EX-1.01 2 ex101-conflictmineralsrepo.htm EXHIBIT 1.01 Exhibit

Exhibit 1.01

Conflict Minerals Report

IEC Electronics Corp. (“IEC Electronics,” “we,” “our,” “us,” or the “Company”) provides electronic manufacturing services to advanced technology companies that produce life-saving and mission critical products for the medical, industrial, aerospace and defense sectors. We specialize in delivering technical solutions for the custom manufacture of complex full system assemblies by providing on-site analytical testing laboratories, custom design and test engineering services combined with a broad array of manufacturing services encompassing electronics, interconnect solutions, and precision metalworking. We manufacture complex printed circuit boards and system- level assemblies, a wide array of cable and wire harness assemblies and precision metal components. We are headquartered in Newark, NY and also have operations in Rochester, NY and Albuquerque, NM. Conflict Minerals are necessary to the functionality or production of the products that we manufacture for our advance technology customers pursuant to the designs they provide to us.

Section I. Due Diligence

Design of Due Diligence

Our due diligence procedures conform to the Organisation for Economic Co-operation and Development (“OECD”) “Five-Step Framework for Risk-Based Due Diligence in the Mineral Supply Chain.”

Establish Strong Company Management Systems

Our policy regarding Conflict Minerals is posted to our website.
Our cross-functional conflict minerals team was established to carry out the necessary due diligence and reporting requirements. The team currently includes the following roles:
Team Members:
Corporate Director of Quality and Operational Excellence
 
 
Director of Supply Chain
 
 
Corporate Director of Environmental, Health and Safety
 
Executive Sponsors:
Chief Financial Officer
 

Develop a list of applicable suppliers with the assistance of supply chain personnel at each location.
Request potential vendors to complete a Conflict Minerals Reporting Template (“CMRT”) prior to them being established as a vendor.

Identify and Assess Risk in the Supply Chain

Develop a list of applicable suppliers with the assistance of supply chain personnel at each location.
We identify and assess risks in the supply chain. For the majority of our parts, tin is necessary to the functionality or product manufactured. To a lesser extent, tantalum, tungsten, and gold are also necessary for some parts.
Data is collected directly from applicable suppliers using the CMRT.
IEC has engaged with IHS Markit to assist in supplier data collection, management, and aggregation.
Supplier declarations are evaluated to determine if supplies, products, or components containing Conflict Minerals purchased by IEC are derived from the Covered Countries.

Design and Implement a Strategy to Respond to Identified Risks

IHS Markit’s iPoint software is used to assess the status of supplier responses and facilitate responses to customer inquiries.
Non-responses are followed up with additional requests and/or direct contact (email, phone, or in person) depending on risk.

Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

IEC Electronics utilizes IHS Markit’s iPoint software which includes information from the Global Smelter List.





Exhibit 1.01

Report on Supply Chain Due Diligence
    
IEC Electronics files the Form SD and CMR with the SEC annually.
We post the Form SD and CMR on our website.
IEC Electronics issues a standard response using the CMRT.
IEC’s corporate policy regarding Conflict Minerals and disclosure regarding whether any Conflict Minerals necessary to the functionality or production of a product originated in Covered Countries are made publicly available on our website in accordance with the Securities Exchange Act Section 13(p)(1)(E).

Steps taken to mitigate the risk that necessary conflict minerals benefit armed groups include the following:
Require potential vendors to complete a CMRT prior to them being established as a vendor.
Working with customers when it is discovered that a component we source to support their product may benefit armed groups in the Covered Countries.


Section II.

Product Description

IEC Electronics has facilities located in Newark, NY; Rochester, NY; and Albuquerque, NM. At these facilities, we manufacture complex printed circuit boards and system-level assemblies, a wide array of cable and wire harness assemblies and precision metal components. Products are built to specifications provided by our customers.

Product Determination

IEC Electronics conducted due diligence on the products listed above, and as a result of that due diligence, IEC Electronics was unable to definitively determine if the conflict minerals used in the production of applicable products originated from the Covered Countries. Through our due diligence and reasonable country of orgin efforts, the greatest possible specificity IEC is able to provide is the following list of smelters that have been identified by our supply chain:
  
Smelter
Mineral
Country
Western Australian Mint (T/a The Perth Mint)
Gold
AUSTRALIA
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
Gold
AUSTRIA
Wolfram Bergbau und Hutten AG
Tungsten
AUSTRIA
Metallo Belgium N.V.
Tin
BELGIUM
Umicore S.A. Business Unit Precious Metals Refining
Gold
BELGIUM
EM Vinto
Tin
BOLIVIA (PLURINATIONAL STATE OF)
Operaciones Metalurgical S.A.
Tin
BOLIVIA (PLURINATIONAL STATE OF)
ACL Metais Eireli
Tungsten
BRAZIL
AngloGold Ashanti Corrego do Sitio Mineracao
Gold
BRAZIL
LSM Brasil S.A.
Tantalum
BRAZIL
Magnu's Minerais Metais e Ligas Ltda.
Tin
BRAZIL
Marsam Metals
Gold
BRAZIL
Melt Metais e Ligas S.A.
Tin
BRAZIL
Mineracao Taboca S.A.
Tantalum
BRAZIL
Mineracao Taboca S.A.
Tin
BRAZIL
Resind Industria e Comercio Ltda.
Tantalum
BRAZIL
Resind Industria e Comercio Ltda.
Tin
BRAZIL
Soft Metais Ltda.
Tin
BRAZIL
Umicore Brasil Ltda.
Gold
BRAZIL




Exhibit 1.01

White Solder Metalurgia e Mineracao Ltda.
Tin
BRAZIL
Asahi Refining Canada Ltd.
Gold
CANADA
CCR Refinery - Glencore Canada Corporation
Gold
CANADA
Royal Canadian Mint
Gold
CANADA
Planta Recuperadora de Metales SpA
Gold
CHILE
Changsha South Tantalum Niobium Co., Ltd.
Tantalum
CHINA
Chenzhou Diamond Tungsten Products Co., Ltd.
Tungsten
CHINA
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
Tin
CHINA
Chifeng Dajingzi Tin Industry Co., Ltd.
Tin
CHINA
China Tin Group Co., Ltd.
Tin
CHINA
Chongyi Zhangyuan Tungsten Co., Ltd.
Tungsten
CHINA
F&X Electro-Materials Ltd.
Tantalum
CHINA
FIR Metals & Resource Ltd.
Tantalum
CHINA
Fujian Jinxin Tungsten Co., Ltd.
Tungsten
CHINA
Ganzhou Huaxing Tungsten Products Co., Ltd.
Tungsten
CHINA
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Tungsten
CHINA
Ganzhou Seadragon W & Mo Co., Ltd.
Tungsten
CHINA
Gejiu Fengming Metallurgy Chemical Plant
Tin
CHINA
Gejiu Jinye Mineral Company
Tin
CHINA
Gejiu Kai Meng Industry and Trade LLC
Tin
CHINA
Gejiu Non-Ferrous Metal Processing Co., Ltd.
Tin
CHINA
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Tin
CHINA
Gold Refinery of Zijin Mining Group Co., Ltd.
Gold
CHINA
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
Tin
CHINA
Guangdong Rising Rare Metals-EO Materials Ltd.
Tantalum
CHINA
Guangdong Xianglu Tungsten Co., Ltd.
Tungsten
CHINA
Guangdong Zhiyuan New Material Co., Ltd.
Tantalum
CHINA
Guanyang Guida Nonferrous Metal Smelting Plant
Tin
CHINA
Hengyang King Xing Lifeng New Materials Co., Ltd.
Tantalum
CHINA
Heraeus Metals Hong Kong Ltd.
Gold
CHINA
HuiChang Hill Tin Industry Co., Ltd.
Tin
CHINA
Huichang Jinshunda Tin Co., Ltd.
Tin
CHINA
Hunan Chenzhou Mining Co., Ltd.
Tungsten
CHINA
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Tungsten
CHINA
Hunan Chunchang Nonferrous Metals Co., Ltd.
Tungsten
CHINA
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
Gold
CHINA
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Tungsten
CHINA
Jiangxi Copper Co., Ltd.
Gold
CHINA
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
Tantalum
CHINA
Jiangxi Gan Bei Tungsten Co., Ltd.
Tungsten
CHINA
Jiangxi Ketai Advanced Material Co., Ltd.
Tin
CHINA
Jiangxi New Nanshan Technology Ltd.
Tin
CHINA
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
Tungsten
CHINA




Exhibit 1.01

Jiangxi Tuohong New Raw Material
Tantalum
CHINA
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Tungsten
CHINA
Jiangxi Yaosheng Tungsten Co., Ltd.
Tungsten
CHINA
Jiujiang Janny New Material Co., Ltd.
Tantalum
CHINA
JiuJiang JinXin Nonferrous Metals Co., Ltd.
Tantalum
CHINA
Jiujiang Tanbre Co., Ltd.
Tantalum
CHINA
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
Tantalum
CHINA
Malipo Haiyu Tungsten Co., Ltd.
Tungsten
CHINA
Metalor Technologies (Hong Kong) Ltd.
Gold
CHINA
Metalor Technologies (Suzhou) Ltd.
Gold
CHINA
Ningxia Orient Tantalum Industry Co., Ltd.
Tantalum
CHINA
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
Tantalum
CHINA
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
Gold
CHINA
Sichuan Tianze Precious Metals Co., Ltd.
Gold
CHINA
South-East Nonferrous Metal Company Limited of Hengyang City
Tungsten
CHINA
The Refinery of Shandong Gold Mining Co., Ltd.
Gold
CHINA
Xiamen Tungsten (H.C.) Co., Ltd.
Tungsten
CHINA
Xiamen Tungsten Co., Ltd.
Tungsten
CHINA
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
Tungsten
CHINA
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
Tungsten
CHINA
XinXing HaoRong Electronic Material Co., Ltd.
Tantalum
CHINA
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
Tin
CHINA
Yunnan Tin Company Limited
Tin
CHINA
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Gold
CHINA
NPM Silmet AS
Tantalum
ESTONIA
SAAMP
Gold
FRANCE
Allgemeine Gold-und Silberscheideanstalt A.G.
Gold
GERMANY
Aurubis AG
Gold
GERMANY
C. Hafner GmbH + Co. KG
Gold
GERMANY
DODUCO Contacts and Refining GmbH
Gold
GERMANY
H.C. Starck Hermsdorf GmbH
Tantalum
GERMANY
H.C. Starck Smelting GmbH & Co. KG
Tantalum
GERMANY
H.C. Starck Smelting GmbH & Co. KG
Tungsten
GERMANY
H.C. Starck Tantalum and Niobium GmbH
Tantalum
GERMANY
H.C. Starck Tungsten GmbH
Tungsten
GERMANY
Heimerle + Meule GmbH
Gold
GERMANY
Heraeus Precious Metals GmbH & Co. KG
Gold
GERMANY
SAXONIA Edelmetalle GmbH
Gold
GERMANY
WIELAND Edelmetalle GmbH
Gold
GERMANY
Metallurgical Products India Pvt., Ltd.
Tantalum
INDIA
MMTC-PAMP India Pvt., Ltd.
Gold
INDIA
CV Ayi Jaya
Tin
INDONESIA
CV Dua Sekawan
Tin
INDONESIA
CV Gita Pesona
Tin
INDONESIA




Exhibit 1.01

CV United Smelting
Tin
INDONESIA
CV Venus Inti Perkasa
Tin
INDONESIA
PT Aneka Tambang (Persero) Tbk
Gold
INDONESIA
PT Aries Kencana Sejahtera
Tin
INDONESIA
PT Artha Cipta Langgeng
Tin
INDONESIA
PT ATD Makmur Mandiri Jaya
Tin
INDONESIA
PT Babel Inti Perkasa
Tin
INDONESIA
PT Bangka Prima Tin
Tin
INDONESIA
PT Bangka Serumpun
Tin
INDONESIA
PT Bangka Tin Industry
Tin
INDONESIA
PT Belitung Industri Sejahtera
Tin
INDONESIA
PT Bukit Timah
Tin
INDONESIA
PT DS Jaya Abadi
Tin
INDONESIA
PT Eunindo Usaha Mandiri
Tin
INDONESIA
PT Inti Stania Prima
Tin
INDONESIA
PT Karimun Mining
Tin
INDONESIA
PT Kijang Jaya Mandiri
Tin
INDONESIA
PT Lautan Harmonis Sejahtera
Tin
INDONESIA
PT Menara Cipta Mulia
Tin
INDONESIA
PT Mitra Stania Prima
Tin
INDONESIA
PT Panca Mega Persada
Tin
INDONESIA
PT Premium Tin Indonesia
Tin
INDONESIA
PT Prima Timah Utama
Tin
INDONESIA
PT Rajehan Ariq
Tin
INDONESIA
PT Refined Bangka Tin
Tin
INDONESIA
PT Sariwiguna Binasentosa
Tin
INDONESIA
PT Stanindo Inti Perkasa
Tin
INDONESIA
PT Sukses Inti Makmur
Tin
INDONESIA
PT Sumber Jaya Indah
Tin
INDONESIA
PT Timah (Persero) Tbk Kundur
Tin
INDONESIA
PT Timah (Persero) Tbk Mentok
Tin
INDONESIA
PT Tinindo Inter Nusa
Tin
INDONESIA
PT Tommy Utama
Tin
INDONESIA
Chimet S.p.A.
Gold
ITALY
Italpreziosi
Gold
ITALY
Safimet S.p.A
Gold
ITALY
T.C.A S.p.A
Gold
ITALY
A.L.M.T. TUNGSTEN Corp.
Tungsten
JAPAN
Aida Chemical Industries Co., Ltd.
Gold
JAPAN
Asahi Pretec Corp.
Gold
JAPAN
Asaka Riken Co., Ltd.
Gold
JAPAN
Asaka Riken Co., Ltd.
Tantalum
JAPAN
Dowa
Gold
JAPAN
Dowa
Tin
JAPAN
Eco-System Recycling Co., Ltd.
Gold
JAPAN
Global Advanced Metals Aizu
Tantalum
JAPAN




Exhibit 1.01

H.C. Starck Ltd.
Tantalum
JAPAN
Ishifuku Metal Industry Co., Ltd.
Gold
JAPAN
Japan Mint
Gold
JAPAN
Japan New Metals Co., Ltd.
Tungsten
JAPAN
JX Nippon Mining & Metals Co., Ltd.
Gold
JAPAN
Kojima Chemicals Co., Ltd.
Gold
JAPAN
Matsuda Sangyo Co., Ltd.
Gold
JAPAN
Mitsubishi Materials Corporation
Gold
JAPAN
Mitsubishi Materials Corporation
Tin
JAPAN
Mitsui Mining and Smelting Co., Ltd.
Gold
JAPAN
Mitsui Mining and Smelting Co., Ltd.
Tantalum
JAPAN
Nihon Material Co., Ltd.
Gold
JAPAN
Ohura Precious Metal Industry Co., Ltd.
Gold
JAPAN
Sumitomo Metal Mining Co., Ltd.
Gold
JAPAN
Taki Chemical Co., Ltd.
Tantalum
JAPAN
Tanaka Kikinzoku Kogyo K.K.
Gold
JAPAN
Tokuriki Honten Co., Ltd.
Gold
JAPAN
Yamakin Co., Ltd.
Gold
JAPAN
Yokohama Metal Co., Ltd.
Gold
JAPAN
Kazzinc
Gold
KAZAKHSTAN
Ulba Metallurgical Plant JSC
Tantalum
KAZAKHSTAN
Daejin Indus Co., Ltd.
Gold
KOREA, REPUBLIC OF
DSC (Do Sung Corporation)
Gold
KOREA, REPUBLIC OF
HeeSung Metal Ltd.
Gold
KOREA, REPUBLIC OF
Korea Zinc Co., Ltd.
Gold
KOREA, REPUBLIC OF
LS-NIKKO Copper Inc.
Gold
KOREA, REPUBLIC OF
Samduck Precious Metals
Gold
KOREA, REPUBLIC OF
SungEel HiMetal Co., Ltd.
Gold
KOREA, REPUBLIC OF
Torecom
Gold
KOREA, REPUBLIC OF
Woltech Korea Co., Ltd.
Tungsten
KOREA, REPUBLIC OF
Kyrgyzaltyn JSC
Gold
KYRGYZSTAN
Power Resources Ltd.
Tantalum
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Malaysia Smelting Corporation (MSC)
Tin
MALAYSIA
KEMET Blue Metals
Tantalum
MEXICO
Metalurgica Met-Mex Penoles S.A. De C.V.
Gold
MEXICO
Minsur
Tin
PERU
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Gold
PHILIPPINES
O.M. Manufacturing Philippines, Inc.
Tin
PHILIPPINES
Philippine Chuangxin Industrial Co., Inc.
Tungsten
PHILIPPINES
Fenix Metals
Tin
POLAND
Hydrometallurg, JSC
Tungsten
RUSSIAN FEDERATION
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Gold
RUSSIAN FEDERATION
JSC Uralelectromed
Gold
RUSSIAN FEDERATION
Moliren Ltd.
Tungsten
RUSSIAN FEDERATION




Exhibit 1.01

Moscow Special Alloys Processing Plant
Gold
RUSSIAN FEDERATION
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)
Gold
RUSSIAN FEDERATION
OJSC Novosibirsk Refinery
Gold
RUSSIAN FEDERATION
Prioksky Plant of Non-Ferrous Metals
Gold
RUSSIAN FEDERATION
SOE Shyolkovsky Factory of Secondary Precious Metals
Gold
RUSSIAN FEDERATION
Solikamsk Magnesium Works OAO
Tantalum
RUSSIAN FEDERATION
Unecha Refractory metals plant
Tungsten
RUSSIAN FEDERATION
Metalor Technologies (Singapore) Pte., Ltd.
Gold
SINGAPORE
AU Traders and Refiners
Gold
SOUTH AFRICA
Rand Refinery (Pty) Ltd.
Gold
SOUTH AFRICA
Metallo Spain S.L.U.
Tin
SPAIN
SEMPSA Joyeria Plateria S.A.
Gold
SPAIN
Boliden AB
Gold
SWEDEN
Argor-Heraeus S.A.
Gold
SWITZERLAND
Cendres + Metaux S.A.
Gold
SWITZERLAND
Metalor Technologies S.A.
Gold
SWITZERLAND
PAMP S.A.
Gold
SWITZERLAND
PX Precinox S.A.
Gold
SWITZERLAND
Valcambi S.A.
Gold
SWITZERLAND
Rui Da Hung
Tin
TAIWAN, PROVINCE OF CHINA
Singway Technology Co., Ltd.
Gold
TAIWAN, PROVINCE OF CHINA
Solar Applied Materials Technology Corp.
Gold
TAIWAN, PROVINCE OF CHINA
H.C. Starck Co., Ltd.
Tantalum
THAILAND
O.M. Manufacturing (Thailand) Co., Ltd.
Tin
THAILAND
Thaisarco
Tin
THAILAND
Umicore Precious Metals Thailand
Gold
THAILAND
Istanbul Gold Refinery
Gold
TURKEY
Nadir Metal Rafineri San. Ve Tic. A.S.
Gold
TURKEY
Al Etihad Gold Refinery DMCC
Gold
UNITED ARAB EMIRATES
Emirates Gold DMCC
Gold
UNITED ARAB EMIRATES
Advanced Chemical Company
Gold
UNITED STATES OF AMERICA
Alpha
Tin
UNITED STATES OF AMERICA
Asahi Refining USA Inc.
Gold
UNITED STATES OF AMERICA
D Block Metals, LLC
Tantalum
UNITED STATES OF AMERICA
Exotech Inc.
Tantalum
UNITED STATES OF AMERICA
Geib Refining Corporation
Gold
UNITED STATES OF AMERICA
Global Advanced Metals Boyertown
Tantalum
UNITED STATES OF AMERICA
Global Tungsten & Powders Corp.
Tungsten
UNITED STATES OF AMERICA
H.C. Starck Inc.
Tantalum
UNITED STATES OF AMERICA
KEMET Blue Powder
Tantalum
UNITED STATES OF AMERICA
Kennametal Fallon
Tungsten
UNITED STATES OF AMERICA
Kennametal Huntsville
Tungsten
UNITED STATES OF AMERICA
Kennecott Utah Copper LLC
Gold
UNITED STATES OF AMERICA
Materion
Gold
UNITED STATES OF AMERICA
Metallic Resources, Inc.
Tin
UNITED STATES OF AMERICA




Exhibit 1.01

Metalor USA Refining Corporation
Gold
UNITED STATES OF AMERICA
Niagara Refining LLC
Tungsten
UNITED STATES OF AMERICA
QuantumClean
Tantalum
UNITED STATES OF AMERICA
Republic Metals Corporation
Gold
UNITED STATES OF AMERICA
Telex Metals
Tantalum
UNITED STATES OF AMERICA
United Precious Metal Refining, Inc.
Gold
UNITED STATES OF AMERICA
Almalyk Mining and Metallurgical Complex (AMMC)
Gold
UZBEKISTAN
Asia Tungsten Products Vietnam Ltd.
Tungsten
VIET NAM
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Tungsten
VIET NAM
Tejing (Vietnam) Tungsten Co., Ltd.
Tungsten
VIET NAM
Vietnam Youngsun Tungsten Industry Co., Ltd.
Tungsten
VIET NAM

Efforts used to determine the mine or location of origin are described in “Section I. Due Diligence,” above.