EX-1.01 2 exhibit1011.htm EXHIBIT 1.01 Document


EXHIBIT 1.01
Federal Signal Corporation
Conflict Minerals Report
For The Year Ended December 31, 2015
Background
In recent years, there has been increased international attention on certain minerals originating from the Democratic Republic of Congo and adjoining countries (“Covered Countries”) due, in part, to concerns that the exploitation and trade of these minerals is funding regional conflict and violence. In response, the Securities and Exchange Commission (the “SEC”), as mandated by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, implemented reporting and disclosure requirements related to tantalum, tin, tungsten and gold (collectively “Conflict Minerals”). The rules impose certain reporting obligations on public companies that manufacture, or contract to manufacture, products containing Conflict Minerals that are necessary to the functionality or production of the product.
This is the Conflict Minerals Report (the “Report”) of Federal Signal Corporation (“Federal Signal”, the “Company”, “we”, “us” or “our”) for calendar year 2015 in accordance with Rule 13p-1 (the “Rule”) and Form SD (“Form SD”) under the Securities Exchange Act of 1934 (the “1934 Act”). Please refer to the Rule, Form SD and the 1934 Act for definitions to the terms used in this Report unless otherwise defined herein. The Report presented herein is not audited as such an audit is not required under the Rule at this time.
Company Overview
Federal Signal, founded in 1901, was reincorporated as a Delaware corporation in 1969. The Company designs and manufactures a suite of products and integrated solutions for municipal, governmental, industrial and commercial customers. The Company’s portfolio of products includes sewer cleaners, vacuum trucks, street sweepers, waterblasters, safety and security systems, including technology-based products and solutions for the public safety market. In addition, we sell parts and provide service, repair, equipment rentals and training as part of a comprehensive offering to our customers. The Company and its subsidiaries operate nine principal manufacturing facilities in four countries around the world and provide products and integrated solutions to customers in all regions of the world. The Company purchases a wide variety of materials and fabricated components from around the world for use in the manufacture of its products, although the majority of its purchases in 2015 were from North American sources.
Products manufactured and services rendered by the Company are divided into two major operating segments: the Environmental Solutions Group and the Safety and Security Systems Group.1 
Environmental Solutions Group
Our Environmental Solutions Group is a leading manufacturer and supplier of a full range of street sweeper vehicles, sewer cleaner and vacuum loader trucks, hydro-excavation trucks and high-performance waterblasting equipment. Products are sold to both municipal and industrial customers under the Elgin ®, Vactor ®, Guzzler ® and Jetstream TM brand names. The Group manufactures vehicles and equipment in the U.S.
Under the Elgin brand name, the Company sells a leading U.S. brand of street sweepers primarily designed for large-scale cleaning of curbed streets, parking lots and other paved surfaces utilizing mechanical sweeping, vacuum and recirculating air technology. Vactor is a leading manufacturer of vacuum trucks used to maintain sewer lines, catch basins and storm sewers, as well as hydro-excavation trucks to meet the need for safe and non-destructive excavation. Guzzler is a leader in industrial vacuum loaders used to manage industrial waste or recover and recycle valuable raw materials. Jetstream manufactures high pressure waterblast equipment and accessories for commercial and industrial cleaning and maintenance operations.
In addition to equipment sales, the Group engages in the sale of parts, service and repair, equipment rentals and training as part of a complete offering to its customers under the FS SolutionsSM brand.
Safety and Security Systems Group
Our Safety and Security Systems Group is a leading manufacturer and supplier of comprehensive systems and products that law enforcement, fire rescue, emergency medical services, campuses, military facilities and industrial sites use to protect people
 
 
1 On December 17, 2015, Federal Signal announced that it had signed a definitive agreement to sell its Bronto Skylift® business headquartered in Tampere, Finland. Federal Signal completed the sale on January 29, 2016. Bronto was the sole remaining operation in Federal Signal’s Fire Rescue Group. As a result, Federal Signal has discontinued operation of the Fire Rescue Group.

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and property. Offerings include systems for campus and community alerting, emergency vehicles, first responder interoperable communications and industrial communications, as well as command and municipal networked security. Specific products include vehicle lightbars and sirens, public warning sirens, general alarm systems, public address systems and public safety software. Products are sold under the Federal Signal TM, Federal Signal VAMA TM and Victor TM brand names. The Group operates manufacturing facilities in the U.S., Europe and South Africa.
Conflict Minerals Policy
The Company and its subsidiaries are committed to ensuring the safety, health and protection of people and the environment through the products we manufacture and the policies we follow. We promote these principles within our business practices, our code of conduct (including the code of conduct prescribed for our suppliers) and our Conflict Minerals policy. The preceding policies and other materials are available on our corporate website (https://www.federalsignal.com/corporate-governance).
Federal Signal’s Conflict Minerals policy and its supplier code of conduct reflect the Company’s commitment to the responsible sourcing of Conflict Minerals used in its products, and to avoiding the knowing use of Conflict Minerals in our products which directly or indirectly finance, benefit, provide support to, contribute to, assist with or facilitate armed conflict in the Covered Countries. If the Company determines that any supplier is violating this policy, we reserve the right to either suspend or discontinue the use of the supplier in a timely fashion or require the supplier to commit to a suitable corrective action or risk mitigation plan. Any supplier’s continued failure to adhere to Federal Signal’s policies and/or refusal on its part to address issues of concern will likely lead to suspension or termination of the Company’s business relationship with the supplier.
Supply Chain Due Diligence
Federal Signal conducted a reasonable country of origin inquiry and undertook due diligence to seek to determine the source and chain of custody of Conflict Minerals in the components and materials supplied to the Company that are contained in its products. Federal Signal designed its due diligence measures to be in conformity, in all material respects, with the internationally recognized due diligence framework in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related supplements for each of the Conflict Minerals (the “OECD Guidance”).
Federal Signal does not directly purchase unrefined Conflict Minerals or any other raw metal ores from the Covered Countries or elsewhere. Rather, the Company purchases components that are used in the manufacture and assembly of its products. Thus, the Company is far removed from the sources of ore from which Conflict Minerals are produced and the smelters and refiners that process them, and has no first-hand information regarding either. The efforts undertaken by Federal Signal to identify the countries of origin of those metals reflect our circumstances and position in the supply chain, and we are dependent on our suppliers, and their suppliers in turn, and so on, to provide accurate and complete information regarding the source and chain of custody of Conflict Minerals in the components and materials supplied to the Company. The information available globally on the traceability and sourcing of these metals is limited at this time, and this situation is not unique to Federal Signal.
Summarized below is the five-step framework set forth in the OECD Guidance and the related due diligence process we undertook.
Step One: Establish Strong Company Management System
a.
Internal engagement – We developed a training program for internal use to educate relevant employees on our Conflict Minerals program and reporting obligations.
b.
Conflict Minerals working group – We have established and maintain a cross functional Conflict Minerals working group that includes employees from each of our business groups’ supply chains, internal audit, finance and legal/compliance. The group is structured to administer the Company’s Conflict Minerals program and to ensure critical information, including the Company’s Conflict Minerals policy and annual questionnaire, reaches relevant suppliers. The group participates in monthly conference calls to (i) discuss progress regarding our reasonable country of origin inquiries to suppliers and due diligence efforts, (ii) address any questions or issues that arise during this process and (iii) consider legal developments concerning the SEC’s Conflict Minerals rule.
c.
Conflict Minerals policy – We have adopted a Conflict Minerals policy, and we have amended our supplier code of conduct to incorporate our expectations of our suppliers regarding (i) their responsibility to take reasonable and feasible measures to prevent Conflict Minerals from being included in the components they sell to Federal Signal unless the Conflict Minerals either did not originate from a Covered Country or the sourcing of the Conflict Minerals did not directly or indirectly finance or benefit armed militant groups in the region of the Covered Countries, (ii) their obligation to work with their

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respective suppliers to ascertain the presence of Conflict Minerals in their products and (iii) their obligation to respond to and return to Federal Signal our annual supplier questionnaire regarding the presence of Conflict Minerals in their products and to use reasonable and good faith efforts to determine the country of origin or processing facility for any such Conflict Minerals. Both policies reside on our corporate website and both will be reviewed and updated as necessary.
d.
Supplier engagement – Federal Signal provided educational materials to our queried suppliers, including information on the Conflict Minerals disclosure requirements as well as recommendations for developing, implementing and documenting a Conflict Minerals compliance program.
e.
Company-level grievance mechanism – As recommended by the OECD Guidance, we have a long-standing compliance hotline that is available as a grievance mechanism for, among other matters, Conflict Minerals issues, whereby callers can communicate concerns ultimately to our Chief Compliance Officer.
f.
Records management – Federal Signal maintains records relating to our Conflict Minerals program in accordance with our record retention guidelines.
Step Two: Identify and Assess Risk in the Supply Chain
a.
Identify suppliers – Members of our Conflict Minerals working group conducted an evaluation of the suppliers of the components for the products that we manufacture to identify the suppliers that would be in-scope for the risk assessment process. One business group surveyed all active direct suppliers of products except those who, based upon their manufacturing process, would likely not introduce any Conflict Minerals into the purchased products and components (e.g., injection-molded plastic, rubber, etc). Our other business group chose to survey direct suppliers based on the overall spend of that business, and ultimately surveyed the direct suppliers of approximately 95% of the material goods purchased by that business.
b.
Conduct Reasonable Country of Origin Inquiry (“RCOI”) – We conducted a supply chain survey utilizing the Conflict Minerals Reporting Template (“CMRT”) developed by the Electronic Industry Citizenship Coalition and the Global e-Sustainability Initiative to query our suppliers about (i) the country of origin for any Conflict Mineral in products or materials that they supply, (ii) the smelter or refiner for any such Conflict Mineral, (iii) the supplier’s Conflict Minerals policy and (iv) the supplier’s engagement with its direct suppliers. Along with the CMRT, we sent our suppliers a letter with (i) background information on the SEC’s Conflict Minerals Rule and an explanation of the purpose of the CMRT, (ii) website links for further information on the Rule and instructions regarding completion of the CMRT and (iii) a notification that the Company had purchased a license for the iPoint software system to facilitate the reporting of information called for from the suppliers by the CMRT. We requested our suppliers to make similar inquiries of their suppliers and sub-suppliers as necessary in order to complete and return the CMRT to us for the products they sold to Federal Signal. We evaluated the responses from the templates submitted by our suppliers to determine our reporting status based on this RCOI.
c.
Completed additional follow-up – We contacted direct suppliers that did not respond to our request for Conflict Minerals information by the requested date and again requested that they complete the CMRT.
d.
Identify smelters/processors – We compiled a list of smelters/processors in our supply chain using our suppliers’ responses in their CMRTs. We reconciled this list to the list of smelter facilities designated by the Conflict-Free Sourcing Initiative's (“CFSI”) Conflict-Free Smelter Program. We have provided that list in this report as Appendix A.
Step Three: Design and Implement a Strategy to Respond to Identified Risks
a.
Federal Signal maintains a risk mitigation strategy with the goal of reducing the extent of exposure to Conflict Minerals risks and the likelihood of their occurrence. We intend to continue to engage with our suppliers to improve the completeness and accuracy of the information provided to us in order to mitigate the risk that we inadvertently finance or benefit armed groups in the Covered Countries via Conflict Minerals within the products that we manufacture.
b.
As Federal Signal reviews supplier responses to the RCOI, risks will be evaluated and opportunities to mitigate risks will be addressed. We will continue to attempt to engage unresponsive suppliers and evaluate options for corrective actions.
c.
Additional fact finding, risk assessments and changes in circumstances will take place as part of the Company’s annual review of its Conflict Minerals compliance program.
Step Four: Carry Out Independent Third Party Audit of Smelter/Refiner’s Due Diligence Practices
Federal Signal does not perform direct audits of Conflict Minerals smelters and refiners within its supply chain since it is a downstream consumer and is many steps removed from smelters and refiners that provide minerals and ores. Because we do

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not source directly from processing facilities, we rely on the publicly-available results of the CFSI third-party audits to cross-check the responsible sourcing practices of processing facilities in our supply chain.
Step Five: Report on Supply Chain Due Diligence
We file a Form SD and Conflict Minerals Report with the SEC on an annual basis. Our Form SD and Conflict Minerals Report are also available on our corporate website (https://www.federalsignal.com/corporate-governance).
Due Diligence Results
Because of the diversity of our products and the global nature of our supply chain, we rely on our suppliers to provide us with information about the source and content of components that we purchase from them and incorporate into our products. Factors that affect the accuracy of CMRT supplier-provided information, which in turn can affect the accuracy of our Report, include, but are not limited to, incomplete supplier data or smelter data, errors or omissions by suppliers or smelters, evolving certifications of smelters, incomplete information from industry or other third party sources, and other issues. Thus, as a downstream purchaser of Conflict Minerals, our due diligence measures can provide reasonable, but not absolute, assurance regarding the country of origin of the Conflict Minerals.
Despite additional efforts to follow-up with suppliers who did not initially respond, we still have not received responses from many surveyed suppliers, although the response rate in the current reporting period exceeded the response rate during the prior reporting period. The form and content of survey responses varied, and of the suppliers who did respond, we noted varying degrees of cooperation and encountered many challenges in obtaining and analyzing the information we requested:
a.
Many of our suppliers are either private companies or international companies not subject to the Rule. While some such suppliers choose to respond to the CMRT survey, others chose not to do so. The latter group can include small private companies which may lack the inclination, resources or sophistication to commit to collect, in whole or in part, the information requested by the CMRT. This group can also include large manufacturers not subject to the Rule.
b.
Almost all of our direct suppliers are many levels removed in the supply chain from the mining and smelting of the Conflict Minerals. Some of our suppliers are similar to us in that they are waiting on their direct suppliers to provide them with definitive declarations, and their direct suppliers are awaiting definitive declarations from their direct suppliers, and so on.
c.
Most supplier declarations we received have been at a company or division level rather than at a level directly relating to a supplier’s part or component number that we incorporate into our products. Unless a supplier can provide a declaration that either (i) all of the products they sell are or are not free of Conflict Minerals or (ii) the specific products they sell to us are or are not free of Conflict Minerals, we are unable to determine whether the Conflict Minerals that the supplier reported were contained within the components of our products or validate that any identified smelter or refiner was actually in our supply chain. In our due diligence, we received declarations indicating a smelter sourced Conflict Minerals from a Covered Country; however, since the suppliers in question may sell hundreds or thousands of different products to hundreds or thousands of different customers and provided a “company” level declaration, we have no means of determining whether or not the specific products we buy from them contain such Conflict Minerals.
d.
Some declarations indicating the presence of the Conflict Minerals do not include a smelter listing, and when a smelter listing is provided, it may contain duplications and data may be missing. Some of the declarations we received indicated that somewhere in the supply chain, materials were purchased from a smelter which reported sourcing Conflict Minerals from a Covered Country, but may not have provided any further information with respect to the identity or conflict-free status of the supplier or the smelter in question.
e.
Some suppliers returned declarations that were in an improper format or otherwise completed in a manner that rendered them unloadable to the Company’s third-party software program.
f.
Some of our suppliers are parts distributors who source a wide variety of parts from thousands of suppliers and sell to an even greater number of customers. Some of these distributors who are not subject to the Rule have stated that the Rule does not apply to them.
Based on our reasonable and good-faith RCOI and due diligence efforts, Federal Signal is unable to determine with certainty the country of origin of all Conflict Minerals in our products, the mine or source of their origin or the facilities and smelters used to process them.

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Future Steps to Mitigate Risk
We expect to undertake certain steps during the next reporting period to further mitigate the risk that the Conflict Minerals in our products could benefit armed groups in a Covered Country:
a.
Continue to communicate our expectations regarding Conflict Minerals to our direct suppliers, and to engage with them in an effort to increase the response rate to the CMRT survey as well as the quality of information received from surveyed suppliers;
b.
Assess the introduction of a Conflict Minerals query to new suppliers at the new supplier on-boarding stage;
c.
Attempt to incorporate requirements related to Conflict Minerals in supplier contracts and
d.
Encourage our suppliers to use smelters and refiners that have been certified as Conflict Minerals free.

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APPENDIX A
Based on our due diligence process and the information received from our suppliers, the following facilities may have been used to process Conflict Minerals present in one or more of our products. For purposes of this Appendix A, the “Conflict Free” status shall mean a smelter or refiner that has been certified as conflict-free by CFSI and the “Unknown” status shall mean a smelter or refiner that has been identified by CFSI but has yet to be certified as conflict-free.
Metal
Smelter or Refiner Name
Country
Smelter ID
Status
Gold (Au)
Advanced Chemical Company
UNITED STATES
CID000015
Unknown
Gold (Au)
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Conflict Free
Gold (Au)
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
CID002560
Unknown
Gold (Au)
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Conflict Free
Gold (Au)
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Unknown
Gold (Au)
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
CID000058
Conflict Free
Gold (Au)
Asahi Refining USA Inc.
UNITED STATES
CID000920
Conflict Free
Gold (Au)
Asaka Riken Co., Ltd.
JAPAN
CID000090
Conflict Free
Gold (Au)
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Unknown
Gold (Au)
AURA-II
UNITED STATES
CID002851
Unknown
Gold (Au)
Aurubis AG
GERMANY
CID000113
Conflict Free
Gold (Au)
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Conflict Free
Gold (Au)
Boliden AB
SWEDEN
CID000157
Conflict Free
Gold (Au)
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Conflict Free
Gold (Au)
Caridad
MEXICO
CID000180
Unknown
Gold (Au)
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Conflict Free
Gold (Au)
Chimet S.p.A.
ITALY
CID000233
Conflict Free
Gold (Au)
Chugai Mining
JAPAN
CID000264
Unknown
Gold (Au)
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
Unknown
Gold (Au)
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Unknown
Gold (Au)
DODUCO GmbH
GERMANY
CID000362
Conflict Free
Gold (Au)
Dowa
JAPAN
CID000401
Conflict Free
Gold (Au)
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
Unknown
Gold (Au)
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
Conflict Free
Gold (Au)
Elemetal Refining, LLC
UNITED STATES
CID001322
Conflict Free
Gold (Au)
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Conflict Free
Gold (Au)
Faggi Enrico S.p.A.
ITALY
CID002355
Unknown
Gold (Au)
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Unknown
Gold (Au)
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
CID000522
Unknown
Gold (Au)
Geib Refining Corporation
UNITED STATES
CID002459
Unknown
Gold (Au)
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Unknown
Gold (Au)
Guangdong Jinding Gold Limited
CHINA
CID002312
Unknown
Gold (Au)
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Unknown
Gold (Au)
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Unknown
Gold (Au)
Heimerle + Meule GmbH
GERMANY
CID000694
Conflict Free
Gold (Au)
Heraeus Ltd. Hong Kong
CHINA
CID000707
Conflict Free
Gold (Au)
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Conflict Free

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Gold (Au)
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Unknown
Gold (Au)
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
CID000778
Unknown
Gold (Au)
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Conflict Free
Gold (Au)
Istanbul Gold Refinery
TURKEY
CID000814
Conflict Free
Gold (Au)
Japan Mint
JAPAN
CID000823
Conflict Free
Gold (Au)
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
Conflict Free
Gold (Au)
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Conflict Free
Gold (Au)
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Conflict Free
Gold (Au)
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
Unknown
Gold (Au)
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Unknown
Gold (Au)
Kazzinc
KAZAKHSTAN
CID000957
Conflict Free
Gold (Au)
Kennecott Utah Copper LLC
UNITED STATES
CID000969
Conflict Free
Gold (Au)
KGHM Polska Miedź Spółka Akcyjna
POLAND
CID002511
Unknown
Gold (Au)
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Conflict Free
Gold (Au)
Korea Metal Co., Ltd.
KOREA, REPUBLIC OF
CID000988
Unknown
Gold (Au)
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Unknown
Gold (Au)
Lingbao Gold Co., Ltd.
CHINA
CID001056
Unknown
Gold (Au)
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Unknown
Gold (Au)
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Conflict Free
Gold (Au)
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Unknown
Gold (Au)
Materion
UNITED STATES
CID001113
Conflict Free
Gold (Au)
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Conflict Free
Gold (Au)
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Conflict Free
Gold (Au)
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Conflict Free
Gold (Au)
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Unknown
Gold (Au)
Metalor USA Refining Corporation
UNITED STATES
CID001157
Conflict Free
Gold (Au)
Mitsubishi Materials Corporation
JAPAN
CID001188
Conflict Free
Gold (Au)
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Conflict Free
Gold (Au)
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Conflict Free
Gold (Au)
Morris and Watson
NEW ZEALAND
CID002282
Unknown
Gold (Au)
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Conflict Free
Gold (Au)
Nadir Metal Rafineri San. Ve Tic. A.Ş.
TURKEY
CID001220
Conflict Free
Gold (Au)
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Unknown
Gold (Au)
Nihon Material Co., Ltd.
JAPAN
CID001259
Conflict Free
Gold (Au)
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Conflict Free
Gold (Au)
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Conflict Free
Gold (Au)
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Conflict Free
Gold (Au)
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Unknown
Gold (Au)
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Conflict Free
Gold (Au)
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Conflict Free
Gold (Au)
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Conflict Free
Gold (Au)
Remondis Argentia B.V.
NETHERLANDS
CID002582
Unknown
Gold (Au)
Republic Metals Corporation
UNITED STATES
CID002510
Conflict Free
Gold (Au)
Royal Canadian Mint
CANADA
CID001534
Conflict Free
Gold (Au)
SAAMP
FRANCE
CID002761
Unknown

ii


Gold (Au)
Sabin Metal Corp.
UNITED STATES
CID001546
Unknown
Gold (Au)
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
Unknown
Gold (Au)
SAMWON Metals Corp.
KOREA, REPUBLIC OF
CID001562
Unknown
Gold (Au)
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Unknown
Gold (Au)
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Conflict Free
Gold (Au)
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Unknown
Gold (Au)
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Conflict Free
Gold (Au)
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Conflict Free
Gold (Au)
Singway Technology Co., Ltd.
TAIWAN
CID002516
Conflict Free
Gold (Au)
So Accurate Group, Inc.
UNITED STATES
CID001754
Unknown
Gold (Au)
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Conflict Free
Gold (Au)
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
Conflict Free
Gold (Au)
Sudan Gold Refinery
SUDAN
CID002567
Unknown
Gold (Au)
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Conflict Free
Gold (Au)
T.C.A S.p.A
ITALY
CID002580
Conflict Free
Gold (Au)
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Conflict Free
Gold (Au)
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
Conflict Free
Gold (Au)
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Conflict Free
Gold (Au)
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Unknown
Gold (Au)
Tony Goetz NV
BELGIUM
CID002587
Unknown
Gold (Au)
Torecom
KOREA, REPUBLIC OF
CID001955
Unknown
Gold (Au)
Umicore Brasil Ltda.
BRAZIL
CID001977
Conflict Free
Gold (Au)
Umicore Precious Metals Thailand
THAILAND
CID002314
Conflict Free
Gold (Au)
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
Conflict Free
Gold (Au)
Western Australian Mint trading as The Perth Mint
AUSTRALIA
CID002030
Conflict Free
Gold (Au)
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Unknown
Gold (Au)
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
Conflict Free
Gold (Au)
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Conflict Free
Gold (Au)
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Unknown
Gold (Au)
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Conflict Free
Gold (Au)
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
CID002243
Conflict Free
Gold (Au)
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Conflict Free
Tantalum (Ta)
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Conflict Free
Tantalum (Ta)
Conghua Tantalum and Niobium Smeltry
CHINA
CID000291
Conflict Free
Tantalum (Ta)
D Block Metals, LLC
UNITED STATES
CID002504
Conflict Free
Tantalum (Ta)
Duoluoshan
CHINA
CID000410
Conflict Free
Tantalum (Ta)
E.S.R. Electronics
UNITED STATES
CID002590
Unknown
Tantalum (Ta)
Exotech Inc.
UNITED STATES
CID000456
Conflict Free
Tantalum (Ta)
F&X Electro-Materials Ltd.
CHINA
CID000460
Conflict Free
Tantalum (Ta)
FIR Metals & Resource Ltd.
CHINA
CID002505
Conflict Free
Tantalum (Ta)
Global Advanced Metals Aizu
JAPAN
CID002558
Conflict Free
Tantalum (Ta)
Global Advanced Metals Boyertown
UNITED STATES
CID002557
Conflict Free

iii


Tantalum (Ta)
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Conflict Free
Tantalum (Ta)
H.C. Starck Co., Ltd.
THAILAND
CID002544
Conflict Free
Tantalum (Ta)
H.C. Starck GmbH Goslar
GERMANY
CID002545
Conflict Free
Tantalum (Ta)
H.C. Starck GmbH Laufenburg
GERMANY
CID002546
Conflict Free
Tantalum (Ta)
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Conflict Free
Tantalum (Ta)
H.C. Starck Inc.
UNITED STATES
CID002548
Conflict Free
Tantalum (Ta)
H.C. Starck Ltd.
JAPAN
CID002549
Conflict Free
Tantalum (Ta)
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Conflict Free
Tantalum (Ta)
Hi-Temp Specialty Metals, Inc.
UNITED STATES
CID000731
Conflict Free
Tantalum (Ta)
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Conflict Free
Tantalum (Ta)
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Conflict Free
Tantalum (Ta)
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Conflict Free
Tantalum (Ta)
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Conflict Free
Tantalum (Ta)
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Conflict Free
Tantalum (Ta)
KEMET Blue Metals
MEXICO
CID002539
Conflict Free
Tantalum (Ta)
KEMET Blue Powder
UNITED STATES
CID002568
Conflict Free
Tantalum (Ta)
King-Tan Tantalum Industry Ltd.
CHINA
CID000973
Conflict Free
Tantalum (Ta)
LSM Brasil S.A.
BRAZIL
CID001076
Conflict Free
Tantalum (Ta)
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Conflict Free
Tantalum (Ta)
Mineração Taboca S.A.
BRAZIL
CID001175
Conflict Free
Tantalum (Ta)
Mitsui Mining & Smelting
JAPAN
CID001192
Conflict Free
Tantalum (Ta)
Molycorp Silmet A.S.
ESTONIA
CID001200
Conflict Free
Tantalum (Ta)
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Conflict Free
Tantalum (Ta)
Plansee SE Liezen
AUSTRIA
CID002540
Conflict Free
Tantalum (Ta)
Plansee SE Reutte
AUSTRIA
CID002556
Conflict Free
Tantalum (Ta)
QuantumClean
UNITED STATES
CID001508
Conflict Free
Tantalum (Ta)
Resind Indústria e Comércio Ltda.
BRAZIL
CID002707
Conflict Free
Tantalum (Ta)
RFH Tantalum Smeltry Co., Ltd.
CHINA
CID001522
Conflict Free
Tantalum (Ta)
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Conflict Free
Tantalum (Ta)
Taki Chemicals
JAPAN
CID001869
Conflict Free
Tantalum (Ta)
Telex Metals
UNITED STATES
CID001891
Conflict Free
Tantalum (Ta)
Tranzact, Inc.
UNITED STATES
CID002571
Conflict Free
Tantalum (Ta)
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Conflict Free
Tantalum (Ta)
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Conflict Free
Tantalum (Ta)
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
Conflict Free
Tantalum (Ta)
Zhuzhou Cemented Carbide
CHINA
CID002232
Conflict Free
Tin (Sn)
Alpha
UNITED STATES
CID000292
Conflict Free
Tin (Sn)
An Vinh Joint Stock Mineral Processing Company
VIETNAM
CID002703
Unknown
Tin (Sn)
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Unknown
Tin (Sn)
China Tin Group Co., Ltd.
CHINA
CID001070
Conflict Free
Tin (Sn)
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000278
Unknown
Tin (Sn)
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
CID000295
Conflict Free
Tin (Sn)
CV Ayi Jaya
INDONESIA
CID002570
Conflict Free

iv


Tin (Sn)
CV Dua Sekawan
INDONESIA
CID002592
Unknown
Tin (Sn)
CV Gita Pesona
INDONESIA
CID000306
Conflict Free
Tin (Sn)
CV Serumpun Sebalai
INDONESIA
CID000313
Conflict Free
Tin (Sn)
CV Tiga Sekawan
INDONESIA
CID002593
Unknown
Tin (Sn)
CV United Smelting
INDONESIA
CID000315
Conflict Free
Tin (Sn)
CV Venus Inti Perkasa
INDONESIA
CID002455
Conflict Free
Tin (Sn)
Dowa
JAPAN
CID000402
Conflict Free
Tin (Sn)
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIETNAM
CID002572
Unknown
Tin (Sn)
EM Vinto
BOLIVIA
CID000438
Conflict Free
Tin (Sn)
Estanho de Rondônia S.A.
BRAZIL
CID000448
Unknown
Tin (Sn)
Feinhütte Halsbrücke GmbH
GERMANY
CID000466
Unknown
Tin (Sn)
Fenix Metals
POLAND
CID000468
Conflict Free
Tin (Sn)
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Unknown
Tin (Sn)
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Conflict Free
Tin (Sn)
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Unknown
Tin (Sn)
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Unknown
Tin (Sn)
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Unknown
Tin (Sn)
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Unknown
Tin (Sn)
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Unknown
Tin (Sn)
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
Conflict Free
Tin (Sn)
Linwu Xianggui Ore Smelting Co., Ltd.
CHINA
CID001063
Unknown
Tin (Sn)
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Conflict Free
Tin (Sn)
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Conflict Free
Tin (Sn)
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Conflict Free
Tin (Sn)
Metallic Resources, Inc.
UNITED STATES
CID001142
Conflict Free
Tin (Sn)
Metallo-Chimique N.V.
BELGIUM
CID002773
Conflict Free
Tin (Sn)
Mineração Taboca S.A.
BRAZIL
CID001173
Conflict Free
Tin (Sn)
Minsur
PERU
CID001182
Conflict Free
Tin (Sn)
Mitsubishi Materials Corporation
JAPAN
CID001191
Conflict Free
Tin (Sn)
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
CID001231
Unknown
Tin (Sn)
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIETNAM
CID002573
Unknown
Tin (Sn)
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Conflict Free
Tin (Sn)
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Conflict Free
Tin (Sn)
Operaciones Metalurgical S.A.
BOLIVIA
CID001337
Conflict Free
Tin (Sn)
Phoenix Metal Ltd.
RWANDA
CID002507
Unknown
Tin (Sn)
PT Alam Lestari Kencana
INDONESIA
CID001393
Unknown
Tin (Sn)
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Conflict Free
Tin (Sn)
PT Artha Cipta Langgeng
INDONESIA
CID001399
Conflict Free
Tin (Sn)
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Conflict Free
Tin (Sn)
PT Babel Inti Perkasa
INDONESIA
CID001402
Conflict Free
Tin (Sn)
PT Bangka Kudai Tin
INDONESIA
CID001409
Unknown
Tin (Sn)
PT Bangka Prima Tin
INDONESIA
CID002776
Conflict Free
Tin (Sn)
PT Bangka Timah Utama Sejahtera
INDONESIA
CID001416
Unknown
Tin (Sn)
PT Bangka Tin Industry
INDONESIA
CID001419
Conflict Free
Tin (Sn)
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Conflict Free

v


Tin (Sn)
PT BilliTin Makmur Lestari
INDONESIA
CID001424
Conflict Free
Tin (Sn)
PT Bukit Timah
INDONESIA
CID001428
Conflict Free
Tin (Sn)
PT Cipta Persada Mulia
INDONESIA
CID002696
Conflict Free
Tin (Sn)
PT DS Jaya Abadi
INDONESIA
CID001434
Conflict Free
Tin (Sn)
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Conflict Free
Tin (Sn)
PT Fang Di MulTindo
INDONESIA
CID001442
Unknown
Tin (Sn)
PT Inti Stania Prima
INDONESIA
CID002530
Conflict Free
Tin (Sn)
PT Justindo
INDONESIA
CID000307
Conflict Free
Tin (Sn)
PT Karimun Mining
INDONESIA
CID001448
Unknown
Tin (Sn)
PT Kijang Jaya Mandiri
INDONESIA
CID002829
Unknown
Tin (Sn)
PT Mitra Stania Prima
INDONESIA
CID001453
Conflict Free
Tin (Sn)
PT Panca Mega Persada
INDONESIA
CID001457
Conflict Free
Tin (Sn)
PT Pelat Timah Nusantara Tbk
INDONESIA
CID001486
Unknown
Tin (Sn)
PT Prima Timah Utama
INDONESIA
CID001458
Conflict Free
Tin (Sn)
PT Refined Bangka Tin
INDONESIA
CID001460
Conflict Free
Tin (Sn)
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Conflict Free
Tin (Sn)
PT Seirama Tin Investment
INDONESIA
CID001466
Unknown
Tin (Sn)
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Conflict Free
Tin (Sn)
PT Sukses Inti Makmur
INDONESIA
CID002816
Unknown
Tin (Sn)
PT Sumber Jaya Indah
INDONESIA
CID001471
Conflict Free
Tin (Sn)
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
Conflict Free
Tin (Sn)
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
Conflict Free
Tin (Sn)
PT Tinindo Inter Nusa
INDONESIA
CID001490
Conflict Free
Tin (Sn)
PT Tirus Putra Mandiri
INDONESIA
CID002478
Unknown
Tin (Sn)
PT Tommy Utama
INDONESIA
CID001493
Conflict Free
Tin (Sn)
PT Wahana Perkit Jaya
INDONESIA
CID002479
Conflict Free
Tin (Sn)
Resind Indústria e Comércio Ltda.
BRAZIL
CID002706
Conflict Free
Tin (Sn)
Rui Da Hung
TAIWAN
CID001539
Conflict Free
Tin (Sn)
Soft Metais Ltda.
BRAZIL
CID001758
Conflict Free
Tin (Sn)
Thaisarco
THAILAND
CID001898
Conflict Free
Tin (Sn)
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIETNAM
CID002574
Unknown
Tin (Sn)
VQB Mineral and Trading Group JSC
VIETNAM
CID002015
Conflict Free
Tin (Sn)
White Solder Metalurgia e Mineração Ltda.
BRAZIL
CID002036
Conflict Free
Tin (Sn)
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Unknown
Tin (Sn)
Yunnan Tin Company Limited
CHINA
CID002180
Conflict Free
Tungsten (W)
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
Conflict Free
Tungsten (W)
ACL Metais Eireli
BRAZIL
CID002833
Unknown
Tungsten (W)
Asia Tungsten Products Vietnam Ltd.
VIETNAM
CID002502
Conflict Free
Tungsten (W)
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Conflict Free
Tungsten (W)
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Conflict Free
Tungsten (W)
Dayu Jincheng Tungsten Industry Co., Ltd.
CHINA
CID002518
Unknown
Tungsten (W)
Dayu Weiliang Tungsten Co., Ltd.
CHINA
CID000345
Unknown
Tungsten (W)
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Conflict Free
Tungsten (W)
Ganxian Shirui New Material Co., Ltd.
CHINA
CID002531
Unknown
Tungsten (W)
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Conflict Free

vi


Tungsten (W)
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Conflict Free
Tungsten (W)
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
CID000868
Unknown
Tungsten (W)
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Conflict Free
Tungsten (W)
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
CID002536
Unknown
Tungsten (W)
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
Conflict Free
Tungsten (W)
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Conflict Free
Tungsten (W)
H.C. Starck GmbH
GERMANY
CID002541
Conflict Free
Tungsten (W)
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002542
Conflict Free
Tungsten (W)
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Conflict Free
Tungsten (W)
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Conflict Free
Tungsten (W)
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
CHINA
CID002578
Unknown
Tungsten (W)
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Conflict Free
Tungsten (W)
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Conflict Free
Tungsten (W)
Japan New Metals Co., Ltd.
JAPAN
CID000825
Conflict Free
Tungsten (W)
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Unknown
Tungsten (W)
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
CID002647
Unknown
Tungsten (W)
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Conflict Free
Tungsten (W)
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Unknown
Tungsten (W)
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Unknown
Tungsten (W)
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Unknown
Tungsten (W)
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
CID002535
Conflict Free
Tungsten (W)
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Unknown
Tungsten (W)
Kennametal Fallon
UNITED STATES
CID000966
Unknown
Tungsten (W)
Kennametal Huntsville
UNITED STATES
CID000105
Conflict Free
Tungsten (W)
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Conflict Free
Tungsten (W)
Moliren Ltd
RUSSIAN FEDERATION
CID002845
Unknown
Tungsten (W)
Niagara Refining LLC
UNITED STATES
CID002589
Conflict Free
Tungsten (W)
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIETNAM
CID002543
Conflict Free
Tungsten (W)
Pobedit, JSC
RUSSIAN FEDERATION
CID002532
Unknown
Tungsten (W)
Sanher Tungsten Vietnam Co., Ltd.
VIETNAM
CID002538
Unknown
Tungsten (W)
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
Unknown
Tungsten (W)
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
CID001889
Conflict Free
Tungsten (W)
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIETNAM
CID002011
Conflict Free
Tungsten (W)
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
Conflict Free
Tungsten (W)
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
CID002843
Unknown
Tungsten (W)
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Conflict Free
Tungsten (W)
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Conflict Free
Tungsten (W)
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Unknown
Tungsten (W)
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
Conflict Free


vii