EX-1.01 2 d391153dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

MACOM TECHNOLOGY SOLUTIONS HOLDINGS, INC.

Conflict Minerals Report

For The Year Ended December 31, 2016

Introduction

This Conflict Minerals Report (“CMR”) for the year ended December 31, 2016 is being filed as provided for in Rule 13p-1 and Form SD under the Securities Exchange Act of 1934, as amended (collectively, the “Rule”). As used herein, “Conflict Minerals” or “3TG” are cassiterite, columbite-tantalite (“coltan”), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten.

MACOM Technology Solutions Holdings Inc., also referred to as “the Company”, “MACOM”, “we”, “our”, and “us” is a leading provider of high-performance analog semiconductor solutions that enable next-generation internet applications, the cloud connected apps economy, and the modern, networked battlefield across the radio frequency, microwave, millimeterwave and photonic spectrum. We offer a broad portfolio of over 4,500 standard and custom devices, which include integrated circuits, multi-chip modules, power pallets and transistors, diodes, amplifiers, switches and switch limiters, passive and active components and complete subsystems, across more than 40 product lines.

Each of the foregoing product categories contains in-scope products for purposes of our compliance with the Rule. Our in-scope products contained tantalum, tungsten, tin and gold, although not each of our in-scope products contained all of these minerals. We do not directly purchase 3TG from mines, smelters and refiners and instead only purchase products and components that contain 3TG. MACOM does not seek to embargo sourcing from the Democratic Republic of Congo and its adjoining countries (the “Covered Countries”), and is committed to sourcing responsibly. We have adopted a policy and related procedures, as described below in this CMR, focused on our commitment to sourcing components and materials from suppliers that share our ethical values and that support compliance with MACOM’s disclosure related to 3TG. MACOM further expects all suppliers to seek to purchase materials that contain 3TG from sources determined not to be involved in funding conflict in the Covered Countries.

RCOI and Due Diligence Processes

MACOM determined which of our products and components were potentially in-scope for the purposes of the Rule through product specifications, preliminary supplier analysis and other information known to us concerning the composition of our products. Following our scoping analysis, we also performed a Reasonable Country of Origin Inquiry (“RCOI”) on suppliers believed to have provided MACOM with materials or components containing 3TG necessary to the functionality or production of MACOM’s products (the “Suppliers”). Our RCOI is discussed in further detail later in this CMR.

Our 3TG due diligence processes were based on the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition) (“OECD Due Diligence Guidance”), an internationally recognized due diligence framework. Our diligence measures were based on certain processes put in place for the Company’s RCOI and included the following:

Company Management Systems

MACOM established strong management systems according to Step 1 of the OECD Due Diligence Guidance. MACOM’s systems included the following:

 

  •   MACOM has adopted and implemented a conflict minerals policy (the “Policy”). The Policy indicates that we expect all suppliers of our products and materials to cooperate with our 3TG procedures. The Policy is publicly available on MACOM’s website at http://www.macom.com/about/sustainability-quality--reliabil, and is sent to Suppliers as part of the RCOI process. The Policy is also referenced in customer communications.

 

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  •   MACOM has structured internal management to support its 3TG compliance program. The Senior Manager, Compliance & Quality Systems leads a team directly responsible for the management of our 3TG compliance program. The team also includes members from our Operations, Legal, Procurement and Quality departments. Senior management and key internal stakeholders receive reports regarding the advancement and conclusions of the program. MACOM has also enlisted a third party information management service provider (the “Service Provider”) and specialist outside counsel to assist in our due diligence and/or other 3TG compliance activities. The measures described in this CMR were either taken by the Company or the Service Provider acting on its behalf.

 

  •   MACOM’s engagement with suppliers to support their compliance with the Rule includes terms and conditions relating to 3TG compliance in our standard form purchasing terms and conditions. In addition, our templates for supplier agreements also reference 3TG compliance.

 

  •   MACOM has established a system of transparency, information collection and control over the 3TG supply chain. This system includes a process to collect required supplier RCOI data, utilizing the then latest Revision of the Conflict Minerals Reporting Template (“CMRT”). Additional details on our supply chain data gathering are included in the RCOI and due diligence sections of this CMR. This information is retained electronically for at least five years.

 

  •   MACOM implemented a plan to improve the quantity and quality of supplier responses year over year. Outreach for specific suppliers is coordinated between MACOM’s 3TG team and our Procurement department to address outstanding and incomplete data.

 

  •   MACOM has a dedicated Conflict Minerals email address through which MACOM’s employees, suppliers and other third parties can voice any concerns regarding potential violations of MACOM’s conflict minerals policy without any fear of retribution. The dedicated Conflict Minerals email address is conflictminerals@macom.com. The forgoing serves as our grievance mechanism.

Reasonable Country of Origin Inquiry (RCOI)

MACOM’s RCOI is designed in accordance with Step Two of the OECD Due Diligence Guidance design framework, with the specific goal of determining whether the 3TG in the in-scope products originated from a Covered Country. MACOM’s RCOI process involved two stages: Supplier RCOI and SOR RCOI, as described below.

Supplier RCOI

MACOM designed its Supplier RCOI process to identify, to MACOM’s reasonable efforts, the smelters and refiners (the “SORs”) that are potentially in MACOM’s supply chain. Our Supplier RCOI process for the 2016 reporting period included the following:

 

  •   Developing the list of direct Suppliers providing 3TG containing components to MACOM, prioritizing by spend.

 

  •   Contacting each Supplier and requesting completion of a CMRT, including SOR information.

 

  •   Following up by email or phone with Suppliers that did not respond to the request within a specified time frame.

 

  •   Reviewing Supplier responses for accuracy, completeness and plausibility.

 

  •   Amalgamating the Supplier provided SOR information into a single list of SORs meeting the definition of a SOR under the Conflict-Free Sourcing Program (“CFSP”) protocols for tin and tantalum, tungsten or gold.

 

  •   Reviewing the final SOR list (and comparing it with industry peers) to help inform whether MACOM identified the SORs in its supply chain.

 

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As of January 30, 2017, we achieved a response rate of 96% for our supply chain survey regarding our Supplier RCOI. The remaining 4% represented only 0.1% of relevant vendor spend. Through the RCOI process, our Suppliers identified 298 valid SORs. The list of identified SORs is included under the “Identified Smelter and Refiners” section below.

For the 2016 reporting period, MACOM’s RCOI and due diligence was executed by MACOM’s Service Provider.

Due Diligence

MACOM’s due diligence process was designed in accordance with the applicable sections of the OECD Due Diligence Guidance.

SOR RCOI and Due Diligence

MACOM’s SOR RCOI and due diligence process were designed to:

 

  •   Identify the scope of the risk assessment of the 3TG supply chain.

 

  •   Assess whether the SORs have carried out all elements of due diligence for responsible supply chains of 3TG from conflict-affected and high-risk areas.

 

  •   Where necessary, carry out, including through participation in industry-driven programs, joint spot checks at the 3TG SORs own facilities.

MACOM’s SOR RCOI and due diligence process for the 2016 reporting period included the following steps for each SOR identified by Suppliers as potentially in MACOM’s supply chain:

 

  •   Engagement directly with the SOR (including information publicly available on the SOR’s website or its relevant industry association) to ascertain whether or not the SOR sources from the Covered Countries.

 

  •   For SORs that declared directly or through their relevant industry association that they did not source from the Covered Countries, and were not listed as Compliant by the CFSP, the Service Provider reviewed the SOR’s declaration against publicly available information to determine if there was any contrary evidence to the SOR’s declaration. The sources reviewed included: (1) a public internet search of the facility in combination with each of the Covered Countries; (2) specific NGO publications (including those of the Enough Project, Global Witness, Southern Africa Resource Watch and Radio Okapi); and (3) the most recent UN Group of Experts report on the DRC.

 

  •   For SORs that did not respond to direct engagement, the Service Provider reviewed publicly available sources to determine if there was “any reason to believe” that the SOR may have sourced from a Covered Country during the reporting period. For this review, the same sources as listed above were used.

 

  •   MACOM’s risk mitigation plan includes a requirement for high risk SORs (SORs sourcing from, or there is reason to believe they are sourcing from the Covered Countries) to be audited and certified “Compliant” by the CFSP or to be CFSP “Active”.

 

  •   For high risk SORs that have not been audited and listed as “Compliant” by the CFSP, MACOM conducted risk mitigation on the SOR according to the OECD Due Diligence Guidance and communicated the results of these activities to a designated member of senior management.

 

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MACOM’s suppliers identified 298 SORs. Through the activities mentioned above, MACOM identified 32 SORs that source, or there is reason to believe they source, from the Covered Countries. MACOM determined that these 32 SORs have been audited and listed as “Compliant” by the CFSP as of May 15, 2017.

Risk Mitigation

MACOM’s risk mitigation process is consistent with the OECD Due Diligence Guidance and is designed to help prevent an unnecessary sourcing embargo from the Covered Countries.

MACOM’s risk mitigation plan includes an assessment of certain non-Compliant identified SORs that are treated as higher-risk based on their location, to determine if they processed 3TG contained in the specific products, components or materials sold to MACOM. SORs determined not to be in MACOM’s supply chain are removed from further consideration and risk mitigation.

Independent Audit of Supply Chain Due Diligence at Identified Points

MACOM does not have a direct relationship with 3TG SORs and, therefore, does not perform direct audits of these entities within its supply chain. We utilize and rely on the audit protocols of and audit results published by the CFSP for this step of the OECD Due Diligence Guidance framework.

Report on Supply Chain Due Diligence

MACOM’s Form SD and Conflict Minerals Report are annually filed and are publicly available on our website.

Identified Smelters and Refiners

In connection with our SOR RCOI or due diligence, as applicable, the Suppliers identified to us the SORs listed below as having potentially processed the necessary 3TG contained in our in-scope products in 2016. Please see the notes that accompany the table for information concerning the data in the table.

 

Mineral

   

SOR Name

   

SOR Location

   

Status

Gold    Advanced Chemical Company    United States of America    Compliant
Gold    Aida Chemical Industries Co., Ltd.    Japan    Compliant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    Germany    Compliant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan    Compliant
Gold    AngloGold Ashanti Córrego do Sítio Mineração    Brazil    Compliant
Gold    Argor-Heraeus S.A.    Switzerland    Compliant
Gold    Asahi Pretec Corp.    Japan    Compliant
Gold    Asahi Refining Canada Ltd.    Canada    Compliant
Gold    Asahi Refining USA Inc.    United States of America    Compliant
Gold    Asaka Riken Co., Ltd.    Japan    Compliant
Gold    AU Traders and Refiners    South Africa    Compliant
Gold    Aurubis AG    Germany    Compliant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines    Compliant
Gold    Boliden AB    Sweden    Compliant
Gold    C. Hafner GmbH + Co. KG    Germany    Compliant
Gold    CCR Refinery - Glencore Canada Corporation    Canada    Compliant
Gold    Chimet S.p.A.    Italy    Compliant
Gold    Daejin Indus Co., Ltd.    Korea (Republic of)    Compliant

 

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Gold    DODUCO GmbH    Germany    Compliant
Gold    Dowa    Japan    Compliant
Gold    DSC (Do Sung Corporation)    Korea (Republic of)    Compliant
Gold    Eco-System Recycling Co., Ltd.    Japan    Compliant
Gold    Elemetal Refining, LLC    United States of America    Compliant
Gold    Emirates Gold DMCC    United Arab Emirates    Compliant
Gold    Geib Refining Corporation    United States of America    Compliant
Gold    Heimerle + Meule GmbH    Germany    Compliant
Gold    Heraeus Ltd. Hong Kong    China    Compliant
Gold    Heraeus Precious Metals GmbH & Co. KG    Germany    Compliant
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China    Compliant
Gold    Ishifuku Metal Industry Co., Ltd.    Japan    Compliant
Gold    Istanbul Gold Refinery    Turkey    Compliant
Gold    Japan Mint    Japan    Compliant
Gold    Jiangxi Copper Co., Ltd.    China    Compliant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russian Federation    Compliant
Gold    JSC Uralelectromed    Russian Federation    Compliant
Gold    JX Nippon Mining & Metals Co., Ltd.    Japan    Compliant
Gold    Kazzinc    Kazakhstan    Compliant
Gold    Kennecott Utah Copper LLC    United States of America    Compliant
Gold    Kojima Chemicals Co., Ltd.    Japan    Compliant
Gold    Korea Zinc Co., Ltd.    Korea (Republic of)    Compliant
Gold    Kyrgyzaltyn JSC    Kyrgyzstan    Compliant
Gold    LS-NIKKO Copper Inc.    Korea (Republic of)    Compliant
Gold    Materion    United States of America    Compliant
Gold    Matsuda Sangyo Co., Ltd.    Japan    Compliant
Gold    Metalor Technologies (Hong Kong) Ltd.    China    Compliant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore    Compliant
Gold    Metalor Technologies (Suzhou) Ltd.    China    Compliant
Gold    Metalor Technologies S.A.    Switzerland    Compliant
Gold    Metalor USA Refining Corporation    United States of America    Compliant
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    Mexico    Compliant
Gold    Mitsubishi Materials Corporation    Japan    Compliant
Gold    Mitsui Mining and Smelting Co., Ltd.    Japan    Compliant
Gold    MMTC-PAMP India Pvt., Ltd.    India    Compliant
Gold    Moscow Special Alloys Processing Plant    Russian Federation    Compliant
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    Turkey    Compliant
Gold    Nihon Material Co., Ltd.    Japan    Compliant
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    Austria    Compliant
Gold    Ohura Precious Metal Industry Co., Ltd.    Japan    Compliant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russian Federation    Compliant

 

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Gold    OJSC Novosibirsk Refinery    Russian Federation    Compliant
Gold    PAMP S.A.    Switzerland    Compliant
Gold    Prioksky Plant of Non-Ferrous Metals    Russian Federation    Compliant
Gold    PT Aneka Tambang (Persero) Tbk    Indonesia    Compliant
Gold    PX Précinox S.A.    Switzerland    Compliant
Gold    Rand Refinery (Pty) Ltd.    South Africa    Compliant
Gold    Republic Metals Corporation    United States of America    Compliant
Gold    Royal Canadian Mint    Canada    Compliant
Gold    Samduck Precious Metals    Korea (Republic of)    Compliant
Gold    SAXONIA Edelmetalle GmbH    Germany    Compliant
Gold    Schone Edelmetaal B.V.    Netherlands    Compliant
Gold    SEMPSA Joyería Platería S.A.    Spain    Compliant
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China    Compliant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    China    Compliant
Gold    Singway Technology Co., Ltd.    Taiwan, Province of China    Compliant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation    Compliant
Gold    Solar Applied Materials Technology Corp.    Taiwan, Province of China    Compliant
Gold    Sumitomo Metal Mining Co., Ltd.    Japan    Compliant
Gold    T.C.A S.p.A    Italy    Compliant
Gold    Tanaka Kikinzoku Kogyo K.K.    Japan    Compliant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    China    Compliant
Gold    Tokuriki Honten Co., Ltd.    Japan    Compliant
Gold    Torecom    Korea (Republic of)    Compliant
Gold    Umicore Brasil Ltda.    Brazil    Compliant
Gold    Umicore Precious Metals Thailand    Thailand    Compliant
Gold    Umicore S.A. Business Unit Precious Metals Refining    Belgium    Compliant
Gold    United Precious Metal Refining, Inc.    United States of America    Compliant
Gold    Valcambi S.A.    Switzerland    Compliant
Gold    Western Australian Mint trading as The Perth Mint    Australia    Compliant
Gold    WIELAND Edelmetalle GmbH    Germany    Compliant
Gold    Yamamoto Precious Metal Co., Ltd.    Japan    Compliant
Gold    Yokohama Metal Co., Ltd.    Japan    Compliant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China    Compliant
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    China    Compliant
Gold    Bangalore Refinery    India    Active
Gold    Cendres + Métaux S.A.    Switzerland    Active
Gold    KGHM Polska Miedź Spółka Akcyjna    Poland    Active
Gold    Modeltech Sdn Bhd    Malaysia    Active
Gold    Navoi Mining and Metallurgical Combinat    Uzbekistan    Active
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey    On Reference List Only

 

6

Gold    Caridad    Mexico    On Reference List Only
Gold    Chugai Mining    Japan    On Reference List Only
Gold    Daye Non-Ferrous Metals Mining Ltd.    China    On Reference List Only
Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    China    On Reference List Only
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    China    On Reference List Only
Gold    Guangdong Jinding Gold Limited    China    On Reference List Only
Gold    Gujarat Gold Centre    India    On Reference List Only
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China    On Reference List Only
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China    On Reference List Only
Gold    Hunan Chenzhou Mining Co., Ltd.    China    On Reference List Only
Gold    HwaSeong CJ Co., Ltd.    Korea (Republic of)    On Reference List Only
Gold    Kazakhmys Smelting LLC    Kazakhstan    On Reference List Only
Gold    L’azurde Company For Jewelry    Saudi Arabia    On Reference List Only
Gold    Lingbao Gold Co., Ltd.    China    On Reference List Only
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China    On Reference List Only
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China    On Reference List Only
Gold    Morris and Watson    New Zealand    On Reference List Only
Gold    Penglai Penggang Gold Industry Co., Ltd.    China    On Reference List Only
Gold    Remondis Argentia B.V.    Netherlands    On Reference List Only
Gold    SAAMP    France    On Reference List Only
Gold    Sabin Metal Corp.    United States of America    On Reference List Only
Gold    SAFINA A.S.    Czech Republic    On Reference List Only
Gold    Samwon Metals Corp.    Korea (Republic of)    On Reference List Only
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China    On Reference List Only
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation    On Reference List Only
Gold    So Accurate Group, Inc.    United States of America    On Reference List Only
Gold    Tongling Nonferrous Metals Group Co., Ltd.    China    On Reference List Only
Gold    TOO Tau-Ken-Altyn    Kazakhstan    On Reference List Only
Gold    Yunnan Copper Industry Co., Ltd.    China    On Reference List Only
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    China    Compliant
Tantalum    Conghua Tantalum and Niobium Smeltry    China    Compliant
Tantalum    D Block Metals, LLC    United States of America    Compliant
Tantalum    Duoluoshan    China    Compliant
Tantalum    Exotech Inc.    United States of America    Compliant
Tantalum    F&X Electro-Materials Ltd.    China    Compliant
Tantalum    FIR Metals & Resource Ltd.    China    Compliant
Tantalum    Global Advanced Metals Aizu    Japan    Compliant
Tantalum    Global Advanced Metals Boyertown    United States of America    Compliant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    China    Compliant
Tantalum    H.C. Starck Co., Ltd.    Thailand    Compliant
Tantalum    H.C. Starck GmbH Goslar    Germany    Compliant

 

7

Tantalum    H.C. Starck Hermsdorf GmbH    Germany    Compliant
Tantalum    H.C. Starck Inc.    United States of America    Compliant
Tantalum    H.C. Starck Ltd.    Japan    Compliant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    Germany    Compliant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    China    Compliant
Tantalum    Hi-Temp Specialty Metals, Inc.    United States of America    Compliant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China    Compliant
Tantalum    Jiangxi Tuohong New Raw Material    China    Compliant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China    Compliant
Tantalum    Jiujiang Tanbre Co., Ltd.    China    Compliant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China    Compliant
Tantalum    KEMET Blue Metals    Mexico    Compliant
Tantalum    KEMET Blue Powder    United States of America    Compliant
Tantalum    King-Tan Tantalum Industry Ltd.    China    Compliant
Tantalum    LSM Brasil S.A.    Brazil    Compliant
Tantalum    Metallurgical Products India Pvt., Ltd.    India    Compliant
Tantalum    Mineração Taboca S.A.    Brazil    Compliant
Tantalum    Mitsui Mining & Smelting    Japan    Compliant
Tantalum    Molycorp Silmet A.S.    Estonia    Compliant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China    Compliant
Tantalum    Power Resources Ltd.    Macedonia (The Former Yugoslav Republic of)    Compliant
Tantalum    QuantumClean    United States of America    Compliant
Tantalum    Resind Indústria e Comércio Ltda.    Brazil    Compliant
Tantalum    RFH Tantalum Smeltry Co., Ltd.    China    Compliant
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation    Compliant
Tantalum    Taki Chemical Co., Ltd.    Japan    Compliant
Tantalum    Telex Metals    United States of America    Compliant
Tantalum    Tranzact, Inc.    United States of America    Compliant
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan    Compliant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    China    Compliant
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    China    Compliant
Tantalum    Zhuzhou Cemented Carbide Group Co., Ltd.    China    Compliant
Tin    Alpha    United States of America    Compliant
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China    Compliant
Tin    China Tin Group Co., Ltd.    China    Compliant
Tin    Cooperativa Metalurgica de Rondônia Ltda.    Brazil    Compliant
Tin    CV Ayi Jaya    Indonesia    Compliant
Tin    CV Dua Sekawan    Indonesia    Compliant
Tin    CV Gita Pesona    Indonesia    Compliant
Tin    CV Serumpun Sebalai    Indonesia    Compliant
Tin    CV Tiga Sekawan    Indonesia    Compliant

 

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Tin    CV United Smelting    Indonesia    Compliant
Tin    CV Venus Inti Perkasa    Indonesia    Compliant
Tin    Dowa    Japan    Compliant
Tin    Elmet S.L.U.    Spain    Compliant
Tin    EM Vinto    Bolivia (Plurinational State of)    Compliant
Tin    Fenix Metals    Poland    Compliant
Tin    Gejiu Jinye Mineral Company    China    Compliant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China    Compliant
Tin    HuiChang Hill Tin Industry Co., Ltd.    China    Compliant
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    China    Compliant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil    Compliant
Tin    Malaysia Smelting Corporation (MSC)    Malaysia    Compliant
Tin    Melt Metais e Ligas S.A.    Brazil    Compliant
Tin    Metallic Resources, Inc.    United States of America    Compliant
Tin    Metallo-Chimique N.V.    Belgium    Compliant
Tin    Mineração Taboca S.A.    Brazil    Compliant
Tin    Minsur    Peru    Compliant
Tin    Mitsubishi Materials Corporation    Japan    Compliant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand    Compliant
Tin    O.M. Manufacturing Philippines, Inc.    Philippines    Compliant
Tin    Operaciones Metalurgical S.A.    Bolivia (Plurinational State of)    Compliant
Tin    PT Aries Kencana Sejahtera    Indonesia    Compliant
Tin    PT Artha Cipta Langgeng    Indonesia    Compliant
Tin    PT ATD Makmur Mandiri Jaya    Indonesia    Compliant
Tin    PT Babel Inti Perkasa    Indonesia    Compliant
Tin    PT Bangka Prima Tin    Indonesia    Compliant
Tin    PT Bangka Tin Industry    Indonesia    Compliant
Tin    PT Belitung Industri Sejahtera    Indonesia    Compliant
Tin    PT Bukit Timah    Indonesia    Compliant
Tin    PT Cipta Persada Mulia    Indonesia    Compliant
Tin    PT DS Jaya Abadi    Indonesia    Compliant
Tin    PT Eunindo Usaha Mandiri    Indonesia    Compliant
Tin    PT Inti Stania Prima    Indonesia    Compliant
Tin    PT Karimun Mining    Indonesia    Compliant
Tin    PT Kijang Jaya Mandiri    Indonesia    Compliant
Tin    PT Mitra Stania Prima    Indonesia    Compliant
Tin    PT O.M. Indonesia    Indonesia    Compliant
Tin    PT Panca Mega Persada    Indonesia    Compliant
Tin    PT Prima Timah Utama    Indonesia    Compliant
Tin    PT Refined Bangka Tin    Indonesia    Compliant
Tin    PT Sariwiguna Binasentosa    Indonesia    Compliant

 

9

Tin    PT Stanindo Inti Perkasa    Indonesia    Compliant
Tin    PT Sukses Inti Makmur    Indonesia    Compliant
Tin    PT Sumber Jaya Indah    Indonesia    Compliant
Tin    PT Timah (Persero) Tbk Kundur    Indonesia    Compliant
Tin    PT Timah (Persero) Tbk Mentok    Indonesia    Compliant
Tin    PT Tinindo Inter Nusa    Indonesia    Compliant
Tin    PT Tommy Utama    Indonesia    Compliant
Tin    PT Wahana Perkit Jaya    Indonesia    Compliant
Tin    Resind Indústria e Comércio Ltda.    Brazil    Compliant
Tin    Rui Da Hung    Taiwan, Province of China    Compliant
Tin    Soft Metais Ltda.    Brazil    Compliant
Tin    Thaisarco    Thailand    Compliant
Tin    VQB Mineral and Trading Group JSC    Vietnam    Compliant
Tin    White Solder Metalurgia e Mineração Ltda.    Brazil    Compliant
Tin    Yunnan Tin Company Limited    China    Compliant
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Vietnam    Active
Tin    Gejiu Kai Meng Industry and Trade LLC    China    Active
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China    Active
Tin    Huichang Jinshunda Tin Co., Ltd.    China    Active
Tin    Modeltech Sdn Bhd    Malaysia    Active
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    China    Active
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China    Active
Tin    An Thai Minerals Co., Ltd.    Vietnam    On Reference List Only
Tin    An Vinh Joint Stock Mineral Processing Company    Vietnam    On Reference List Only
Tin    CNMC (Guangxi) PGMA Co., Ltd.    China    On Reference List Only
Tin    Estanho de Rondônia S.A.    Brazil    On Reference List Only
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    China    On Reference List Only
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Vietnam    On Reference List Only
Tin    PT Justindo    Indonesia    On Reference List Only
Tin    Super Ligas    Brazil    On Reference List Only
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Vietnam    On Reference List Only
Tungsten    A.L.M.T. TUNGSTEN Corp.    Japan    Compliant
Tungsten    Asia Tungsten Products Vietnam Ltd.    Vietnam    Compliant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    China    Compliant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China    Compliant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China    Compliant
Tungsten    Global Tungsten & Powders Corp.    United States of America    Compliant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    China    Compliant
Tungsten    H.C. Starck GmbH    Germany    Compliant
Tungsten    H.C. Starck Smelting GmbH & Co.KG    Germany    Compliant

 

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Tungsten    Hunan Chenzhou Mining Co., Ltd.    China    Compliant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    China    Compliant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    China    Compliant
Tungsten    Hydrometallurg, JSC    Russian Federation    Compliant
Tungsten    Japan New Metals Co., Ltd.    Japan    Compliant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China    Compliant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China    Compliant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China    Compliant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China    Compliant
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    China    Compliant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    China    Compliant
Tungsten    Kennametal Fallon    United States of America    Compliant
Tungsten    Kennametal Huntsville    United States of America    Compliant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    China    Compliant
Tungsten    Moliren Ltd    Russian Federation    Compliant
Tungsten    Niagara Refining LLC    United States of America    Compliant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Vietnam    Compliant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippines    Compliant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    China    Compliant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    Vietnam    Compliant
Tungsten    Unecha Refractory metals plant    Russian Federation    Compliant
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    Vietnam    Compliant
Tungsten    Wolfram Bergbau und Hütten AG    Austria    Compliant
Tungsten    Woltech Korea Co., Ltd.    Korea (Republic of)    Compliant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China    Compliant
Tungsten    Xiamen Tungsten Co., Ltd.    China    Compliant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    China    Compliant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    China    Compliant
Tungsten    ACL Metais Eireli    Brazil    On Reference List Only
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    China    On Reference List Only
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China    On Reference List Only
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    China    On Reference List Only
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    China    On Reference List Only
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    China    On Reference List Only
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China    On Reference List Only
Tungsten    Ganzhou Haichuang Tungsten Industry Co., Ltd.    China    On Reference List Only

 

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The Company notes the following in connection with the information in the table above:

 

a. Not all of the included SORs may have processed the necessary 3TG contained in MACOM’s in-scope products, since some Suppliers reported at a “company level,” meaning that they reported the 3TG contained in all of their products, not just those in the products that they sold MACOM. Some Suppliers also may have reported SORs that were not in MACOM’s supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the SORs above may not include all of the SORs in MACOM’s supply chain, since some Suppliers did not identify all of their SORs and because not all Suppliers responded to MACOM’s inquiries.

 

b. The table only includes entities that are listed as SORs on the Smelter Reference List tab of the CMRT and meet the definition of SORs set out in the CFSP protocols for tin, tantalum, tungsten, and gold.

 

c. Smelter or refiner status information in the table is as of May 15th, 2017.

 

d. “Compliant” means that a SOR was listed as compliant with the CFSP’s assessment protocols, including through mutual recognition. SORs that are listed as “Re-audit in process” by the CFSP are considered to be Compliant by the CFSP. Included SORs were not necessarily Compliant for all or part of 2016 and may not continue to be Compliant for any future period.

 

e. “Active” is a CSFP designation that means that the SOR was listed as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the CFSP or, according to information published by the CFSI, the SOR has agreed to complete a CFSP validation audit within two years of membership issuance by the Tungsten Industry – Conflict Minerals Council.

 

f. “On Reference List Only” means that a SOR is listed on the Smelter Reference List tab of the CMRT, but is not listed as “Compliant” or “Active.”

 

h. SOR location and status reflected in the table is based solely on information made publicly available by the CFSI, without independent verification by MACOM.

Country of Origin Information

The identified countries of origin of the 3TG processed by the SORs listed in the table above are believed to have potentially included the countries in the categories listed below. The categories are organized by risk. These may not be all of the countries from which the identified SORs have sourced, and the identified SORs may not have sourced from all of these countries.

L1 - Countries that are not identified as conflict regions or plausible areas of smuggling or export from the Covered Countries: Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United States of America, Uzbekistan, Vietnam, Zimbabwe.

L2 - Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.

L3 - The DRC and its nine adjoining countries: Burundi, Rwanda and Uganda.

DRC - The Democratic Republic of the Congo.

Alternatively, or in addition, some of the identified SORs have sourced from recycled or scrap sources.

 

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Enhancement Plan

MACOM is taking or intends to continue to take the following steps to enhance the due diligence conducted by it to further mitigate risk that the necessary 3TG in MACOM’s products directly or indirectly benefits or finances armed groups in the Covered Countries:

 

  •   Use the latest major revision of the CMRT for 2017 supplier outreach.

 

  •   Continue to encourage suppliers to take the steps needed to obtain and provide current, accurate and complete information about their SORs by enhancing training materials and through further outreach.

 

  •   Continue to encourage suppliers to source responsibly from SORs that are listed as “Compliant” or “Active” by the CFSP program.

 

  •   Contact identified SORs that are not listed as “Compliant” or “Active” by the CFSP program to request their participation in the program.

Origin Determination

Given the potential limitations affecting the reliability of third-party certification systems and supply chain inquiries that have been cited by certain commentators, we are not expressing a determination that our products are “DRC conflict free” within the meaning of the Rule. However, no information has come to our attention that causes us to believe that any of the 3TG in our products are directly or indirectly financing or benefiting armed groups in a Covered Country.

Forward-Looking Statements

This document contains “forward-looking statements” made within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as “believes,” “anticipates,” “plans,” “may,” “intends,” “will,” “should,” “expects” and similar expressions or the use of the future tense are intended to identify forward-looking statements. In addition, any statements that do not relate to historical or current facts or matters are forward-looking statements. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements within this document include, but are not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties include, but are not limited to: (1) the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all; (2) whether SORs and other market participants responsibly source 3TG; and (3) political and regulatory developments, whether in the Covered Countries, the United States or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of the filing of this document. We do not intend, and undertake no obligation, to publish revised forward-looking statements to reflect events or circumstances after the date of the filing of this document or to reflect the occurrence of unanticipated events.

 

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