Exhibit 1.01
Maxim Integrated Products, Inc.
Conflict Mineral Report
For the Calendar Year Reporting Period Ended December 31, 2016
Company Overview:
Maxim Integrated Products, Inc. ("Maxim Integrated" or the "Company" and also referred to as "we," "our" or "us") designs, develops, manufactures and markets a broad range of linear and mixed-signal integrated circuits, commonly referred to as analog circuits, for a large number of geographically diverse customers. The Company also provides a range of high-frequency process technologies and capabilities that can be used in custom designs. The analog market is fragmented and characterized by many diverse applications, a great number of product variations and, with respect to many circuit types, relatively long product life cycles. The Company is a global company with wafer manufacturing facilities in the U.S., testing facilities in the Philippines and Thailand and sales and circuit design offices throughout the world. The major end-markets in which the Company’s products are sold are the Automotive, Communications and Data Center, Computing, Consumer and Industrial markets.
Our Conflict Minerals Policy:
Maxim Integrated is committed to complying with the letter and the spirit of the conflict minerals disclosure requirements adopted by the Securities and Exchange Commission (“SEC”) under Section 13(p) of the Securities and Exchange Act, as amended (“Exchange Act”), in the form of Rule 13p-1 and Form SD (together, the “Conflict Minerals Rule” or “Rule”). Maxim Integrated has considered the Rule’s requirements, guidance from the Organisation for Economic Cooperation and Development (the “OECD”) that has been recognized as authoritative by the SEC (the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, and related Supplements for tin, tantalum, tungsten and gold (“OECD Due Diligence Guidance”)), and related measures being taken by the EICC (Electronic Industry Citizenship Coalition)/GeSI (Global e-Sustainability Initiative) Extractives Work Group, which is part of the joint Conflict-Free Sourcing Initiative (“CFSI”) formed by these organizations, as well as other private-sector organizations’ conflict minerals compliance initiatives, and is implementing and enhancing its formal Conflict Minerals compliance program accordingly. Our Conflict Minerals Policy Statement is available on our website at: http://investor.maximintegrated.com/corporate-responsibility.
To support this policy, Maxim Integrated:
Conducts a reasonable country of origin inquiry of all of its direct suppliers that have products containing necessary conflict minerals and, if required by the Conflict Minerals Rule (as it was for the calendar year 2016 reporting period), implements a program of due diligence on the source and chain of custody of conflict minerals (tin, tantalum, tungsten and gold, or “3TG”) that we consider necessary to the functionality or production of our products (“necessary conflict minerals”). |
Expects our direct suppliers to have policies and procedures in place which are in compliance with the Maxim Integrated Conflict Minerals Policy Statement, and will enable transparency of the supply chain to facilitate our compliance with the Conflict Minerals Rule. |
Provides, and expects our direct suppliers to cooperate in providing, reasonable country of origin and due diligence information with regard to use of “necessary conflict minerals” in our supply chain. |
Efforts to determine the mine or location of origin of the conflict minerals in our products
Tracing the necessary 3TG we use in our products back to the mine and/or source country of origin of each such mineral is a complex endeavor, but an important aspect of responsible sourcing. To help establish and maintain our supply chain compliance sourcing program, we have followed currently established industry guidelines such as those developed
by the CFSI under the auspices of the OECD Due Diligence Guidance, which is taking action to address responsible sourcing through the development of the Conflict-Free Smelter Program ("CFSP") program, which enables companies to source minerals from smelters and refiners that have been subjected to a rigorous, independent third-party audit.
Facilities used to process the conflict minerals in our products; brief description of our products
To implement our reasonable country of origin inquiry (“RCOI”) survey process, we adopted the CFSI’s industry approach and used that organization’s CMRT (Conflict Minerals Reporting Template) to gather information from our first-tier suppliers, asking them to help us trace back the origin of necessary 3TG used in our products by identifying smelters, refineries or recyclers and scrap supplier sources of these minerals. We also utilized the CFSI and its CFSP to trace the mine of origin of the 3TG when such information was available. The CFSP conducts independent audits of smelters and refineries to ensure that all certified smelters and refineries are active in the CFSP.
Maxim Integrated procures IC and discrete components and raw materials that may contain conflict minerals from the following major types of suppliers:
• | Raw material supplier |
• | Wafer Foundry |
• | IC Assembly Subcontractor and Contract Manufacturers |
• | Component Manufacturer |
As discussed above, we manufacture a broad range of linear and mixed signal integrated circuits for a variety of uses (e.g., communications and computers), and have our own wafer fabrication facilities. We also use third-party wafer foundries.
The table below lists the facilities which, to the extent known, were identified by responding first-tier suppliers in our supply chain as sourcing smelters or refineries for one or more of the necessary conflict minerals in our products (we use gold, tin, tantalum and tungsten).
Metal | Standard Smelter/Refiner (“Smelter”) Names | Smelter Location | Smelter ID | Status* |
Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | CFSP compliant |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | CFSP compliant |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | CFSP compliant |
Gold | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | CID000058 | CFSP compliant |
Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | CFSP compliant |
Gold | Asahi Pretec Corp. | JAPAN | CID000082 | CFSP compliant |
Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | CFSP compliant |
Gold | Asahi Refining USA Inc. | UNITED STATES | CID000920 | CFSP compliant |
Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | CFSP compliant |
Gold | Aurubis AG | GERMANY | CID000113 | CFSP compliant |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | CFSP compliant |
Gold | Boliden AB | SWEDEN | CID000157 | CFSP compliant |
Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | CFSP compliant |
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | CFSP compliant |
Gold | Chimet S.p.A. | ITALY | CID000233 | CFSP compliant |
Gold | DODUCO GmbH | GERMANY | CID000362 | CFSP compliant |
Gold | Dowa | JAPAN | CID000401 | CFSP compliant |
Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | CFSP compliant |
Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | CFSP compliant |
Gold | Elemetal Refining, LLC | UNITED STATES | CID001322 | Compliant in 2016 |
Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | CFSP compliant |
Gold | Heraeus Ltd. Hong Kong | HONG KONG | CID000707 | CFSP compliant |
Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | CFSP compliant |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | CFSP compliant |
Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | CFSP compliant |
Gold | Istanbul Gold Refinery | TURKEY | CID000814 | CFSP compliant |
Gold | Japan Mint | JAPAN | CID000823 | CFSP compliant |
Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | CFSP compliant |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | CFSP compliant |
Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | CFSP compliant |
Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | CFSP compliant |
Gold | Kazzinc | KAZAKHSTAN | CID000957 | CFSP compliant |
Gold | Kennecott Utah Copper LLC | UNITED STATES | CID000969 | CFSP compliant |
Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | CFSP compliant |
Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | CFSP compliant |
Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | CFSP compliant |
Gold | Materion | UNITED STATES | CID001113 | CFSP compliant |
Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | CFSP compliant |
Gold | Metalor Technologies (Hong Kong) Ltd. | HONG KONG | CID001149 | CFSP compliant |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | CFSP compliant |
Gold | Metalor Technologies (Suzhou) Ltd. | China | CID001147 | CFSP compliant |
Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | CFSP compliant |
Gold | Metalor USA Refining Corporation | UNITED STATES | CID001157 | CFSP compliant |
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | MEXICO | CID001161 | CFSP compliant |
Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | CFSP compliant |
Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | CFSP compliant |
Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | CFSP compliant |
Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | CFSP compliant |
Gold | Nadir Metal Rafineri San. Ve Tic. A.ª. | TURKEY | CID001220 | CFSP compliant |
Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | CFSP compliant |
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | CFSP compliant |
Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | CFSP compliant |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | CFSP compliant |
Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | CFSP compliant |
Gold | PAMP S.A. | SWITZERLAND | CID001352 | CFSP compliant |
Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | CFSP compliant |
Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | CFSP compliant |
Gold | PX Précinox S.A. | SWITZERLAND | CID001498 | CFSP compliant |
Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | CFSP compliant |
Gold | Republic Metals Corporation | UNITED STATES | CID002510 | CFSP compliant |
Gold | Royal Canadian Mint | CANADA | CID001534 | CFSP compliant |
Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | CFSP compliant |
Gold | Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | CFSP compliant |
Gold | SEMPSA Joyería Platería S.A. | SPAIN | CID001585 | CFSP compliant |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | CFSP compliant |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | CFSP compliant |
Gold | Singway Technology Co., Ltd. | TAIWAN | CID002516 | CFSP compliant |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | CFSP compliant |
Gold | Solar Applied Materials Technology Corp. | TAIWAN | CID001761 | CFSP compliant |
Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | CFSP compliant |
Gold | T.C.A S.p.A | ITALY | CID002580 | CFSP compliant |
Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | CFSP compliant |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | CFSP compliant |
Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | CFSP compliant |
Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | CFSP compliant |
Gold | Umicore Brasil Ltda. | BRAZIL | CID001977 | CFSP compliant |
Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | CFSP compliant |
Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | CFSP compliant |
Gold | United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | CFSP compliant |
Gold | Valcambi S.A. | SWITZERLAND | CID002003 | CFSP compliant |
Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | CFSP compliant |
Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 | CFSP compliant |
Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | CFSP compliant |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | CFSP compliant |
Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | CID002243 | CFSP compliant |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | CFSP compliant |
Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | CFSP compliant |
Tantalum | D Block Metals, LLC | UNITED STATES | CID002504 | CFSP compliant |
Tantalum | Duoluoshan | CHINA | CID000410 | CFSP compliant |
Tantalum | Exotech Inc. | UNITED STATES | CID000456 | CFSP compliant |
Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | CFSP compliant |
Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | CFSP compliant |
Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | CFSP compliant |
Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CID002557 | CFSP compliant |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | CFSP compliant |
Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | CFSP compliant |
Tantalum | H.C. Starck GmbH Goslar | GERMANY | CID002545 | CFSP compliant |
Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | CFSP compliant |
Tantalum | H.C. Starck Inc. | UNITED STATES | CID002548 | CFSP compliant |
Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | CFSP compliant |
Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002550 | CFSP compliant |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | CFSP compliant |
Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | CID000731 | CFSP compliant |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | CFSP compliant |
Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | CFSP compliant |
Tantalum | Kemet Blue Metals | MEXICO | CID002539 | CFSP compliant |
Tantalum | Kemet Blue Powder | UNITED STATES | CID002568 | CFSP compliant |
Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | CFSP compliant |
Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | CFSP compliant |
Tantalum | Mineração Taboca S.A. - Ta | BRAZIL | CID001175 | CFSP compliant |
Tantalum | Mitsui Mining & Smelting | JAPAN | CID001192 | CFSP compliant |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | CFSP compliant |
Tantalum | NPM Silmet AS | ESTONIA | CID001200 | CFSP compliant |
Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | CFSP compliant |
Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | CFSP compliant |
Tantalum | Telex Metals | UNITED STATES | CID001891 | CFSP compliant |
Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | CFSP compliant |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 | CFSP compliant |
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | CFSP compliant |
Tin | Alpha | UNITED STATES | CID000292 | CFSP compliant |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | CFSP compliant |
Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | CFSP compliant |
Tin | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | CID000295 | CFSP compliant |
Tin | CV Ayi Jaya | INDONESIA | CID002570 | CFSP compliant |
Tin | CV Gita Pesona | INDONESIA | CID000306 | CFSP compliant |
Tin | CV Serumpun Sebalai | INDONESIA | CID000313 | CFSP compliant |
Tin | CV Tiga Sekawan | INDONESIA | CID002593 | CFSP compliant |
Tin | CV United Smelting | INDONESIA | CID000315 | CFSP compliant |
Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | CFSP compliant |
Tin | Dowa | JAPAN | CID000402 | CFSP compliant |
Tin | Elmet S.L.U. | SPAIN | CID002774 | CFSP compliant |
Tin | EM Vinto | BOLIVIA | CID000438 | CFSP compliant |
Tin | Fenix Metals | POLAND | CID000468 | CFSP compliant |
Tin | Gejiu Jinye Mineral Company | CHINA | CID002859 | CFSP compliant |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | CFSP compliant |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | CFSP compliant |
Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | CFSP compliant |
Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | CFSP compliant |
Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | CFSP compliant |
Tin | Metallic Resources, Inc. | UNITED STATES | CID001142 | CFSP compliant |
Tin | Metallo-Chimique N.V. | BELGIUM | CID002773 | CFSP compliant |
Tin | Mineração Taboca S.A. | BRAZIL | CID001173 | CFSP compliant |
Tin | Minsur | PERU | CID001182 | CFSP compliant |
Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | CFSP compliant |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | CFSP compliant |
Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | CFSP compliant |
Tin | Operaciones Metalurgical S.A. | BOLIVIA | CID001337 | CFSP compliant |
Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | CFSP compliant |
Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | CFSP compliant |
Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | CFSP compliant |
Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | CFSP compliant |
Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | CFSP compliant |
Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | CFSP compliant |
Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | CFSP compliant |
Tin | PT Bukit Timah | INDONESIA | CID001428 | CFSP compliant |
Tin | PT DS Jaya Abadi | INDONESIA | CID001434 | CFSP compliant |
Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | CFSP compliant |
Tin | PT Inti Stania Prima | INDONESIA | CID002530 | CFSP compliant |
Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | CFSP compliant |
Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | CFSP compliant |
Tin | PT Panca Mega Persada | INDONESIA | CID001457 | CFSP compliant |
Tin | PT Prima Timah Utama | INDONESIA | CID001458 | CFSP compliant |
Tin | PT REFINED BANGKA TIN | INDONESIA | CID001460 | CFSP compliant |
Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | CFSP compliant |
Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | CFSP compliant |
Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 | CFSP compliant |
Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | CFSP compliant |
Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | CFSP compliant |
Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | CFSP compliant |
Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | CFSP compliant |
Tin | PT Tommy Utama | INDONESIA | CID001493 | CFSP compliant |
Tin | Resind Indústria e Comércio Ltda. | BRAZIL | CID002706 | CFSP compliant |
Tin | Rui Da Hung | TAIWAN | CID001539 | CFSP compliant |
Tin | Soft Metais Ltda. | BRAZIL | CID001758 | CFSP compliant |
Tin | Thaisarco | THAILAND | CID001898 | CFSP compliant |
Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | CFSP compliant |
Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | CFSP compliant |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | CFSP ACTIVE |
Tin | Yunnan Tin Company Limited | CHINA | CID002180 | CFSP compliant |
Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | CFSP compliant |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | CFSP compliant |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | CFSP compliant |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | CFSP compliant |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | CFSP compliant |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | CFSP compliant |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | CID002494 | CFSP compliant |
Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | CFSP compliant |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | CFSP compliant |
Tungsten | H.C. Starck GmbH | GERMANY | CID002541 | CFSP compliant |
Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | CFSP compliant |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | CFSP compliant |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | CFSP compliant |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | CFSP compliant |
Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | CFSP compliant |
Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | CFSP compliant |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | CFSP compliant |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | CFSP compliant |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | CFSP compliant |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | CFSP compliant |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | CFSP compliant |
Tungsten | Kennametal Fallon | UNITED STATES | CID000966 | CFSP compliant |
Tungsten | Kennametal Huntsville | UNITED STATES | CID000105 | CFSP compliant |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | CFSP compliant |
Tungsten | Niagara Refining LLC | UNITED STATES | CID002589 | CFSP compliant |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | CFSP compliant |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | CID001889 | CFSP compliant |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 | CFSP compliant |
Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 | CFSP compliant |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | CFSP compliant |
Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | CFSP compliant |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | CFSP compliant |
* As of April 30, 2017. “CFSP Compliant” means that the Smelter’s name was included on the Conflict Free Smelter and Refiner List published on the CFSI website. “CFSP Active” means that the Smelter’s name was included on the Active Smelters and Refiners List published on the CFSI website. “2016 Compliant” means the Smelter was CFSP Compliant in 2016, but has withdrawn from CSFI in 2017.
Countries of origin for mines of the conflict minerals these facilities process are believed to include:
Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi Cambodia, Canada, Chile, China, Colombia, Democratic Republic of Congo, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia,
Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United States of America, Uzbekistan, Vietnam, Zimbabwe.
Exercise due diligence on the source and chain of custody of its conflict minerals following recognized framework:
Due Diligence Framework
We have exercised due diligence on the source and chain of custody of our conflict minerals to identify minerals originating from the Covered Countries (DRC or an adjoining country) that are not from scrap or recycled materials. Maxim Integrated’s due diligence process has been designed and implemented based on the framework set forth in the OECD Due Diligence Guidance.
Our conflict minerals due diligence process in calendar year 2016 followed each of the five OECD-recommended steps:
1. | Establishment of Strong Company Management Systems |
2. | Identify and assess risks in the supply chain |
3. | Design and implement a strategy to respond to identified risks |
4. | Encourage the independent third-party audit of smelter/refiner’s due diligence practices |
5. | Report annually on supply chain due diligence |
Inherent Limitations on Due Diligence Measures
As a downstream purchaser of conflict minerals or products (including components) manufactured by third parties that contain conflict minerals, our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals contained in the products we sell to our customers. Our due diligence processes are based on the necessity of seeking data from our direct suppliers, and on those suppliers in turn seeking similar information within their supply chains to identify the original sources of the necessary conflict minerals. We also rely, to a large extent, on information collected and provided by independent third party audit programs such as the CFSP. This process, in our view, is entirely consistent with the OECD Due Diligence Guidance for downstream companies. Maxim Integrated is an active member of CFSI which oversees the CFSP audit program.
Brief description of due diligence measures taken
1.0 Strong Company Management Systems:
We have established a management system for complying with the applicable rules. Our management system includes the development of a Conflict Minerals Oversight Committee led by our Senior Vice President and General Counsel, Senior Vice President, Quality and Vice President, Deputy General Counsel. Maxim Integrated has also developed a team of subject matter experts from relevant functions with specific responsibilities. The Quality Director is responsible for directing the project operations and reporting to upper management. The Quality Director is also responsible for implementation of the supply chain due diligence process. Data collection and reporting are handled by the Environmental Materials Management and Information (EMMI) group within the Quality organization. The Environmental Materials Manager is responsible for day-to-day data collection, customer responses, supply chain and smelter communication, data/information validation, and archival documentation.
The team of subject matter experts is responsible for implementing our conflict mineral compliance policy, procedures and strategy. The Conflict Minerals Oversight Committee has been briefed about the results of our due diligence efforts on a periodic basis and the Director of Quality is briefed regularly during staff meetings.
2.0 Identification and Assessment of Risks in the Supply Chain:
We have made our reasonable efforts to identify first-tier suppliers that supply products or raw materials that may potentially contain necessary conflict minerals by conducting a supply chain survey using the EICC CFSI Conflict Minerals Reporting Template (CMRT), requesting all of our direct suppliers to identify smelters and refiners and country of origin of the conflict minerals in products and/or raw materials they supply to us; following up with direct suppliers that do not respond to the EICC CFSI Conflict Minerals Report Template by requesting their responses; comparing smelters and refiners identified by respondents to our supply chain survey against the list of facilities that have received a “Compliant” or “Active” designation from the CFSP, which designations provide country of origin information; and maintaining documentation of our efforts pursuant to this process. We also review the responses to identify red flags in the responses for further follow-up and also identify key risks to our supply chain; this information also is documented.
3.0 Strategic Response to Identified Risks:
We have and will continue to make reasonable efforts to encourage suppliers who are sourcing from non-compliant smelters and/or refineries to move towards using compliant smelters and refiners (as identified via the CFSP and other industry-developed third-party audit mechanisms). If a supplier fails to remedy the risks identified by our risk assessment, we intend to escalate it to Conflict Minerals Oversight Committee to determine whether to approve or reject the supplier based on the following factors: a thorough cost and benefit analysis; potential risk factors; any existing competitive bids; and whether the supplier is a single source supplier. If the Conflict Minerals Oversight Committee decides to continue such a business relationship due to inherent limitations of the supply chain, we will use reasonable efforts to follow up with said supplier for its correction plan, and encourage our suppliers to work with CFSP compliant smelters and refiners. We provide and plan to continue to provide periodic compliance updates or reports to our Conflict Minerals Oversight Committee summarizing our risk mitigation efforts.
4.0 Independent Third Party Audit of Smelter/Refiner’s Due Diligence Practices:
We do not have a direct relationship with 3TG smelters and refiners; hence, we do not and are not able to perform direct audits of these entities that provide the 3TG metals to our supply chain. However, we do rely upon industry efforts, including the EICC CFSI, to influence smelters and refiners to get audited and certified through CFSI’s CFSP. We rely upon the summary audit reports on compliance status for smelters generated by the CFSP to validate the responses received from suppliers surveyed pursuant to our RCOI process and address red flags identified in Step 2 above. We believe our efforts adequately address this requirement in the OECD Due Diligence Guidance.
5.0 Annual Report on Supply Chain Due Diligence:
In addition to this Conflict Minerals Report and accompanying Form SD, for further information about our Conflict Minerals Policy Statement, please see: http://investor.maximintegrated.com/corporate-responsibility.
Results of due diligence measures taken
We are committed to continuing and improving upon the use of our supply chain due diligence processes, leveraging the industry standard CFSP and other resources made available by the CFSI, as well as the LBMA and other respected industry groups, to assist companies in following the OECD Due Diligence Guidance, and the ongoing update of our supplier RCOI information as we continue to develop additional transparency into our supply chain.
CONFLICT MINERALS REPORT
The Conflict Minerals Report for the calendar year ended December 31, 2016 is filed with the SEC as Exhibit 1.01 to Form SD, and is available at http://investor.maximintegrated.com/financial-information. The content of this website, and any other website referred to in this Conflict Minerals Report and/or the accompanying Form SD, is not incorporated by reference into either of these documents, or any other document Maxim Integrated has filed or will file with the SEC.