EX-1.01 2 exhibit101.htm EXHIBIT Exhibit 1.01
Exhibit 1.01

Electro Scientific Industries Inc.
Conflict Minerals Report
For The Year Ended December 31, 2013


This report for the year ended December 31, 2013 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934.

Our due diligence measures have been designed to conform, in all material respects, with the framework in the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD 2011) (OECD Framework) and related Supplements for gold, tantalum, tin and tungsten (conflict minerals).

Our supply chain is complex and there are multiple tiers between the company and the mines. We rely on our suppliers to provide information on the origin of the conflict minerals contained in components which are included in our products. To identify and assess risk in the supply chain, we engaged those suppliers who provide the substantial majority of our components and whose products we believe are likely to contain conflict minerals. We conducted a survey of these suppliers, which accounted for in excess of 80% of component costs incurred during 2013, to determine whether the necessary conflict minerals in components contained in our products were or were not DRC conflict free (as defined in Item 1.01 of Form SD). The survey requested suppliers to provide the country of origin of any conflict minerals and the facilities used to process these minerals. We received responses from suppliers representing approximately 70% of our component costs incurred in 2013 containing the names and locations of smelters and refiners which process conflict minerals used in components provided by our suppliers. We reviewed and compared the responses with other information in our possession and, where appropriate, made further inquiries of our suppliers. The initial and subsequent responses from suppliers did not contain sufficient information to determine the country of origin of all the conflict minerals in our products.

The smelters and refiners identified by our suppliers are listed in Appendix A below.

Our products for which conflict minerals are necessary to the functionality or production include, but are not limited to, Laser Ablation products, Laser Processing System products, Microfabrication products, Laser Component products, FPD Repair & Failure Analysis products, LED Wafer Scriber products, Laser Fuse Processing products, Laser Trimming products, Vision products, Wafer Dicing products, WaferMark products, Electrical Tester products, Inspection products, Tooling products, PyroFlex products, and Solar Market Application products. [These products are more fully described in our Annual Report, which can be accessed at http://investors.esi.com/.] We have concluded that all of the above mentioned products manufactured during calendar 2013 are DRC conflict undeterminable (as defined in Item 1.01 of Form SD).

We expect to take the following steps to improve our due diligence to further mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the Democratic Republic of Congo or any adjoining country, including:

Attempting to increase the response rate of suppliers and improve the content of the responses.
Asking relevant suppliers to request that smelters participate in obtaining a conflict free designation from an industry program such as the Electronic Industry Citizenship Coalition Global e-Sustainability Initiative (EICC/GeSI) Conflict Free Smelter Program.
Attempting to validate supplier responses using information collected via independent conflict free smelter validation programs such as the EICC/GeSI Conflict Free Smelter Program.



Exhibit 1.01

Appendix A: Smelter and Refiner List

Metal
Smelter Name
Country
Smelter Id
Gold
Aida Chemical Industries Co. Ltd.
JAPAN
1JPN072
Gold
Allgemeine Gold- und Silberscheideanstalt A.G.
GERMANY
1DEU001
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
1UZB002
Gold
AngloGold Ashanti Mineração Ltda
BRAZIL
1BRA003
Gold
Argor-Heraeus SA
SWITZERLAND
1CHE004
Gold
Asahi Pretec Corporation
JAPAN
1JPN005
Gold
Asaka Riken Co Ltd
JAPAN
1JPN073
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
1TUR006
Gold
Aurubis AG
GERMANY
1DEU007
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
1PHL008
Gold
Boliden AB
SWEDEN
1SWE009
Gold
Caridad
MEXICO
1MEX010
Gold
Cendres & Métaux SA
SWITZERLAND
1CHE011
Gold
Central Bank of the DPR of Korea
KOREA, REPUBLIC OF
1KOR012
Gold
Chimet SpA
ITALY
1ITA013
Gold
Chugai Mining
JAPAN
1JPN078
Gold
Codelco
CHILE
1CHL014
Gold
Daejin Indus Co. Ltd
KOREA, REPUBLIC OF
1KOR082
Gold
DaeryongENC
KOREA, REPUBLIC OF
1KOR083
Gold
Do Sung Corporation
KOREA, REPUBLIC OF
1KOR084
Gold
Dowa
JAPAN
1JPN015
Gold
FSE Novosibirsk Refinery
RUSSIAN FEDERATION
1RUS016
Gold
Heimerle + Meule GmbH
GERMANY
1DEU017
Gold
Heraeus Ltd Hong Kong
HONG KONG
1HKG019
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
1DEU018
Gold
Hwasung CJ Co. Ltd
KOREA, REPUBLIC OF
1KOR085
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
CHINA
1CHN020
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
1JPN021
Gold
Istanbul Gold Refinery
TURKEY
1TUR069
Gold
Japan Mint
JAPAN
1JPN022
Gold
Jiangxi Copper Company Limited
CHINA
1CHN023
Gold
Johnson Matthey Inc
UNITED STATES
1USA025
Gold
Johnson Matthey Limited
CANADA
1CAN024
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
1RUS026
Gold
JSC Uralectromed
RUSSIAN FEDERATION
1RUS027
Gold
JX Nippon Mining & Metals Co., Ltd
JAPAN
1JPN028
Gold
Kazzinc Ltd
KAZAKHSTAN
1KAZ029
Gold
Kojima Chemicals Co. Ltd
JAPAN
1JPN074
Gold
Korea Metal Co. Ltd
KOREA, REPUBLIC OF
1KOR086



Exhibit 1.01

Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
1KGZ030
Gold
L' azurde Company For Jewelry
SAUDI ARABIA
1SAU031
Gold
LS-Nikko Copper Inc
KOREA, REPUBLIC OF
1KOR032
Gold
Materion
UNITED STATES
1USA033
Gold
Matsuda Sangyo Co. Ltd
JAPAN
1JPN034
Gold
Metalor Technologies (Hong Kong) Ltd
HONG KONG
1HKG036
Gold
Metalor Technologies SA
SWITZERLAND
1CHE035
Gold
Metalor USA Refining Corporation
UNITED STATES
1USA037
Gold
Met-Mex Peñoles, S.A.
MEXICO
1MEX038
Gold
Mitsubishi Materials Corporation
JAPAN
1JPN039
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
1JPN040
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
1RUS041
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
1TUR070
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
1UZB042
Gold
Nihon Material Co. LTD
JAPAN
1JPN071
Gold
Ohio Precious Metals LLC.
UNITED STATES
1USA043
Gold
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)
RUSSIAN FEDERATION
1RUS044
Gold
OJSC Kolyma Refinery
RUSSIAN FEDERATION
1RUS067
Gold
PAMP SA+A27
SWITZERLAND
1CHE045
Gold
Pan Pacific Copper Co. LTD
JAPAN
1JPN080
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
1RUS047
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
1IDN048
Gold
PT Timah
INDONESIA
2IDN042
Gold
PX Précinox SA
SWITZERLAND
1CHE068
Gold
Rand Refinery (Pty) Ltd
SOUTH AFRICA
1ZAF049
Gold
Royal Canadian Mint
CANADA
1CAN050
Gold
Sabin Metal Corp.
UNITED STATES
1USA075
Gold
SAMWON METALS Corp.
KOREA, REPUBLIC OF
1KOR087
Gold
Schone Edelmetaal
NETHERLANDS
1NLD051
Gold
SEMPSA Joyeria Plateria SA
SPAIN
1ESP052
Gold
Shandong Zhaojin Gold & Silver Refinery Co. Ltd
CHINA
1CHN054
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
1RUS055
Gold
Solar Applied Materials Technology Corp.
TAIWAN
1TWN056
Gold
Sumitomo Metal Mining Co. Ltd.
JAPAN
1JPN057
Gold
Suzhou Xingrui Noble
CHINA
1CHN079
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
1JPN058
Gold
The Great Wall Gold and Silver Refinery of China
CHINA
1CHN059
Gold
The Refinery of Shandong Gold Mining Co. Ltd
CHINA
1CHN053
Gold
Tokuriki Honten Co. Ltd
JAPAN
1JPN060
Gold
Torecom
KOREA, REPUBLIC OF
1KOR081
Gold
Umicore Brasil Ltda
BRAZIL
1BRA061
Gold
Umicore SA Business Unit Precious Metals Refining
BELGIUM
1BEL062
Gold
United Precious Metal Refining, Inc.
UNITED STATES
1USA076



Exhibit 1.01

Gold
Valcambi SA
SWITZERLAND
1CHE063
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
1AUS046
Gold
Xstrata Canada Corporation
CANADA
1CAN064
Gold
Yokohama Metal Co Ltd
JAPAN
1JPN077
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
1CHN065
Gold
Zijin Mining Group Co. Ltd
CHINA
1CHN066
Gold
Kennecott Utah Copper
 
1USA088
Gold
ECO-SYSTEM RECYCLING CO.,LTD.
JAPAN
1JPN950
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
3CHN019
Tantalum
Duoluoshan
CHINA
3CHN001
Tantalum
Exotech Inc.
UNITED STATES
3USA002
Tantalum
F&X
CHINA
3CHN003
Tantalum
Gannon & Scott
UNITED STATES
3USA004
Tantalum
Global Advanced Metals
UNITED STATES
3USA005
Tantalum
H.C. Starck GmbH
GERMANY
3DEU006
Tantalum
Hi-Temp
UNITED STATES
3USA016
Tantalum
JiuJiang JinXin Nonferrous Metals Co. Ltd.
CHINA
3CHN020
Tantalum
JiuJiang Tambre Co. Ltd.
CHINA
3CHN007
Tantalum
Kemet Blue Powder
UNITED STATES
3USA010
Tantalum
King-Tan Tantalum Industry Ltd
CHINA
3CHN026
Tantalum
Metallurgical Products India Pvt Ltd.
INDIA
3IND027
Tantalum
Mitsui Mining & Smelting
JAPAN
3JPN008
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
3CHN009
Tantalum
Plansee
AUSTRIA
3AUT011
Tantalum
RFH
CHINA
3CHN017
Tantalum
Solikamsk Metal Works
RUSSIAN FEDERATION
3RUS012
Tantalum
Taki Chemicals
JAPAN
3JPN023
Tantalum
Tantalite Resources
SOUTH AFRICA
3ZAF024
Tantalum
Telex
UNITED STATES
3USA018
Tantalum
Ulba
KAZAKHSTAN
3KAZ014
Tantalum
Zhuzhou Cement Carbide
CHINA
3CHN015
Tin
China Tin Group
CHINA
2CHN068
Tin
CNMC (Guangxi) PGMA Co. Ltd.
CHINA
2CHN050
Tin
Cookson
UNITED STATES
2USA001
Tin
Cooper Santa
BRAZIL
2BRA063
Tin
CV Duta Putra Bangka
INDONESIA
2IDN003
Tin
CV Gita Pesona
INDONESIA
2IDN056
Tin
CV JusTindo
INDONESIA
2IDN004
Tin
CV Makmur Jaya
INDONESIA
2IDN005
Tin
CV Nurjanah
INDONESIA
2IDN006
Tin
CV Prima Timah Utama
INDONESIA
2IDN007
Tin
CV Serumpun Sebalai
INDONESIA
2IDN008
Tin
CV United Smelting
INDONESIA
2IDN009



Exhibit 1.01

Tin
EM Vinto
BOLIVIA
2BOL010
Tin
Fenix Metals
POLAND
2POL064
Tin
Geiju Non-Ferrous Metal Processing Co. Ltd.
CHINA
2CHN012
Tin
Gejiu Zi-Li
CHINA
2CHN011
Tin
Gold Bell Group
CHINA
2CHN013
Tin
Huichang Jinshunda Tin Co. Ltd
CHINA
2CHN052
Tin
Jiangxi Nanshan
CHINA
2CHN014
Tin
Kai Unita Trade Limited Liability Company
CHINA
2CHN053
Tin
Linwu Xianggui Smelter Co
CHINA
2CHN055
Tin
Liuzhou China Tin
CHINA
2CHN015
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
2MYS016
Tin
Metallo Chimique
BELGIUM
2BEL017
Tin
Mineração Taboca S.A.
BRAZIL
2BRA018
Tin
Minmetals Ganzhou Tin Co. Ltd.
CHINA
2CHN051
Tin
Mitsubishi Materials Corporation
JAPAN
2JPN020
Tin
Minsur
PERU
2PER019
Tin
Novosibirsk Integrated Tin Works
RUSSIAN FEDERATION
2RUS021
Tin
OMSA
BOLIVIA
2BOL022
Tin
PT Alam Lestari Kencana
INDONESIA
2IDN023
Tin
PT Artha Cipta Langgeng
INDONESIA
2IDN024
Tin
PT Babel Inti Perkasa
INDONESIA
2IDN025
Tin
PT Babel Surya Alam Lestari
INDONESIA
2IDN026
Tin
PT Bangka Kudai Tin
INDONESIA
2IDN027
Tin
PT Bangka Putra Karya
INDONESIA
2IDN028
Tin
PT Bangka Timah Utama Sejahtera
INDONESIA
2IDN029
Tin
PT Bangka Tin Industry
INDONESIA
2IDN058
Tin
PT Belitung Industri Sejahtera
INDONESIA
2IDN030
Tin
PT BilliTin Makmur Lestari
INDONESIA
2IDN031
Tin
PT Bukit Timah
INDONESIA
2IDN032
Tin
PT DS Jaya Abadi
INDONESIA
2IDN059
Tin
PT Eunindo Usaha Mandiri
INDONESIA
2IDN033
Tin
PT Fang Di MulTindo
INDONESIA
2IDN034
Tin
PT HP Metals Indonesia
INDONESIA
2IDN035
Tin
PT Karimun Mining
INDONESIA
2IDN062
Tin
PT Koba Tin
INDONESIA
2IDN036
Tin
PT Mitra Stania Prima
INDONESIA
2IDN037
Tin
PT Panca Mega
INDONESIA
2IDN060
Tin
PT Refined Banka Tin
INDONESIA
2IDN038
Tin
PT Refined Banka Tin
INDONESIA
2IDN039
Tin
PT Seirama Tin investment
INDONESIA
2IDN061
Tin
PT Stanindo Inti Perkasa
INDONESIA
2IDN040
Tin
PT Sumber Jaya Indah
INDONESIA
2IDN041
Tin
PT Tambang Timah
INDONESIA
2IDN049



Exhibit 1.01

Tin
PT Timah
INDONESIA
2IDN042
Tin
PT Timah Nusantara
INDONESIA
2IDN043
Tin
PT Tinindo Inter Nusa
INDONESIA
2IDN044
Tin
PT Tommy Utama
INDONESIA
2IDN057
Tin
PT Yinchendo Mining Industry
INDONESIA
2IDN045
Tin
Thaisarco
THAILAND
2THA046
Tin
White Solder Metalurgia
BRAZIL
2BRA054
Tin
Yunnan Chengfeng
CHINA
2CHN047
Tin
Yunnan Tin Company Limited
CHINA
2CHN048
Tungsten
A.L.M.T. Corp.
JAPAN
4JPN020
Tungsten
ATI Tungsten Materials
UNITED STATES
4USA001
Tungsten
Chaozhou Xianglu Tungsten Industry Co Ltd
CHINA
4CHN002
Tungsten
China Minmetals Nonferrous Metals Co Ltd
CHINA
4CHN003
Tungsten
Chongyi Zhangyuan Tungsten Co Ltd
CHINA
4CHN004
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
4CHN021
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
4CHN022
Tungsten
Ganzhou Grand Sea W & Mo Group Co Ltd
CHINA
4CHN016
Tungsten
Global Tungsten & Powders Corp
UNITED STATES
4USA007
Tungsten
HC Starck GmbH
GERMANY
4DEU008
Tungsten
Hunan Chenzhou Mining Group Co
CHINA
4CHN018
Tungsten
Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.
CHINA
4CHN023
Tungsten
Japan New Metals Co Ltd
JAPAN
4JPN017
Tungsten
Jiangxi Rare Earth & Rare Metals Tungsten Group Corp
CHINA
4CHN009
Tungsten
Jiangxi Tungsten Industry Group Co Ltd
CHINA
4CHN010
Tungsten
Kennametal Inc.
UNITED STATES
4USA026
Tungsten
Tejing (Vietnam) Tungsten Co Ltd
VIETNAM
4VNM019
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
4AUT012
Tungsten
Wolfram Company CJSC
RUSSIAN FEDERATION
4RUS013
Tungsten
Xiamen Tungsten Co Ltd
CHINA
4CHN014
Tungsten
Zhuzhou Cemented Carbide Group Co Ltd
CHINA
4CHN015