SD 1 ex101conflictmineralreport.htm SD Exhibit


Exhibit 1.01

Maxim Integrated Products, Inc.

Conflict Mineral Report

For the Calendar Year Reporting Period Ended December 31, 2016

Company Overview:

Maxim Integrated Products, Inc. ("Maxim Integrated" or the "Company" and also referred to as "we," "our" or "us") designs, develops, manufactures and markets a broad range of linear and mixed-signal integrated circuits, commonly referred to as analog circuits, for a large number of geographically diverse customers. The Company also provides a range of high-frequency process technologies and capabilities that can be used in custom designs. The analog market is fragmented and characterized by many diverse applications, a great number of product variations and, with respect to many circuit types, relatively long product life cycles. The Company is a global company with wafer manufacturing facilities in the U.S., testing facilities in the Philippines and Thailand and sales and circuit design offices throughout the world. The major end-markets in which the Company’s products are sold are the Automotive, Communications and Data Center, Computing, Consumer and Industrial markets.

Our Conflict Minerals Policy:

Maxim Integrated is committed to complying with the letter and the spirit of the conflict minerals disclosure requirements adopted by the Securities and Exchange Commission (“SEC”) under Section 13(p) of the Securities and Exchange Act, as amended (“Exchange Act”), in the form of Rule 13p-1 and Form SD (together, the “Conflict Minerals Rule” or “Rule”). Maxim Integrated has considered the Rule’s requirements, guidance from the Organisation for Economic Cooperation and Development (the “OECD”) that has been recognized as authoritative by the SEC (the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, and related Supplements for tin, tantalum, tungsten and gold (“OECD Due Diligence Guidance”)), and related measures being taken by the EICC (Electronic Industry Citizenship Coalition)/GeSI (Global e-Sustainability Initiative) Extractives Work Group, which is part of the joint Conflict-Free Sourcing Initiative (“CFSI”) formed by these organizations, as well as other private-sector organizations’ conflict minerals compliance initiatives, and is implementing and enhancing its formal Conflict Minerals compliance program accordingly. Our Conflict Minerals Policy Statement is available on our website at: http://investor.maximintegrated.com/corporate-responsibility.

To support this policy, Maxim Integrated:
Conducts a reasonable country of origin inquiry of all of its direct suppliers that have products containing necessary conflict minerals and, if required by the Conflict Minerals Rule (as it was for the calendar year 2016 reporting period), implements a program of due diligence on the source and chain of custody of conflict minerals (tin, tantalum, tungsten and gold, or “3TG”) that we consider necessary to the functionality or production of our products (“necessary conflict minerals”).
Expects our direct suppliers to have policies and procedures in place which are in compliance with the Maxim Integrated Conflict Minerals Policy Statement, and will enable transparency of the supply chain to facilitate our compliance with the Conflict Minerals Rule.
Provides, and expects our direct suppliers to cooperate in providing, reasonable country of origin and due diligence information with regard to use of “necessary conflict minerals” in our supply chain.



Efforts to determine the mine or location of origin of the conflict minerals in our products

Tracing the necessary 3TG we use in our products back to the mine and/or source country of origin of each such mineral is a complex endeavor, but an important aspect of responsible sourcing. To help establish and maintain our supply chain compliance sourcing program, we have followed currently established industry guidelines such as those developed





by the CFSI under the auspices of the OECD Due Diligence Guidance, which is taking action to address responsible sourcing through the development of the Conflict-Free Smelter Program ("CFSP") program, which enables companies to source minerals from smelters and refiners that have been subjected to a rigorous, independent third-party audit.

Facilities used to process the conflict minerals in our products; brief description of our products

To implement our reasonable country of origin inquiry (“RCOI”) survey process, we adopted the CFSI’s industry approach and used that organization’s CMRT (Conflict Minerals Reporting Template) to gather information from our first-tier suppliers, asking them to help us trace back the origin of necessary 3TG used in our products by identifying smelters, refineries or recyclers and scrap supplier sources of these minerals. We also utilized the CFSI and its CFSP to trace the mine of origin of the 3TG when such information was available. The CFSP conducts independent audits of smelters and refineries to ensure that all certified smelters and refineries are active in the CFSP.

Maxim Integrated procures IC and discrete components and raw materials that may contain conflict minerals from the following major types of suppliers:

Raw material supplier

Wafer Foundry

IC Assembly Subcontractor and Contract Manufacturers

Component Manufacturer

As discussed above, we manufacture a broad range of linear and mixed signal integrated circuits for a variety of uses (e.g., communications and computers), and have our own wafer fabrication facilities. We also use third-party wafer foundries.

The table below lists the facilities which, to the extent known, were identified by responding first-tier suppliers in our supply chain as sourcing smelters or refineries for one or more of the necessary conflict minerals in our products (we use gold, tin, tantalum and tungsten).

Metal
Standard Smelter/Refiner (“Smelter”) Names
Smelter Location
Smelter ID
Status*
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
CFSP compliant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
CFSP compliant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
CFSP compliant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
CID000058
CFSP compliant
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
CFSP compliant
Gold
Asahi Pretec Corp.
JAPAN
CID000082
CFSP compliant
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
CFSP compliant
Gold
Asahi Refining USA Inc.
UNITED STATES
CID000920
CFSP compliant
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
CFSP compliant
Gold
Aurubis AG
GERMANY
CID000113
CFSP compliant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
CFSP compliant
Gold
Boliden AB
SWEDEN
CID000157
CFSP compliant
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
CFSP compliant
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
CFSP compliant
Gold
Chimet S.p.A.
ITALY
CID000233
CFSP compliant
Gold
DODUCO GmbH
GERMANY
CID000362
CFSP compliant





Gold
Dowa
JAPAN
CID000401
CFSP compliant
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
CFSP compliant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
CFSP compliant
Gold
Elemetal Refining, LLC
UNITED STATES
CID001322
Compliant in 2016
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
CFSP compliant
Gold
Heraeus Ltd. Hong Kong
HONG KONG
CID000707
CFSP compliant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
CFSP compliant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
CFSP compliant
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
CFSP compliant
Gold
Istanbul Gold Refinery
TURKEY
CID000814
CFSP compliant
Gold
Japan Mint
JAPAN
CID000823
CFSP compliant
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
CFSP compliant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
CFSP compliant
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
CFSP compliant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
CFSP compliant
Gold
Kazzinc
KAZAKHSTAN
CID000957
CFSP compliant
Gold
Kennecott Utah Copper LLC
UNITED STATES
CID000969
CFSP compliant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
CFSP compliant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
CFSP compliant
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
CFSP compliant
Gold
Materion
UNITED STATES
CID001113
CFSP compliant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
CFSP compliant
Gold
Metalor Technologies (Hong Kong) Ltd.
HONG KONG
CID001149
CFSP compliant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
CFSP compliant
Gold
Metalor Technologies (Suzhou) Ltd.
China
CID001147
CFSP compliant
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
CFSP compliant
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001157
CFSP compliant
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
CID001161
CFSP compliant
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
CFSP compliant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
CFSP compliant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
CFSP compliant
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
CFSP compliant
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
CID001220
CFSP compliant
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
CFSP compliant
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
CFSP compliant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
CFSP compliant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
CFSP compliant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
CFSP compliant
Gold
PAMP S.A.
SWITZERLAND
CID001352
CFSP compliant
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
CFSP compliant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
CFSP compliant
Gold
PX Précinox S.A.
SWITZERLAND
CID001498
CFSP compliant
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
CFSP compliant
Gold
Republic Metals Corporation
UNITED STATES
CID002510
CFSP compliant
Gold
Royal Canadian Mint
CANADA
CID001534
CFSP compliant
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
CFSP compliant
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
CFSP compliant





Gold
SEMPSA Joyería Platería S.A.
SPAIN
CID001585
CFSP compliant
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
CFSP compliant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
CFSP compliant
Gold
Singway Technology Co., Ltd.
TAIWAN
CID002516
CFSP compliant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
CFSP compliant
Gold
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
CFSP compliant
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
CFSP compliant
Gold
T.C.A S.p.A
ITALY
CID002580
CFSP compliant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
CFSP compliant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
CFSP compliant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
CFSP compliant
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
CFSP compliant
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
CFSP compliant
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
CFSP compliant
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
CFSP compliant
Gold
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
CFSP compliant
Gold
Valcambi S.A.
SWITZERLAND
CID002003
CFSP compliant
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
CID002030
CFSP compliant
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
CFSP compliant
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
CFSP compliant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
CFSP compliant
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
CID002243
CFSP compliant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
CFSP compliant
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
CID000291
CFSP compliant
Tantalum
D Block Metals, LLC
UNITED STATES
CID002504
CFSP compliant
Tantalum
Duoluoshan
CHINA
CID000410
CFSP compliant
Tantalum
Exotech Inc.
UNITED STATES
CID000456
CFSP compliant
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
CFSP compliant
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
CFSP compliant
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
CFSP compliant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
CID002557
CFSP compliant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
CFSP compliant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
CFSP compliant
Tantalum
H.C. Starck GmbH Goslar
GERMANY
CID002545
CFSP compliant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
CFSP compliant
Tantalum
H.C. Starck Inc.
UNITED STATES
CID002548
CFSP compliant
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
CFSP compliant
Tantalum
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002550
CFSP compliant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
CFSP compliant
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES
CID000731
CFSP compliant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
CFSP compliant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
CFSP compliant
Tantalum
Kemet Blue Metals
MEXICO
CID002539
CFSP compliant
Tantalum
Kemet Blue Powder
UNITED STATES
CID002568
CFSP compliant
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
CFSP compliant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
CFSP compliant
Tantalum
Mineração Taboca S.A. - Ta
BRAZIL
CID001175
CFSP compliant
Tantalum
Mitsui Mining & Smelting
JAPAN
CID001192
CFSP compliant





Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
CFSP compliant
Tantalum
NPM Silmet AS
ESTONIA
CID001200
CFSP compliant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
CFSP compliant
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
CFSP compliant
Tantalum
Telex Metals
UNITED STATES
CID001891
CFSP compliant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
CFSP compliant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
CFSP compliant
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CHINA
CID002232
CFSP compliant
Tin
Alpha
UNITED STATES
CID000292
CFSP compliant
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
CFSP compliant
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
CFSP compliant
Tin
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
CID000295
CFSP compliant
Tin
CV Ayi Jaya
INDONESIA
CID002570
CFSP compliant
Tin
CV Gita Pesona
INDONESIA
CID000306
CFSP compliant
Tin
CV Serumpun Sebalai
INDONESIA
CID000313
CFSP compliant
Tin
CV Tiga Sekawan
INDONESIA
CID002593
CFSP compliant
Tin
CV United Smelting
INDONESIA
CID000315
CFSP compliant
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
CFSP compliant
Tin
Dowa
JAPAN
CID000402
CFSP compliant
Tin
Elmet S.L.U.
SPAIN
CID002774
CFSP compliant
Tin
EM Vinto
BOLIVIA
CID000438
CFSP compliant
Tin
Fenix Metals
POLAND
CID000468
CFSP compliant
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859
CFSP compliant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
CFSP compliant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
CFSP compliant
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
CFSP compliant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
CFSP compliant
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
CFSP compliant
Tin
Metallic Resources, Inc.
UNITED STATES
CID001142
CFSP compliant
Tin
Metallo-Chimique N.V.
BELGIUM
CID002773
CFSP compliant
Tin
Mineração Taboca S.A.
BRAZIL
CID001173
CFSP compliant
Tin
Minsur
PERU
CID001182
CFSP compliant
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
CFSP compliant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
CFSP compliant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
CFSP compliant
Tin
Operaciones Metalurgical S.A.
BOLIVIA
CID001337
CFSP compliant
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
CFSP compliant
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
CFSP compliant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
CFSP compliant
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
CFSP compliant
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
CFSP compliant
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
CFSP compliant
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
CFSP compliant
Tin
PT Bukit Timah
INDONESIA
CID001428
CFSP compliant
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
CFSP compliant
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
CFSP compliant
Tin
PT Inti Stania Prima
INDONESIA
CID002530
CFSP compliant
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
CFSP compliant
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
CFSP compliant
Tin
PT Panca Mega Persada
INDONESIA
CID001457
CFSP compliant





Tin
PT Prima Timah Utama
INDONESIA
CID001458
CFSP compliant
Tin
PT REFINED BANGKA TIN
INDONESIA
CID001460
CFSP compliant
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
CFSP compliant
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
CFSP compliant
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
CFSP compliant
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
CFSP compliant
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
CFSP compliant
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
CFSP compliant
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
CFSP compliant
Tin
PT Tommy Utama
INDONESIA
CID001493
CFSP compliant
Tin
Resind Indústria e Comércio Ltda.
BRAZIL
CID002706
CFSP compliant
Tin
Rui Da Hung
TAIWAN
CID001539
CFSP compliant
Tin
Soft Metais Ltda.
BRAZIL
CID001758
CFSP compliant
Tin
Thaisarco
THAILAND
CID001898
CFSP compliant
Tin
VQB Mineral and Trading Group JSC
VIET NAM
CID002015
CFSP compliant
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
CID002036
CFSP compliant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
CFSP ACTIVE
Tin
Yunnan Tin Company Limited
CHINA
CID002180
CFSP compliant
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
CFSP compliant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
CFSP compliant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
CFSP compliant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
CFSP compliant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
CFSP compliant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
CFSP compliant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CID002494
CID002494
CFSP compliant
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
CFSP compliant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
CFSP compliant
Tungsten
H.C. Starck GmbH
GERMANY
CID002541
CFSP compliant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002542
CFSP compliant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
CFSP compliant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
CFSP compliant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
CFSP compliant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
CFSP compliant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
CFSP compliant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
CFSP compliant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
CFSP compliant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
CFSP compliant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
CFSP compliant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
CFSP compliant
Tungsten
Kennametal Fallon
UNITED STATES
CID000966
CFSP compliant
Tungsten
Kennametal Huntsville
UNITED STATES
CID000105
CFSP compliant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
CFSP compliant
Tungsten
Niagara Refining LLC
UNITED STATES
CID002589
CFSP compliant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
CFSP compliant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
CID001889
CFSP compliant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
CFSP compliant
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
CFSP compliant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
CFSP compliant





Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
CFSP compliant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
CFSP compliant

* As of April 30, 2017. “CFSP Compliant” means that the Smelter’s name was included on the Conflict Free Smelter and Refiner List published on the CFSI website. “CFSP Active” means that the Smelter’s name was included on the Active Smelters and Refiners List published on the CFSI website. “2016 Compliant” means the Smelter was CFSP Compliant in 2016, but has withdrawn from CSFI in 2017.

Countries of origin for mines of the conflict minerals these facilities process are believed to include:
Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi Cambodia, Canada, Chile, China, Colombia, Democratic Republic of Congo, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia,
Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United States of America, Uzbekistan, Vietnam, Zimbabwe.

Exercise due diligence on the source and chain of custody of its conflict minerals following recognized framework:

Due Diligence Framework

We have exercised due diligence on the source and chain of custody of our conflict minerals to identify minerals originating from the Covered Countries (DRC or an adjoining country) that are not from scrap or recycled materials. Maxim Integrated’s due diligence process has been designed and implemented based on the framework set forth in the OECD Due Diligence Guidance.

Our conflict minerals due diligence process in calendar year 2016 followed each of the five OECD-recommended steps:

1.
Establishment of Strong Company Management Systems

2.
Identify and assess risks in the supply chain

3.
Design and implement a strategy to respond to identified risks

4.
Encourage the independent third-party audit of smelter/refiner’s due diligence practices

5.
Report annually on supply chain due diligence


Inherent Limitations on Due Diligence Measures

As a downstream purchaser of conflict minerals or products (including components) manufactured by third parties that contain conflict minerals, our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals contained in the products we sell to our customers. Our due diligence processes are based on the necessity of seeking data from our direct suppliers, and on those suppliers in turn seeking similar information within their supply chains to identify the original sources of the necessary conflict minerals. We also rely, to a large extent, on information collected and provided by independent third party audit programs such as the CFSP. This process, in our view, is entirely consistent with the OECD Due Diligence Guidance for downstream companies. Maxim Integrated is an active member of CFSI which oversees the CFSP audit program.

Brief description of due diligence measures taken






1.0 Strong Company Management Systems:

We have established a management system for complying with the applicable rules. Our management system includes the development of a Conflict Minerals Oversight Committee led by our Senior Vice President and General Counsel, Senior Vice President, Quality and Vice President, Deputy General Counsel. Maxim Integrated has also developed a team of subject matter experts from relevant functions with specific responsibilities. The Quality Director is responsible for directing the project operations and reporting to upper management. The Quality Director is also responsible for implementation of the supply chain due diligence process. Data collection and reporting are handled by the Environmental Materials Management and Information (EMMI) group within the Quality organization. The Environmental Materials Manager is responsible for day-to-day data collection, customer responses, supply chain and smelter communication, data/information validation, and archival documentation.

The team of subject matter experts is responsible for implementing our conflict mineral compliance policy, procedures and strategy. The Conflict Minerals Oversight Committee has been briefed about the results of our due diligence efforts on a periodic basis and the Director of Quality is briefed regularly during staff meetings.

2.0 Identification and Assessment of Risks in the Supply Chain:

We have made our reasonable efforts to identify first-tier suppliers that supply products or raw materials that may potentially contain necessary conflict minerals by conducting a supply chain survey using the EICC CFSI Conflict Minerals Reporting Template (CMRT), requesting all of our direct suppliers to identify smelters and refiners and country of origin of the conflict minerals in products and/or raw materials they supply to us; following up with direct suppliers that do not respond to the EICC CFSI Conflict Minerals Report Template by requesting their responses; comparing smelters and refiners identified by respondents to our supply chain survey against the list of facilities that have received a “Compliant” or “Active” designation from the CFSP, which designations provide country of origin information; and maintaining documentation of our efforts pursuant to this process. We also review the responses to identify red flags in the responses for further follow-up and also identify key risks to our supply chain; this information also is documented.

3.0 Strategic Response to Identified Risks:

We have and will continue to make reasonable efforts to encourage suppliers who are sourcing from non-compliant smelters and/or refineries to move towards using compliant smelters and refiners (as identified via the CFSP and other industry-developed third-party audit mechanisms). If a supplier fails to remedy the risks identified by our risk assessment, we intend to escalate it to Conflict Minerals Oversight Committee to determine whether to approve or reject the supplier based on the following factors: a thorough cost and benefit analysis; potential risk factors; any existing competitive bids; and whether the supplier is a single source supplier. If the Conflict Minerals Oversight Committee decides to continue such a business relationship due to inherent limitations of the supply chain, we will use reasonable efforts to follow up with said supplier for its correction plan, and encourage our suppliers to work with CFSP compliant smelters and refiners. We provide and plan to continue to provide periodic compliance updates or reports to our Conflict Minerals Oversight Committee summarizing our risk mitigation efforts.

4.0 Independent Third Party Audit of Smelter/Refiner’s Due Diligence Practices:

We do not have a direct relationship with 3TG smelters and refiners; hence, we do not and are not able to perform direct audits of these entities that provide the 3TG metals to our supply chain. However, we do rely upon industry efforts, including the EICC CFSI, to influence smelters and refiners to get audited and certified through CFSI’s CFSP. We rely upon the summary audit reports on compliance status for smelters generated by the CFSP to validate the responses received from suppliers surveyed pursuant to our RCOI process and address red flags identified in Step 2 above. We believe our efforts adequately address this requirement in the OECD Due Diligence Guidance.

5.0 Annual Report on Supply Chain Due Diligence:






In addition to this Conflict Minerals Report and accompanying Form SD, for further information about our Conflict Minerals Policy Statement, please see: http://investor.maximintegrated.com/corporate-responsibility.

Results of due diligence measures taken

We are committed to continuing and improving upon the use of our supply chain due diligence processes, leveraging the industry standard CFSP and other resources made available by the CFSI, as well as the LBMA and other respected industry groups, to assist companies in following the OECD Due Diligence Guidance, and the ongoing update of our supplier RCOI information as we continue to develop additional transparency into our supply chain.

CONFLICT MINERALS REPORT

The Conflict Minerals Report for the calendar year ended December 31, 2016 is filed with the SEC as Exhibit 1.01 to Form SD, and is available at http://investor.maximintegrated.com/financial-information. The content of this website, and any other website referred to in this Conflict Minerals Report and/or the accompanying Form SD, is not incorporated by reference into either of these documents, or any other document Maxim Integrated has filed or will file with the SEC.