EX-1.01 2 clorox3262441-ex101.htm CONFLICT MINERALS REPORT OF THE CLOROX COMPANY

Exhibit 1.01

The Clorox Company
Conflict Minerals Report
for the Year Ended December 31, 2016

This Conflict Minerals Report (this “Report”) of The Clorox Company (the “Company” or “Clorox”) has been prepared pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), for the reporting period from January 1, 2016, to December 31, 2016.

Rule 13p-1 requires disclosure of certain information when a company manufactures or contracts to manufacture products for which the minerals specified in Rule 13p-1 are necessary to the functionality or production of those products. The specified minerals are columbite-tantalite (coltan), cassiterite, gold, and wolframite, including their derivatives, which are limited to tantalum, tin, and tungsten (the “Covered Minerals”). The “Covered Countries” for the purposes of Rule 13p-1 and this Report are the Democratic Republic of the Congo and countries that share an internationally recognized border with the Democratic Republic of the Congo (the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola).

Overview

The Company manufactures and markets consumer and professional products, selling its products primarily through grocery and mass retail outlets, e-commerce channels, wholesale distributors and medical supply distributors. Clorox brand names include its namesake bleach and cleaning products, Pine-Sol® cleaners, Liquid-Plumr® clog removers, Poett® home care products, Fresh Step® cat litter, Glad® bags, wraps and container products, Kingsford® charcoal, Renew Life® digestive health products, Hidden Valley® dressings and sauces, Brita® water-filtration products and Burt’s Bees® natural personal care products. The Company also markets brands through professional services channels, including infection control products for the healthcare industry under Clorox Healthcare® and Clorox Commercial Solutions®. Very few of the Company’s products, whether the Company manufactures them or contracts for their manufacture, contain Covered Minerals that are necessary to the functionality or production of those products. The products that the Company manufactures or contracts to manufacture that contain Covered Minerals are its water filtration products, laundry additives and personal care products.

Description of Reasonable Country of Origin Inquiry

The Company has designed and conducted a good faith reasonable country of origin inquiry to determine whether any of the Covered Minerals contained in its products originated in a Covered Country or might be from recycled or scrap sources. The Company designed its reasonable country of origin inquiry based on a review of the relevant due diligence guidance approved by the Organisation for Economic Co-operation and Development, the Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. The Company’s reasonable country of origin inquiry is described below.


Governance and Management Systems

The Company maintains standards for its suppliers, which are set forth in its Business Partner Code of Conduct (the “Business Partner Code”) and can be found at https://www.thecloroxcompany.com/who-we-are/corporate-governance/codes-of-conduct/. Among other things, the Business Partner Code requires the Company’s suppliers to implement programs to ensure that products do not contain restricted, banned, or unlawfully taken or traded materials, to disclose to the Company the supplier’s due diligence efforts to determine whether its supply chain is free of minerals or materials that finance conflict in the Democratic Republic of the Congo and surrounding countries, or from other countries designated as part of a conflict region, and to provide relevant documentation to the Company upon its request.

In conducting its good faith reasonable country of origin inquiry, the Company used a cross-functional team and designated a single Company contact to coordinate and communicate with its suppliers. The Company also has internal management and record-keeping systems for its Covered Minerals inquiries to facilitate the review and assessment of the supplier responses.

Risk Assessment

The Company’s preliminary risk assessment included a survey of all purchased raw materials, contract manufacturing arrangements, licensees and joint ventures to identify materials and products with a risk of containing Covered Minerals. After identifying the categories of products that might contain Covered Minerals, the Company sent questionnaires to the suppliers in these product categories.

This questionnaire was based on a form created by the Electronic Industry Citizenship Coalition-Global e-Sustainability Initiative. The Company’s survey included questions relating to:

●

confirmation of whether the supplier supplied Covered Minerals to the Company;

●

whether the supplier deemed the Covered Minerals to be necessary to the functionality of the product(s) provided to the Company by the supplier;

●

whether such Covered Minerals were from recycled or scrap sources;

●

whether such Covered Minerals originated from the Covered Countries;

●

from which country/countries such Covered Minerals originated and what diligence the supplier performed to ensure Covered Minerals do not directly or indirectly finance or benefit armed groups in the Covered Countries; and

●

whether the supplier had a conflict-free sourcing policy.

During the supplier survey period, suppliers received up to five reminder notifications from the Company’s survey management system, as well as email and telephone follow-ups by the Company’s sourcing contact for that supplier. The Company reviewed and cataloged the responses to the questionnaires as well as other information it received from suppliers regarding their due diligence efforts to identify the countries of origin of any Covered Minerals, as contemplated by the Business Partner Code.


Results of Good Faith Reasonable Country of Origin Inquiry and Due Diligence

A very small number of suppliers responded that the supplies they sold to the Company contained Covered Minerals. Of these suppliers, (i) one supplier indicated that it had acquired from its sub-tier supplier (the “Reporting Sub-tier Supplier”) components that may have contained Covered Minerals sourced from the Covered Countries (and not 100% from scrap or recycled sources) and (ii) another supplier (the “Reporting Supplier”) indicated that it had acquired from its sub-tier suppliers components that may have contained Covered Minerals sourced from the Covered Countries (and not 100% from scrap or recycled sources). All of the other suppliers that responded that they had sold supplies to the Company that contained Covered Minerals were able to confirm, with supporting documentation and/or explanation, that such Covered Minerals did not originate from the Covered Countries or were from recycled or scrap sources. To further test and assess these results, the Company conducted due diligence by following up in the first instance via email and/or telephone calls with these suppliers to obtain additional information. All of the other suppliers that responded to the questionnaires advised the Company that the materials or products they sold to the Company did not contain Covered Minerals.

The Reporting Sub-tier Supplier provided to the Company’s supplier a Conflict Free Sourcing Initiative’s Conflict Minerals Reporting Template. Pursuant to the Company’s discussions with its supplier, the Conflict Free Sourcing Initiative’s Conflict Minerals Reporting Template indicated that the Reporting Sub-tier Supplier was able to identify 100% of the smelters that provided the Covered Mineral that the Reporting Sub-tier Supplier used to manufacture the one product that contains a Covered Mineral that the Reporting Sub-tier Supplier sold to the Company’s supplier for its further sale to the Company, and that the Reporting Sub-tier Supplier had determined that one smelter (Malaysia Smelting Corporation (MSC) CID001105) may have acquired tin from the Covered Countries. The Company determined that the aforementioned smelter is listed on the Conflict Free Sourcing Initiative’s “compliant smelter” list.

The Reporting Supplier, itself a company subject to Rule 13p-1, provided to the Company a Conflict Free Sourcing Initiative’s Conflict Minerals Reporting Template. The provided Conflict Free Sourcing Initiative’s Conflict Minerals Reporting Template indicated that the Reporting Supplier was able to identify 75% of the smelters that it used to manufacture the products supplied to its customers, including the Company, and a list of the smelters identified by the Reporting Supplier is set forth in Annex I attached hereto. The Reporting Supplier further indicated that it would continue to conduct due diligence in accordance with all regulatory requirements and to notify its affected customers upon the discovery of any objective evidence relating one or more of its sub-suppliers to an entity found to be directly or indirectly funding armed conflict in the Covered Countries.

Risk Mitigation/Future Due Diligence Measures

The Company intends to continue to comply with Rule 13p-1 on an annual basis and expand or narrow the scope of future due diligence measures in light of any changes to the interpretations of Rule 13p-1. It will review the adequacy of its due diligence measures to assess the source and chain of custody and work with its suppliers to increase the transparency of their supply chain. In this regard, the Company expects to continue to engage with its suppliers to obtain current, accurate and complete information about their supply chain and to evaluate the Company’s due diligence measures to identify more efficient and effective means to obtain current, accurate and complete information about its supply chain.


Availability of Report

The information contained in this report is publicly available at https://www.thecloroxcompany.com/wp-content/uploads/Clorox_Conflict_Minerals_Disclosure.pdf

Cautionary Statement on Forward-Looking Statements

This Report contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, and such forward-looking statements involve risks and uncertainties. These forward-looking statements are subject to various risks, uncertainties and other factors, including, among other matters, the Company’s suppliers’ responsiveness and cooperation with the Company’s due diligence efforts, the Company’s ability to identify and mitigate risks in its supply chain, whether smelters and refiners and other market participants responsibly source conflict minerals, and political and regulatory developments, whether in the Covered Countries, the United States or elsewhere. The Company’s forward-looking statements in this Report are based on management’s current views, beliefs and assumptions regarding future events. The Company undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise, except as required by the federal securities laws.


Annex I
Smelters Identified by Reporting Supplier

                                                                             Smelter
Metal Smelter Name Smelter Country Identification
Gold Aida Chemical Industries Co., Ltd. JAPAN CID000019
Gold Allgemeine Gold-und Silberscheideanstalt A.G. GERMANY CID000035
Gold AngloGold Ashanti Córrego do Sítio Mineração BRAZIL CID000058
Gold Argor-Heraeus S.A. SWITZERLAND CID000077
Gold Asahi Pretec Corp. JAPAN CID000082
Gold Asahi Refining Canada Ltd. CANADA CID000924
Gold Asahi Refining USA Inc. UNITED STATES OF AMERICA CID000920
Gold Asaka Riken Co., Ltd. JAPAN CID000090
Gold Aurubis AG GERMANY CID000113
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) PHILIPPINES CID000128
Gold Boliden AB SWEDEN CID000157
Gold C. Hafner GmbH + Co. KG GERMANY CID000176
Gold CCR Refinery - Glencore Canada Corporation CANADA CID000185
Gold Cendres + Métaux S.A. SWITZERLAND CID000189
Gold Chimet S.p.A. ITALY CID000233
Gold DODUCO GmbH GERMANY CID000362
Gold Dowa JAPAN CID000401
Gold Eco-System Recycling Co., Ltd. JAPAN CID000425
Gold Heimerle + Meule GmbH GERMANY CID000694
Gold Heraeus Ltd. Hong Kong CHINA CID000707
Gold Heraeus Precious Metals GmbH & Co. KG GERMANY CID000711
Gold Ishifuku Metal Industry Co., Ltd. JAPAN CID000807
Gold Istanbul Gold Refinery TURKEY CID000814
Gold Jiangxi Copper Co., Ltd. CHINA CID000855
Gold JX Nippon Mining & Metals Co., Ltd. JAPAN CID000937
Gold Kennecott Utah Copper LLC UNITED STATES OF AMERICA CID000969
Gold Kojima Chemicals Co., Ltd. JAPAN CID000981
Gold LS-NIKKO Copper Inc. KOREA (REPUBLIC OF) CID001078
Gold Materion UNITED STATES OF AMERICA CID001113
Gold Matsuda Sangyo Co., Ltd. JAPAN CID001119
Gold Metalor Technologies (Hong Kong) Ltd. CHINA CID001149

1


Annex I
Smelters Identified by Reporting Supplier
                                                                            
Gold Metalor Technologies (Singapore) Pte., Ltd. SINGAPORE CID001152
Gold Metalor Technologies S.A. SWITZERLAND CID001153
Gold Metalor USA Refining Corporation UNITED STATES OF AMERICA CID001157
Gold Metalúrgica Met-Mex Peñoles S.A. De C.V. MEXICO CID001161
Gold Mitsubishi Materials Corporation JAPAN CID001188
Gold Mitsui Mining and Smelting Co., Ltd. JAPAN CID001193
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş. TURKEY CID001220
Gold Nihon Material Co., Ltd. JAPAN CID001259
Gold Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH AUSTRIA CID002779
Gold Elemetal Refining, LLC UNITED STATES OF AMERICA CID001322
Gold Ohura Precious Metal Industry Co., Ltd. JAPAN CID001325
Gold PAMP S.A. SWITZERLAND CID001352
Gold PT Aneka Tambang (Persero) Tbk INDONESIA CID001397
Gold PX Précinox S.A. SWITZERLAND CID001498
Gold Rand Refinery (Pty) Ltd. SOUTH AFRICA CID001512
Gold Republic Metals Corporation UNITED STATES OF AMERICA CID002510
Gold Royal Canadian Mint CANADA CID001534
Gold Schone Edelmetaal B.V. NETHERLANDS CID001573
Gold SEMPSA Joyería Platería S.A. SPAIN CID001585
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd. CHINA CID001622
Gold Sichuan Tianze Precious Metals Co., Ltd. CHINA CID001736
Gold SOE Shyolkovsky Factory of Secondary Precious Metals RUSSIAN FEDERATION CID001756
Gold Solar Applied Materials Technology Corp. TAIWAN, PROVINCE OF CHINA CID001761
Gold Sumitomo Metal Mining Co., Ltd. JAPAN CID001798
Gold Tanaka Kikinzoku Kogyo K.K. JAPAN CID001875
Gold The Refinery of Shandong Gold Mining Co., Ltd. CHINA CID001916
Gold Tokuriki Honten Co., Ltd. JAPAN CID001938
Gold Umicore Brasil Ltda. BRAZIL CID001977
Gold Umicore Precious Metals Thailand THAILAND CID002314
Gold Umicore S.A. Business Unit Precious Metals Refining BELGIUM CID001980
Gold United Precious Metal Refining, Inc. UNITED STATES OF AMERICA CID001993
Gold Valcambi S.A. SWITZERLAND CID002003
Gold Western Australian Mint trading as The Perth Mint AUSTRALIA CID002030
Gold Yamamoto Precious Metal Co., Ltd. JAPAN CID002100

2


Annex I
Smelters Identified by Reporting Supplier
                              
Gold Yokohama Metal Co., Ltd. JAPAN CID002129
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation CHINA CID002224
Gold Zijin Mining Group Co., Ltd. Gold Refinery CHINA CID002243
Tantalum Changsha South Tantalum Niobium Co., Ltd. CHINA CID000211
Tantalum Conghua Tantalum and Niobium Smeltry CHINA CID000291
Tantalum D Block Metals, LLC UNITED STATES OF AMERICA CID002504
Tantalum Duoluoshan CHINA CID000410
Tantalum Exotech Inc. UNITED STATES OF AMERICA CID000456
Tantalum F&X Electro-Materials Ltd. CHINA CID000460
Tantalum Global Advanced Metals Aizu JAPAN CID002558
Tantalum Global Advanced Metals Boyertown UNITED STATES OF AMERICA CID002557
Tantalum Guangdong Zhiyuan New Material Co., Ltd. CHINA CID000616
Tantalum H.C. Starck Co., Ltd. THAILAND CID002544
Tantalum H.C. Starck GmbH Goslar GERMANY CID002545
Tantalum H.C. Starck Hermsdorf GmbH GERMANY CID002547
Tantalum H.C. Starck Inc. UNITED STATES OF AMERICA CID002548
Tantalum H.C. Starck Ltd. JAPAN CID002549
Tantalum H.C. Starck Smelting GmbH & Co. KG GERMANY CID002550
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. CHINA CID002492
Tantalum Hi-Temp Specialty Metals, Inc. UNITED STATES OF AMERICA CID000731
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. CHINA CID000914
Tantalum Jiujiang Tanbre Co., Ltd. CHINA CID000917
Tantalum LSM Brasil S.A. BRAZIL CID001076
Tantalum Mineração Taboca S.A. BRAZIL CID001175
Tantalum Mitsui Mining and Smelting Co., Ltd. JAPAN CID001192
Tantalum Molycorp Silmet A.S. ESTONIA CID001200
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CHINA CID001277
Tantalum Solikamsk Magnesium Works OAO RUSSIAN FEDERATION CID001769
Tantalum Taki Chemical Co., Ltd. JAPAN CID001869
Tantalum Telex Metals UNITED STATES OF AMERICA CID001891
Tantalum Ulba Metallurgical Plant JSC KAZAKHSTAN CID001969
Tantalum Yichun Jin Yang Rare Metal Co., Ltd. CHINA CID002307
Tantalum Zhuzhou Cemented Carbide Group Co., Ltd. CHINA CID002232
Tin Alpha UNITED STATES OF AMERICA CID000292

3


Annex I
Smelters Identified by Reporting Supplier
                              
Tin Jiangxi Ketai Advanced Material Co., Ltd. CHINA CID000244
Tin China Tin Group Co., Ltd. CHINA CID001070
Tin Cooperativa Metalurgica de Rondônia Ltda. BRAZIL CID000295
Tin CV Ayi Jaya INDONESIA CID002570
Tin CV Gita Pesona INDONESIA CID000306
Tin PT Aries Kencana Sejahtera INDONESIA CID000309
Tin CV Serumpun Sebalai INDONESIA CID000313
Tin CV United Smelting INDONESIA CID000315
Tin CV Venus Inti Perkasa INDONESIA CID002455
Tin Dowa JAPAN CID000402
Tin Elmet S.L.U. SPAIN CID002774
Tin EM Vinto BOLIVIA (PLURINATIONAL STATE OF) CID000438
Tin Fenix Metals POLAND CID000468
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd. CHINA CID000538
Tin Magnu's Minerais Metais e Ligas Ltda. BRAZIL CID002468
Tin Malaysia Smelting Corporation (MSC) MALAYSIA CID001105
Tin Melt Metais e Ligas S.A. BRAZIL CID002500
Tin Metallic Resources, Inc. UNITED STATES OF AMERICA CID001142
Tin Metallo-Chimique N.V. BELGIUM CID002773
Tin Mineração Taboca S.A. BRAZIL CID001173
Tin Minsur PERU CID001182
Tin Mitsubishi Materials Corporation JAPAN CID001191
Tin O.M. Manufacturing (Thailand) Co., Ltd. THAILAND CID001314
Tin O.M. Manufacturing Philippines, Inc. PHILIPPINES CID002517
Tin Operaciones Metalurgical S.A. BOLIVIA (PLURINATIONAL STATE OF) CID001337
Tin PT Artha Cipta Langgeng INDONESIA CID001399
Tin PT ATD Makmur Mandiri Jaya INDONESIA CID002503
Tin PT Babel Inti Perkasa INDONESIA CID001402
Tin PT Bangka Prima Tin INDONESIA CID002776
Tin PT Bangka Tin Industry INDONESIA CID001419
Tin PT Belitung Industri Sejahtera INDONESIA CID001421
Tin PT Bukit Timah INDONESIA CID001428
Tin PT Cipta Persada Mulia INDONESIA CID002696
Tin PT DS Jaya Abadi INDONESIA CID001434

4


Annex I
Smelters Identified by Reporting Supplier
                              
Tin PT Eunindo Usaha Mandiri INDONESIA CID001438
Tin PT Inti Stania Prima INDONESIA CID002530
Tin PT Mitra Stania Prima INDONESIA CID001453
Tin PT Panca Mega Persada INDONESIA CID001457
Tin PT Prima Timah Utama INDONESIA CID001458
Tin PT Refined Bangka Tin INDONESIA CID001460
Tin PT Sariwiguna Binasentosa INDONESIA CID001463
Tin PT Stanindo Inti Perkasa INDONESIA CID001468
Tin PT Sukses Inti Makmur INDONESIA CID002816
Tin PT Sumber Jaya Indah INDONESIA CID001471
Tin PT Timah (Persero) Tbk Kundur INDONESIA CID001477
Tin PT Timah (Persero) Tbk Mentok INDONESIA CID001482
Tin PT Tinindo Inter Nusa INDONESIA CID001490
Tin PT Tommy Utama INDONESIA CID001493
Tin Resind Indústria e Comércio Ltda. BRAZIL CID002706
Tin Rui Da Hung TAIWAN, PROVINCE OF CHINA CID001539
Tin Soft Metais Ltda. BRAZIL CID001758
Tin Thaisarco THAILAND CID001898
Tin VQB Mineral and Trading Group JSC VIET NAM CID002015
Tin White Solder Metalurgia e Mineração Ltda. BRAZIL CID002036
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. CHINA CID002158
Tin Yunnan Tin Company Limited CHINA CID002180
Tungsten A.L.M.T. TUNGSTEN Corp. JAPAN CID000004
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. CHINA CID002513
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CHINA CID000258
Tungsten Fujian Jinxin Tungsten Co., Ltd. CHINA CID000499
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. CHINA CID000875
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CHINA CID002315
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CHINA CID002494
Tungsten Global Tungsten & Powders Corp. UNITED STATES OF AMERICA CID000568
Tungsten Guangdong Xianglu Tungsten Co., Ltd. CHINA CID000218
Tungsten H.C. Starck GmbH GERMANY CID002541
Tungsten H.C. Starck Smelting GmbH & Co.KG GERMANY CID002542
Tungsten Hunan Chenzhou Mining Co., Ltd. CHINA CID000766

5


Annex I
Smelters Identified by Reporting Supplier
                              
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji CHINA CID002579
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. CHINA CID000769
Tungsten Hydrometallurg, JSC RUSSIAN FEDERATION CID002649
Tungsten Japan New Metals Co., Ltd. JAPAN CID000825
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. CHINA CID002551
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CHINA CID002321
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. CHINA CID002318
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CHINA CID002317
Tungsten Kennametal Fallon UNITED STATES OF AMERICA CID000966
Tungsten Kennametal Huntsville UNITED STATES OF AMERICA CID000105
Tungsten Niagara Refining LLC UNITED STATES OF AMERICA CID002589
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC VIET NAM CID002543
Tungsten Tejing (Vietnam) Tungsten Co., Ltd. VIET NAM CID001889
Tungsten Wolfram Bergbau und Hütten AG AUSTRIA CID002044
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CHINA CID002320
Tungsten Xiamen Tungsten Co., Ltd. CHINA CID002082

6