EX-1.01 2 infn-052815xex101.htm EXHIBIT 1.01 INFN-05.28.15-Ex1.01


Exhibit 1.01
Infinera Corporation
Conflict Minerals Report
For the Reporting Period January 1, 2014 to December 31, 2014

I.
Introduction
This is the Conflict Minerals Report of Infinera Corporation (“we,” “our,” “us,” or “Infinera”) prepared for calendar year 2014 (except for conflict minerals that, prior to January 31, 2013, were located outside of the supply chain) in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources, and also to Release No. 34-67716 (August 22, 2012) of the Act for such definitions. The term “conflict minerals” is defined in Section 1502(e)(4) of the Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), gold; wolframite (the metal ore from which tungsten is extracted), or their derivatives (“3TG”); or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (collectively, the “Covered Countries”).
In accordance with Rule 13p-1, we undertook efforts to determine whether the necessary conflict minerals in our products were or were not “DRC conflict-free.” We designed our efforts in conformity, with the internationally recognized due diligence framework provided by the Organisation for Economic Co-Operation and Development (“OECD”). Specifically, this is based on and designed to comply with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition (“OECD Guidance”).
II.
Company and Product Overview
We provide optical transport networking equipment, software and services to Tier 1 and Tier 2 telecommunications service providers, Internet content providers, cable operators, wholesale and enterprise carriers, research and education institutions, and government entities (collectively, “Service Providers”) across the globe. Optical transport networks are deployed by Service Providers facing significant demands for transmission capacity prompted by increased use of high-speed Internet access, mobile broadband, high-definition video streaming services, business Ethernet services and cloud-based services. We call our solution for Service Providers the Infinera Intelligent Transport Network.
Our products include the (i) DTN platform; (ii) DTN-X platform; (iii) ATN platform; and (iv) Cloud Xpress platform. The DTN, DTN-X, ATN and Cloud Xpress platforms are built upon and connected to one another using an optical “line system,” which we refer to as the Infinera Line System, and collectively, which we refer to as the “Covered Products.” We have determined that our hardware products contain one or more conflict minerals and thus are within the scope of Rule 13p-1.
III.
Design of Conflict Minerals Program

We designed our conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Guidance, the Supplement on Tin, Tantalum and Tungsten, and the Supplement on Gold, specifically as it relates to our position in the minerals supply chain as a “downstream” company:
Step 1:     Establish strong company management systems
Step 2:     Identify and assess risk in the supply chain
Step 3:     Design and implement a strategy to respond to identified risks
Step 4:    Carry out independent third-party audit of supply chain due diligence
Step 5:     Report on supply chain due diligence
We relied upon multi-stakeholder initiatives that provide verification processes for conflict-free minerals from smelters or refiners who may provide those minerals to companies in our supply chain. We, as a purchaser of

1



components and materials, are many steps removed from the mining of conflict minerals, do not purchase raw ore or unrefined conflict minerals, and do not conduct purchasing activities directly in any of the Covered Countries.
IV.
Due Diligence Measures Performed
The following describes the measures taken to reasonably determine the country of origin of conflict minerals and to exercise due diligence in our supply chain in conformance with the OECD Guidance.
Step 1: Establish strong company management systems
a.
Conflict minerals team - We have established a conflict minerals team that includes individuals from the appropriate business units and departments, including legal, finance, operations and procurement. The team was structured to ensure critical information, including our policies related to this subject matter, reached relevant employees and suppliers.
b.
Conflict minerals policy - We have adopted and published a policy establishing the expectations of our suppliers. The policy can be found on our website at http://www.infinera.com/company/social_responsibility/transparency_and_compliance-conflict_minerals_policy.html on the Corporate Social Responsibility webpage. It is periodically reviewed and will be updated, if necessary.
c.
Supplier engagement - We require our suppliers to fully disclose any materials found in components or products they supply to us that contain 3TG. In addition, we have incorporated requirements for compliance with conflict minerals disclosure into the periodic business reviews conducted with key suppliers. The periodic business reviews enable us to evaluate the performance and set goals for continuous improvement regarding supply chain issues including any issues related to conflict minerals.
d.
Company level grievance mechanism - As recommended by the OECD Guidance, we have established a grievance mechanism, which is set forth in our Conflict Minerals Policy. Reports can be made anonymously, and will be kept confidential to the fullest extent practicable and allowed by law.
e.
Records management - We will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.
Step 2: Identify and assess risk in the supply chain
We performed the following steps as part of our risk assessment process:
a.
Identified Direct Suppliers - We try to identify all direct, or first tier, suppliers who may provide components and materials that contain conflict minerals in the Covered Products during the calendar year 2014 reporting period. We rely on our direct suppliers to provide information on the origin of the conflict minerals contained in components and materials supplied to us - including sources of conflict minerals that are supplied to them by upstream suppliers.
b.
Conducted Reasonable Country of Origin Inquiry (“RCOI”) - We utilized the industry-developed Conflict Minerals Reporting Template (“CMRT”) to query our direct suppliers for conflict minerals information. We evaluated the responses from the CMRT submitted by our direct suppliers to determine our reporting obligation based on this RCOI.
c.
Completed additional follow-up - We reviewed the CMRT submissions to validate if they were complete and to identify any contradictions or inconsistencies. We also have worked with suppliers to secure updated responses where necessary.
d.
Identify smelters/processors - We collected a list of smelters/processors that are in our supply chain by utilizing the CMRT. 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.

2



Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a.
Designed and implemented a plan -We adopted and utilized the CMRT to monitor and mitigate supply chain risk.
b.
Verify smelters - As part of the risk mitigation process, we reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as “conflict-free” by the CFSI Conflict-Free Smelter Program.
c.
Supplier outreach - We followed up with suppliers that did not initially respond to our requests to complete the CMRT and followed up with questions to explain contradictions and inconsistencies.
d.
Meet with management - Members of the conflict minerals team periodically report to senior management on program developments and progress.
Step 4: Carry out independent third-party audit of supply chain due diligence
We are relying on the CFSI’s published lists to verify the conflict-free status of smelters/processors that source from Covered Countries.
We are a member of the CFSI (INFI). As a member, we have supported the development of the Conflict-Free Smelter Program (“CFSP”) and have relied on the CFSP to determine the country of origin of conflict minerals in our products. The efforts to determine location of origin through the CFSI is described on the CFSI website at: http://www.conflictfreesourcing.org/. We remain supportive of industry-wide efforts to expand smelter certification.
Step 5: Report on supply chain due diligence
This report and our Form SD will be filed with the SEC and is publicly available on our website at www.infinera.com.
V.
Results of RCOI and Due Diligence
On the basis of the RCOI measures and other aspects of our due diligence program described above, we have determined that all the Covered Products as of December 31, 2014 are considered to be DRC conflict undeterminable. We have determined that either a portion of the conflict minerals used to manufacture the Covered Products originated from the Covered Countries and that in some cases we were unable to determine the origin of all the conflict minerals in our Covered Products. Furthermore, given that we have not voluntarily elected to describe any of our products as “DRC conflict free,” an independent private sector audit has not been conducted nor is it required for this reporting period.


3



VI.
Smelters or Refineries
We present in this report a list of smelters or refineries provided by those of our suppliers who completed the smelter list on the Template, to the extent reasonably determinable, and that may have provided conflict minerals in any of the Covered Products. This table below includes only facilities, to the extent known, that have been validated by the CFSI as facilities that are certified Conflict-Free or are listed in the Template as a “known smelters or refineries.” Smelters and refineries that are denoted with an asterisk (*) in the table below have received a “conflict free” designation from an independent third party audit program or are “active” smelters or refineries in pursuit of a “conflict free” designation as of May 20, 2015.

Metal
Smelter or Refiner Facility Name
Gold
Advanced Chemical Company
Gold
Aida Chemical Industries Co. Ltd. (*)
Gold
Allgemeine Gold-und Silberscheideanstalt A.G. (*)
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Gold
AngloGold Ashanti Córrego do Sítio Minerção (*)
Gold
Argor-Heraeus SA (*)
Gold
Asahi Pretec Corporation (*)
Gold
Asaka Riken Co Ltd (*)
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. (*)
Gold
Aurubis AG (*)
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Gold
Bauer Walser AG
Gold
Boliden AB (*)
Gold
C. Hafner GmbH + Co. KG (*)
Gold
Caridad
Gold
CCR Refinery - Glencore Canada Corporation (*)
Gold
Cendres + Métaux SA (*)
Gold
Chimet S.p.A. (*)
Gold
China National Gold Group Corporation
Gold
Chugai Mining
Gold
Colt Refining
Gold
Daejin Indus Co. Ltd
Gold
Daye Non-Ferrous Metals Mining Ltd.
Gold
Do Sung Corporation
Gold
Doduco (*)
Gold
Dowa (*)
Gold
Eco-System Recycling Co., Ltd. (*)
Gold
FSE Novosibirsk Refinery
Gold
Gansu Seemine Material Hi-Tech Co Ltd
Gold
Guangdong Jinding Gold Limited
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
Gold
Heimerle + Meule GmbH (*)
Gold
Heraeus Ltd. Hong Kong (*)
Gold
Heraeus Precious Metals GmbH & Co. KG (*)
Gold
Hunan Chenzhou Mining Group Co., Ltd.
Gold
Hwasung CJ Co. Ltd

4



Metal
Smelter or Refiner Facility Name
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
Gold
Ishifuku Metal Industry Co., Ltd. (*)
Gold
Istanbul Gold Refinery (*)
Gold
Japan Mint (*)
Gold
Jiangxi Copper Company Limited
Gold
Johnson Matthey Inc (*)
Gold
Johnson Matthey Ltd (*)
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant (*)
Gold
JSC Uralelectromed (*)
Gold
JX Nippon Mining & Metals Co., Ltd. (*)
Gold
Kazzinc Ltd (*)
Gold
Kennecott Utah Copper LLC (*)
Gold
Kojima Chemicals Co., Ltd (*)
Gold
Korea Metal Co. Ltd
Gold
Kyrgyzaltyn JSC (*)
Gold
L' azurde Company For Jewelry (*)
Gold
Lingbao Gold Company Limited
Gold
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
Gold
LS-NIKKO Copper Inc. (*)
Gold
Luoyang Zijin Yinhui Metal Smelt Co Ltd
Gold
Materion (*)
Gold
Matsuda Sangyo Co., Ltd. (*)
Gold
Metalor Technologies (Hong Kong) Ltd (*)
Gold
Metalor Technologies (Singapore) Pte. Ltd. (*)
Gold
Metalor Technologies SA (*)
Gold
Metalor USA Refining Corporation (*)
Gold
Met-Mex Peñoles, S.A. (*)
Gold
Mitsubishi Materials Corporation (*)
Gold
Mitsui Mining and Smelting Co., Ltd. (*)
Gold
Moscow Special Alloys Processing Plant
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª. (*)
Gold
Navoi Mining and Metallurgical Combinat
Gold
Nihon Material Co. LTD (*)
Gold
Ohio Precious Metals, LLC (*)
Gold
Ohura Precious Metal Industry Co., Ltd (*)
Gold
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) (*)
Gold
OJSC Kolyma Refinery
Gold
PAMP SA (*)
Gold
Penglai Penggang Gold Industry Co Ltd
Gold
Prioksky Plant of Non-Ferrous Metals
Gold
PT Aneka Tambang (Persero) Tbk (*)
Gold
PX Précinox SA (*)
Gold
Rand Refinery (Pty) Ltd (*)
Gold
Republic Metals Corporation (*)
Gold
Royal Canadian Mint (*)

5



Metal
Smelter or Refiner Facility Name
Gold
Sabin Metal Corp.
Gold
Samduck Precious Metals
Gold
SAMWON METALS Corp.
Gold
Schone Edelmetaal (*)
Gold
SEMPSA Joyería Platería SA (*)
Gold
Shandong Zhaojin Gold & Silver Refinery Co. Ltd (*)
Gold
Sichuan Tianze Precious Metals Co., Ltd
Gold
So Accurate Group, Inc.
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals (*)
Gold
Solar Applied Materials Technology Corp. (*)
Gold
Sumitomo Metal Mining Co., Ltd. (*)
Gold
Tanaka Kikinzoku Kogyo K.K. (*)
Gold
The Great Wall Gold and Silver Refinery of China
Gold
The Refinery of Shandong Gold Mining Co. Ltd (*)
Gold
Tokuriki Honten Co., Ltd (*)
Gold
Tongling nonferrous Metals Group Co.,Ltd
Gold
Torecom (*)
Gold
Umicore Brasil Ltda (*)
Gold
Umicore Precious Metals Thailand (*)
Gold
Umicore SA Business Unit Precious Metals Refining (*)
Gold
United Precious Metal Refining, Inc. (*)
Gold
Valcambi SA (*)
Gold
Western Australian Mint trading as The Perth Mint (*)
Gold
YAMAMOTO PRECIOUS METAL CO., LTD. (*)
Gold
Yokohama Metal Co Ltd (*)
Gold
Yunnan Copper Industry Co Ltd
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation (*)
Gold
Zijin Mining Group Co. Ltd (*)
Tantalum
Changsha South Tantalum Niobium Co., Ltd. (*)
Tantalum
Conghua Tantalum and Niobium Smeltry (*)
Tantalum
Duoluoshan (*)
Tantalum
Exotech Inc. (*)
Tantalum
F&X Electro-Materials Ltd. (*)
Tantalum
Global Advanced Metals Aizu (*)
Tantalum
Global Advanced Metals Boyertown (*)
Tantalum
Guangdong Zhiyuan New Material Co., Ltd. (*)
Tantalum
H.C. Starck Co., Ltd. (*)
Tantalum
H.C. Starck GmbH Goslar (*)
Tantalum
H.C. Starck GmbH Laufenburg (*)
Tantalum
H.C. Starck Hermsdorf GmbH (*)
Tantalum
H.C. Starck Inc. (*)
Tantalum
H.C. Starck Ltd. (*)
Tantalum
H.C. Starck Smelting GmbH & Co.KG (*)
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd. (*)
Tantalum
Hi-Temp (*)

6



Metal
Smelter or Refiner Facility Name
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd. (*)
Tantalum
Jiujiang Tanbre Co., Ltd. (*)
Tantalum
KEMET Blue Metals (*)
Tantalum
KEMET Blue Powder (*)
Tantalum
King-Tan Tantalum Industry Ltd (*)
Tantalum
LSM Brasil S.A. (*)
Tantalum
Metallurgical Products India (Pvt.) Ltd. (*)
Tantalum
Mineração Taboca S.A. (*)
Tantalum
Mitsui Mining & Smelting (*)
Tantalum
Molycorp Silmet A.S. (*)
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd. (*)
Tantalum
Plansee SE Liezen (*)
Tantalum
Plansee SE Reutte (*)
Tantalum
QuantumClean (*)
Tantalum
RFH Tantalum Smeltry Co., Ltd (*)
Tantalum
Shanghai Jiangxi Metals Co. Ltd
Tantalum
Solikamsk Magnesium Works OAO (*)
Tantalum
Taki Chemicals (*)
Tantalum
Telex (*)
Tantalum
Ulba (*)
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd
Tantalum
Zhuzhou Cement Carbide (*)
Tin
Alpha (*)
Tin
China Rare Metal Materials Company (*)
Tin
China Tin Group Co., Ltd. (*)
Tin
CNMC (Guangxi) PGMA Co. Ltd.
Tin
Cooper Santa (*)
Tin
CV Gita Pesona
Tin
CV JusTindo
Tin
CV Makmur Jaya
Tin
CV Nurjanah
Tin
CV Serumpun Sebalai
Tin
CV United Smelting (*)
Tin
Dowa (*)
Tin
EM Vinto (*)
Tin
Estanho de Rondônia S.A.
Tin
Fenix Metals (*)
Tin
Gejiu Kai Meng Industry and Trade LLC
Tin
Gejiu Non-Ferrous Metal Processing Co. Ltd. (*)
Tin
Gejiu Zi-Li
Tin
Huichang Jinshunda Tin Co. Ltd
Tin
Jiangxi Nanshan
Tin
Linwu Xianggui Smelter Co
Tin
Magnu's Minerais Metais e Ligas LTDA (*)
Tin
Malaysia Smelting Corporation (MSC) (*)

7



Metal
Smelter or Refiner Facility Name
Tin
Melt Metais e Ligas S/A (*)
Tin
Metallo Chimique (*)
Tin
Mineração Taboca S.A. (*)
Tin
Minsur (*)
Tin
Mitsubishi Materials Corporation (*)
Tin
Novosibirsk Integrated Tin Works
Tin
O.M. Manufacturing (Thailand) Co., Ltd. (*)
Tin
O.M. Manufacturing Philippines, Inc.
Tin
OMSA (*)
Tin
PT Alam Lestari Kencana
Tin
PT Artha Cipta Langgeng (*)
Tin
PT Babel Inti Perkasa (*)
Tin
PT Babel Surya Alam Lestari
Tin
PT Bangka Kudai Tin
Tin
PT Bangka Putra Karya (*)
Tin
PT Bangka Timah Utama Sejahtera
Tin
PT Bangka Tin Industry (*)
Tin
PT Belitung Industri Sejahtera (*)
Tin
PT BilliTin Makmur Lestari (*)
Tin
PT Bukit Timah (*)
Tin
PT DS Jaya Abadi (*)
Tin
PT Eunindo Usaha Mandiri (*)
Tin
PT Fang Di MulTindo
Tin
PT HP Metals Indonesia
Tin
PT Karimun Mining
Tin
PT Koba Tin
Tin
PT Mitra Stania Prima (*)
Tin
PT Panca Mega Persada (*)
Tin
PT Pelat Timah Nusantara Tbk
Tin
PT Prima Timah Utama (*)
Tin
PT REFINED BANGKA TIN (*)
Tin
PT Sariwiguna Binasentosa (*)
Tin
PT Seirama Tin Investment
Tin
PT Stanindo Inti Perkasa (*)
Tin
PT Sumber Jaya Indah (*)
Tin
PT Supra Sukses Trinusa
Tin
PT Tambang Timah (*)
Tin
PT Timah (Persero), Tbk (*)
Tin
PT Tinindo Inter Nusa (*)
Tin
PT Yinchendo Mining Industry
Tin
Rui Da Hung (*)
Tin
Soft Metais, Ltda. (*)
Tin
Thaisarco (*)
Tin
White Solder Metalurgia e Mineração Ltda. (*)
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. (*)

8



Metal
Smelter or Refiner Facility Name
Tin
Yunnan Tin Company, Ltd. (*)
Tungsten
A.L.M.T. Corp. (*)
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd. (*)
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd. (*)
Tungsten
Dayu Weiliang Tungsten Co., Ltd. (*)
Tungsten
Fujian Jinxin Tungsten Co., Ltd. (*)
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd. (*)
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd. (*)
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd. (*)
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd. (*)
Tungsten
Global Tungsten & Powders Corp. (*)
Tungsten
Guangdong Xianglu Tungsten Co., Ltd. (*)
Tungsten
H.C. Starck GmbH (*)
Tungsten
H.C. Starck Smelting GmbH & Co.KG (*)
Tungsten
Hunan Chenzhou Mining Group Co., Ltd. (*)
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd. (*)
Tungsten
Japan New Metals Co., Ltd. (*)
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd. (*)
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
Tungsten
Jiangxi Richsea New Materials Co., Ltd.
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. (*)
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd. (*)
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd. (*)
Tungsten
Kennametal Fallon (*)
Tungsten
Kennametal Huntsville (*)
Tungsten
Malipo Haiyu Tungsten Co., Ltd. (*)
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC (*)
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd. (*)
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd (*)
Tungsten
Wolfram Bergbau und Hütten AG (*)
Tungsten
Wolfram Company CJSC (*)
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd. (*)
Tungsten
Xiamen Tungsten Co., Ltd. (*)
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd. (*)
Countries of origin of the conflict minerals these facilities process are believed to include:

Argentina, Australia, Bolivia, Brazil, Burundi, Canada, Chile, China, Columbia, Democratic Republic of Congo, Ethiopia, Germany, Hong Kong, India, Indonesia, Japan, Kazakhstan, Korea, Laos, Malaysia, Mexico, Mozambique, Namibia, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Republic of Congo, Russia, Rwanda, Sierra Leone, South Africa, Spain, Switzerland, Thailand, United Kingdom, United States, Vietnam, Zimbabwe

VII.
Due Diligence Improvement Efforts
We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a

9



supplier whose due diligence needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to those above, we will undertake the following steps during the next reporting period:
Continue to collect responses from suppliers using the CMRT.
Continue to work directly with our suppliers to provide more complete responses as a number of suppliers have been unable to determine the origin of the 3TG or to determine whether they come from recycled or scrap sources.
Continue our membership in CFSI.
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.
Continue to allow verified conflict-free material from the region to enter our supply chain.

VIII.
Additional Information
    
The statements above are based on the RCOI process and due diligence performed in good faith by Infinera. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our status with respect to this report. These factors include, but are not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, all instances of conflict minerals necessary to the functionality or manufacturing of our products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, errors in public data, language barriers and translation, oversights or errors in conflict free smelter audits, Covered Countries sourced materials being declared secondary materials, companies going out of business in 2015, certification programs being not equally advanced for all industry segments and metals, continuing guidance regarding the SEC final rules, and smuggling of conflict minerals from the Covered Countries to countries beyond the Covered Countries.


10