is the list of smelters and refiners was provided by the responding suppliers and otherwise obtained through our due diligence process. Since reporting was completed at a company level, we are not able to determine with certainty that these are actually used in our supply chain.

 

Metal (*)

Smelter Name (*)

Smelter Country (*)

Smelter Identification

CFSI Validated as Conflict Free

Tungsten

A.L.M.T. TUNGSTEN Corp.

JAPAN

CID000004

YES

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CID000015

YES

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

CID000019

YES

 

 
3/16
 

 

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

CID000035

YES

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

CID000041

YES

Gold

AngloGold Ashanti Córrego do Sítio Mineração

BRAZIL

CID000058

YES

Gold

Argor-Heraeus S.A.

SWITZERLAND

CID000077

YES

Gold

Asahi Pretec Corp.

JAPAN

CID000082

YES

Gold

Asaka Riken Co., Ltd.

JAPAN

CID000090

YES

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

CID000103

NO

Tungsten

Kennametal Huntsville

UNITED STATES OF AMERICA

CID000105

YES

Gold

Aurubis AG

GERMANY

CID000113

YES

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

CID000128

YES

Gold

Boliden AB

SWEDEN

CID000157

YES

Gold

C. Hafner GmbH + Co. KG

GERMANY

CID000176

YES

Gold

Caridad

MEXICO

CID000180

NO

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

CID000185

YES

Gold

Cendres + Métaux S.A.

SWITZERLAND

CID000189

NO

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

CID000211

YES

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

CID000218

YES

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

CID000228

YES

Gold

Chimet S.p.A.

ITALY

CID000233

YES

 

 
4/16
 

 

Tin

Jiangxi Ketai Advanced Material Co., Ltd.

CHINA

CID000244

YES

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

CID000258

YES

Gold

Chugai Mining

JAPAN

CID000264

NO

Tin

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

CID000278

NO

Tantalum

Conghua Tantalum and Niobium Smeltry

CHINA

CID000291

YES

Tin

Alpha

UNITED STATES OF AMERICA

CID000292

YES

Tin

Cooperativa Metalurgica de Rondônia Ltda.

BRAZIL

CID000295

YES

Tin

CV Gita Pesona

INDONESIA

CID000306

YES

Tin

PT Justindo

INDONESIA

CID000307

NO

Tin

PT Aries Kencana Sejahtera

INDONESIA

CID000309

YES

Tin

CV Serumpun Sebalai

INDONESIA

CID000313

YES

Tin

CV United Smelting

INDONESIA

CID000315

YES

Gold

Daejin Indus Co., Ltd.

KOREA (REPUBLIC OF)

CID000328

YES

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

CID000343

NO

Tungsten

Dayu Weiliang Tungsten Co., Ltd.

CHINA

CID000345

NO

Gold

DSC (Do Sung Corporation)

KOREA (REPUBLIC OF)

CID000359

YES

Gold

DODUCO GmbH

GERMANY

CID000362

YES

Gold

Dowa

JAPAN

CID000401

YES

Tin

Dowa

JAPAN

CID000402

YES

 

 
5/16
 

 

Tantalum

Duoluoshan

CHINA

CID000410

YES

Gold

Eco-System Recycling Co., Ltd.

JAPAN

CID000425

YES

Tin

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

CID000438

YES

Tin

Estanho de Rondônia S.A.

BRAZIL

CID000448

NO

Tantalum

Exotech Inc.

UNITED STATES OF AMERICA

CID000456

YES

Tantalum

F&X Electro-Materials Ltd.

CHINA

CID000460

YES

Tin

Fenix Metals

POLAND

CID000468

YES

Gold

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

CID000493

YES

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

CID000499

YES

Gold

Gansu Seemine Material Hi-Tech Co., Ltd.

CHINA

CID000522

NO

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

CID000538

YES

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CHINA

CID000555

NO

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES OF AMERICA

CID000568

YES

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

CID000616

YES

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

CID000671

NO

Gold

Heimerle + Meule GmbH

GERMANY

CID000694

YES

Gold

Heraeus Metals Hong Kong Ltd.

CHINA

CID000707

YES

Gold

Heraeus Precious Metals GmbH & Co. KG

GERMANY

CID000711

YES

Tantalum

Hi-Temp Specialty Metals, Inc.

UNITED STATES OF AMERICA

CID000731

YES

 

 
6/16
 

 

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

CID000760

NO

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000766

YES

Gold

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000767

NO

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

CID000769

YES

Gold

Hwasung CJ Co., Ltd.

KOREA (REPUBLIC OF)

CID000778

NO

Gold

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

CHINA

CID000801

YES

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

CID000807

YES

Gold

Istanbul Gold Refinery

TURKEY

CID000814

YES

Gold

Japan Mint

JAPAN

CID000823

YES

Tungsten

Japan New Metals Co., Ltd.

JAPAN

CID000825

YES

Gold

Jiangxi Copper Co., Ltd.

CHINA

CID000855

YES

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

CID000875

YES

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

CID000914

YES

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

CID000917

YES

Gold

Asahi Refining USA Inc.

UNITED STATES OF AMERICA

CID000920

YES

Gold

Asahi Refining Canada Ltd.

CANADA

CID000924

YES

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

CID000927

YES

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

CID000929

YES

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

CID000937

YES

 

 
7/16
 

 

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

CID000942

NO

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

CID000956

NO

Gold

Kazzinc

KAZAKHSTAN

CID000957

YES

Tungsten

Kennametal Fallon

UNITED STATES OF AMERICA

CID000966

YES

Gold

Kennecott Utah Copper LLC

UNITED STATES OF AMERICA

CID000969

YES

Tantalum

King-Tan Tantalum Industry Ltd.

CHINA

CID000973

YES

Gold

Kojima Chemicals Co., Ltd.

JAPAN

CID000981

YES

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

CID001029

YES

Gold

L'azurde Company For Jewelry

SAUDI ARABIA

CID001032

NO

Gold

Lingbao Gold Co., Ltd.

CHINA

CID001056

NO

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

CID001058

NO

Tin

China Tin Group Co., Ltd.

CHINA

CID001070

YES

Tantalum

LSM Brasil S.A.

BRAZIL

CID001076

YES

Gold

LS-NIKKO Copper Inc.

KOREA (REPUBLIC OF)

CID001078

YES

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

CID001093

NO

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

CID001105

YES

Gold

Materion

UNITED STATES OF AMERICA

CID001113

YES

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

CID001119

YES

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

CID001142

YES

 

 
8/16
 

 

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

CID001147

YES

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

CID001149

YES

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

CID001152

YES

Gold

Metalor Technologies S.A.

SWITZERLAND

CID001153

YES

Gold

Metalor USA Refining Corporation

UNITED STATES OF AMERICA

CID001157

YES

Gold

Metalúrgica Met-Mex Peñoles S.A. De C.V.

MEXICO

CID001161

YES

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

CID001163

YES

Tin

Mineração Taboca S.A.

BRAZIL

CID001173

YES

Tantalum

Mineração Taboca S.A.

BRAZIL

CID001175

YES

Tin

Minsur

PERU

CID001182

YES

Gold

Mitsubishi Materials Corporation

JAPAN

CID001188

YES

Tin

Mitsubishi Materials Corporation

JAPAN

CID001191

YES

Tantalum

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001192

YES

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001193

YES

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

CID001204

YES

Gold

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

TURKEY

CID001220

YES

Tin

Nankang Nanshan Tin Manufactory Co., Ltd.

CHINA

CID001231

NO

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

CID001236

NO

Gold

Nihon Material Co., Ltd.

JAPAN

CID001259

YES

 

 
9/16
 

 

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

CID001277

YES

Tin

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

THAILAND

CID001314

YES

Gold

Elemetal Refining, LLC

UNITED STATES OF AMERICA

CID001322

NO

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

CID001325

YES

Gold

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

RUSSIAN FEDERATION

CID001326

YES

Tin

Operaciones Metalurgical S.A.

BOLIVIA (PLURINATIONAL STATE OF)

CID001337

YES

Gold

PAMP S.A.

SWITZERLAND

CID001352

YES

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

CID001362

NO

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

CID001386

YES

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

CID001397

YES

Tin

PT Artha Cipta Langgeng

INDONESIA

CID001399

YES

Tin

PT Babel Inti Perkasa

INDONESIA

CID001402

YES

Tin

PT Bangka Tin Industry

INDONESIA

CID001419

YES

Tin

PT Belitung Industri Sejahtera

INDONESIA

CID001421

YES

Tin

PT Bukit Timah

INDONESIA

CID001428

YES

Tin

PT DS Jaya Abadi

INDONESIA

CID001434

YES

Tin

PT Eunindo Usaha Mandiri

INDONESIA

CID001438

YES

Tin

PT Karimun Mining

INDONESIA

CID001448

YES

Tin

PT Mitra Stania Prima

INDONESIA

CID001453

YES

 

 
10/16
 

 

Tin

PT Panca Mega Persada

INDONESIA

CID001457

YES

Tin

PT Prima Timah Utama

INDONESIA

CID001458

YES

Tin

PT Refined Bangka Tin

INDONESIA

CID001460

YES

Tin

PT Sariwiguna Binasentosa

INDONESIA

CID001463

YES

Tin

PT Stanindo Inti Perkasa

INDONESIA

CID001468

YES

Tin

PT Sumber Jaya Indah

INDONESIA

CID001471

YES

Tin

PT Timah (Persero) Tbk Mentok

INDONESIA

CID001482

YES

Tin

PT Tinindo Inter Nusa

INDONESIA

CID001490

YES

Tin

PT Tommy Utama

INDONESIA

CID001493

YES

Tantalum

QuantumClean

UNITED STATES OF AMERICA

CID001508

YES

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

CID001512

YES

Tantalum

RFH Tantalum Smeltry Co., Ltd.

CHINA

CID001522

YES

Gold

Royal Canadian Mint

CANADA

CID001534

YES

Tin

Rui Da Hung

TAIWAN, PROVINCE OF CHINA

CID001539

YES

Gold

Sabin Metal Corp.

UNITED STATES OF AMERICA

CID001546

NO

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CHINA

CID001908

NO

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

CID001909

NO

Gold

Morris and Watson

NEW ZEALAND

CID002282

NO

Gold

Guangdong Jinding Gold Limited

CHINA

CID002312

NO

 

 
11/16
 

 

Tungsten

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

CHINA

CID002313

NO

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

CID002315

YES

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

CID002316

YES

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

CID002317

YES

Tungsten

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

CHINA

CID002318

YES

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

CID002319

YES

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

CID002321

YES

Tin

CV Venus Inti Perkasa

INDONESIA

CID002455

YES

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

CID002459

YES

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

CID002468

YES

Tin

PT Tirus Putra Mandiri

INDONESIA

CID002478

NO

Tin

PT Wahana Perkit Jaya

INDONESIA

CID002479

NO

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

CID002492

YES

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

CID002494

YES

Tin

Melt Metais e Ligas S.A.

BRAZIL

CID002500

YES

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

CID002502

YES

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

CID002503

YES

Tantalum

D Block Metals, LLC

UNITED STATES OF AMERICA

CID002504

YES

Tantalum

FIR Metals & Resource Ltd.

CHINA

CID002505

YES

 

 
12/16
 

 

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

CID002506

YES

Tin

Phoenix Metal Ltd.

RWANDA

CID002507

NO

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CID002509

YES

Gold

Republic Metals Corporation

UNITED STATES OF AMERICA

CID002510

YES

Gold

KGHM Polska Miedź Spółka Akcyjna

POLAND

CID002511

NO

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

CID002512

YES

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

CID002513

YES

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

CID002515

NO

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

CID002517

YES

Tungsten

Dayu Jincheng Tungsten Industry Co., Ltd.

CHINA

CID002518

NO

Tin

PT Inti Stania Prima

INDONESIA

CID002530

YES

Tungsten

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

CID002536

NO

Tantalum

KEMET Blue Metals

MEXICO

CID002539

YES

Tantalum

Plansee SE Liezen

AUSTRIA

CID002540

NO

Tungsten

H.C. Starck Smelting GmbH & Co. KG

GERMANY

CID002542

YES

Tungsten

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

VIET NAM

CID002543

YES

Tantalum

H.C. Starck Co., Ltd.

THAILAND

CID002544

YES

Tantalum

H.C. Starck GmbH Laufenburg

GERMANY

CID002546

NO

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

CID002547

YES

 

 
13/16
 

 

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

CID002548

YES

Tantalum

H.C. Starck Ltd.

JAPAN

CID002549

YES

Tantalum

H.C. Starck Smelting GmbH & Co. KG

GERMANY

CID002550

YES

Tungsten

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

CHINA

CID002551

YES

Tantalum

Plansee SE Reutte

AUSTRIA

CID002556

NO

Tantalum

Global Advanced Metals Boyertown

UNITED STATES OF AMERICA

CID002557

YES

Tantalum

Global Advanced Metals Aizu

JAPAN

CID002558

YES

Gold

Al Etihad Gold LLC

UNITED ARAB EMIRATES

CID002560

YES

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

CID002561

YES

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

CID002563

NO

Tantalum

KEMET Blue Powder

UNITED STATES OF AMERICA

CID002568

YES

Tin

CV Ayi Jaya

INDONESIA

CID002570

YES

Tin

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

VIET NAM

CID002572

NO

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002573

NO

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

CID002579

YES

Gold

Remondis Argentia B.V.

NETHERLANDS

CID002582

NO

Tungsten

Niagara Refining LLC

UNITED STATES OF AMERICA

CID002589

YES

Tantalum

E.S.R. Electronics

UNITED STATES OF AMERICA

CID002590

NO

Tin

CV Dua Sekawan

INDONESIA

CID002592

YES

 

 
14/16
 

 

Tin

CV Tiga Sekawan

INDONESIA

CID002593

YES

Gold

Korea Zinc Co., Ltd.

KOREA (REPUBLIC OF)

CID002605

YES

Tungsten

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CHINA

CID002647

NO

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION

CID002649

YES

Tin

PT Cipta Persada Mulia

INDONESIA

CID002696

NO

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

CID002703

NO

Tin

Resind Indústria e Comércio Ltda.

BRAZIL

CID002706

YES

Tantalum

Resind Indústria e Comércio Ltda.

BRAZIL

CID002707

YES

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

CID002708

NO

Gold

SAAMP

FRANCE

CID002761

NO

Tin

Metallo-Chimique N.V.

BELGIUM

CID002773

YES

Tin

PT Bangka Prima Tin

INDONESIA

CID002776

YES

Tin

PT Sukses Inti Makmur

INDONESIA

CID002816

YES

Tin

An Thai Minerals Co., Ltd.

VIET NAM

CID002825

NO

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

CID002827

YES

Tin

PT Kijang Jaya Mandiri

INDONESIA

CID002829

YES

Tungsten

ACL Metais Eireli

BRAZIL

CID002833

NO

Tin

PT Menara Cipta Mulia

INDONESIA

CID002835

YES

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

CID002842

YES

 

 
15/16
 

 

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CID002844

YES

Tungsten

Moliren Ltd

RUSSIAN FEDERATION

CID002845

YES

Tantalum

Power Resources Ltd.

MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF)

CID002847

YES

Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

CID002848

YES

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

CID002849

YES

Gold

AU Traders and Refiners

SOUTH AFRICA

CID002850

YES

Gold

AURA-II

UNITED STATES OF AMERICA

CID002851

NO

Gold

Gujarat Gold Centre

INDIA

CID002852

NO

Gold

Modeltech Sdn Bhd

MALAYSIA

CID002857

NO

Tin

Modeltech Sdn Bhd

MALAYSIA

CID002858

NO

Tin

Gejiu Jinye Mineral Company

CHINA

CID002859

YES

Gold

Bangalore Refinery

INDIA

CID002863

NO

Tin

PT Lautan Harmonis Sejahtera

INDONESIA

CID002870

YES

 

Our efforts to determine the mine or location of origin of the 3TG used in our products consisted of the due diligence measures described in this report. In particular, because independent third party audit programs validate whether sufficient evidence exists regarding country, mine and/or location of origin of the 3TG that the audited smelter or refiner facilities have processed, we relied on the information made available by such programs for the smelters and refiners in our supply chain. We were unable to ascertain the country of origin and/or chain of custody of all necessary 3TG processed by these facilities, because for this reporting period certain smelter and refiner facilities had not yet received a “conflict free” designation from an independent third party.

 

2016 Improvement Review

Supplier education is a priority for Spartan Motors. We are committed to continuing to educate and support our suppliers and internal staff. Through our supplier feedback process we have learned that mandating software only reporting is not feasible. With these lessons learned we are now able to move forward, understanding that a new software platform may be required as well as allowing the use of Excel versions of the template.

 

Planned Steps to Improve Due Diligence

We intend to take the following steps to improve our due diligence program:

 

1.

Continue to work with suppliers to collect a complete list of smelters within Spartan Motor’s supply chain by providing direction to suppliers to reference the CFSI list of smelters when completing their CMRT report.

 

2.

Provide educational materials to suppliers annually that include instructions and any updates when completing their CMRT reports.

 

3.

Review alternative software that will be easier for suppliers to navigate and more consistent

 

4.

Review more efficient ways to accept and review Excel versions of CMRT

 

16/16