ex_380242.htm
Exhibit 1.01
Conflict Minerals Report
This Conflict Minerals Report for Lattice Semiconductor Corporation is prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for the reporting period that ended December 31, 2021.
Lattice Semiconductor Corporation (collectively with its subsidiaries “Lattice,” “we,” or “our”) designs, develops and markets programmable logic and connectivity solutions. Lattice has adopted a Conflict Minerals Sourcing Policy that expresses our desire to have our products be “DRC Conflict Free,” meaning free from conflict minerals sourced from the Democratic Republic of the Congo and its adjoining countries (“Covered Countries”) that finance or benefit armed groups. Conflict minerals are tantalum, tungsten, tin and gold, and their derivatives.
Products and Initiatives
Based on our internal assessment, our semiconductor devices, evaluation boards, and development hardware that we contract to manufacture contain conflict minerals that are necessary to their functionality (the “3TG Products”). In order to seek a DRC Conflict Free supply chain and to comply with reporting requirements, we established processes designed to determine the source and chain of custody of conflict minerals in the 3TG Products. We have also adopted a Conflict Minerals Sourcing Policy and we require our suppliers to acknowledge and comply with this policy, which is available on the Environmental, Social, and Corporate Governance page of our website at http://www.latticesemi.com/About/ESG.
Diligence Framework
Our due diligence strategy is consistent with the internationally recognized framework established by the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, and related supplements. As part of our due diligence strategy, we established a company risk management system to support our ongoing efforts to identify, assess and respond to risks in our supply chain. Our company risk management system includes participation in industry-driven programs, including the adoption of the Responsible Business Alliance (the “RBA”) Code of Conduct and our support of the third-party audits and assessments conducted in connection with the Responsible Minerals Initiative (the “RMI”) Responsible Minerals Assurance Process (the “RMAP”). Because we are at least several levels removed from the mining, refining and smelting of conflict minerals, our diligence measures can only provide a reasonable assurance regarding the source and chain of custody of conflict minerals in our supply chain. To determine the use and source of conflict minerals in our 3TG Products, we rely upon certifications from suppliers and upon the third-party assessments completed in connection with the RMAP.
As part of the RMAP, smelters are identified as “Conformant” if they have undergone an audit and are conformant with the RMAP assessment protocols. Smelters are identified as “Active” if they are participants in the RMAP and have committed to undergo an audit or are participating in another recognized certification program. These RMAP designations are an integral part of our risk management process because they provide us with independent third-party audits of the due diligence practices of the upstream smelters and refiners in our supply chain.
As part of our strategy, we conduct good faith reasonable country of origin inquiries and due diligence designed to determine whether any conflict minerals in our 3TG Products originated in the Covered Countries. We follow industry standards by requesting each supplier in our supply chain to identify the processing facilities and other data related to conflict minerals in the 3TG Products using the latest version of the RMI Conflict Minerals Reporting Template (the “CMRT”). In order to determine the source and chain of custody of any conflict minerals in our supply chain, we communicate with the relevant suppliers in our supply chain, compile, validate and analyze the CMRT results, attempt to confirm reported results where appropriate, identify possible risks, work with our suppliers to mitigate those risks, and identify smelters and refiners certified by the RMI through the RMAP. If a supplier does not respond to our requests or provides an insufficient response, we engage in further discussions with that supplier to identify and assess risks. Our policy is to disengage with any supplier where we are concerned about conflict minerals sourced from the Covered Countries that finance or benefit armed groups, which may include suppliers from whom we did not receive a sufficient response after multiple inquiries. The results of our supply chain due diligence are reported regularly to Lattice management.
Due Diligence Results
In 2021, over 98% of our product related revenues originated from semiconductor devices, and all of our suppliers of semiconductor devices provided sufficient responses to our request. All of our suppliers of semiconductor devices provided certifications that their upstream smelters and refiners have been certified as Conformant through the RMAP.
Based on the information provided by our suppliers and as a result of our due diligence efforts for the period ended December 31, 2021, we believe that the conflict minerals contained in our 3TG Products originated from the facilities listed in Appendix I, as well as from recycled and scrap sources. Additional smelter and refinery information is contained within our CMRT, which is available upon request.
This Conflict Minerals Report was not subject to an independent private sector audit.
Appendix I
|
Mineral
|
Smelter
|
Location of Facility
|
|
Gold
|
Advanced Chemical Company
|
UNITED STATES OF AMERICA
|
|
Gold
|
Aida Chemical Industries Co., Ltd.
|
JAPAN
|
|
Gold
|
Allgemeine Gold-und Silberscheideanstalt A.G.
|
GERMANY
|
|
Gold
|
Almalyk Mining and Metallurgical Complex (AMMC)
|
UZBEKISTAN
|
|
Gold
|
AngloGold Ashanti Corrego do Sitio Mineracao
|
BRAZIL
|
|
Gold
|
Argor-Heraeus S.A.
|
SWITZERLAND
|
|
Gold
|
Asahi Pretec Corp.
|
JAPAN
|
|
Gold
|
Asaka Riken Co., Ltd.
|
JAPAN
|
|
Gold
|
Aurubis AG
|
GERMANY
|
|
Gold
|
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
|
PHILIPPINES
|
|
Gold
|
Boliden AB
|
SWEDEN
|
|
Gold
|
C. Hafner GmbH + Co. KG
|
GERMANY
|
|
Gold
|
CCR Refinery - Glencore Canada Corporation
|
CANADA
|
|
Gold
|
Cendres + Metaux S.A.
|
SWITZERLAND
|
|
Gold
|
Chimet S.p.A.
|
ITALY
|
|
Gold
|
Chugai Mining
|
JAPAN
|
|
Gold
|
DSC (Do Sung Corporation)
|
KOREA, REPUBLIC OF
|
|
Gold
|
DODUCO Contacts and Refining GmbH
|
GERMANY
|
|
Gold
|
Dowa
|
JAPAN
|
|
Gold
|
Eco-System Recycling Co., Ltd. East Plant
|
JAPAN
|
|
Gold
|
LT Metal Ltd.
|
KOREA, REPUBLIC OF
|
|
Gold
|
Heimerle + Meule GmbH
|
GERMANY
|
|
Gold
|
Heraeus Metals Hong Kong Ltd.
|
CHINA
|
| Gold |
Heraeus Germany GmbH Co. KG |
GERMANY |
|
Gold
|
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
|
CHINA
|
|
Gold
|
Ishifuku Metal Industry Co., Ltd.
|
JAPAN
|
|
Gold
|
Istanbul Gold Refinery
|
TURKEY
|
|
Gold
|
Japan Mint
|
JAPAN
|
|
Gold
|
Jiangxi Copper Co., Ltd.
|
CHINA
|
|
Gold
|
Asahi Refining USA Inc.
|
UNITED STATES OF AMERICA
|
|
Gold
|
Asahi Refining Canada Ltd.
|
CANADA
|
|
Gold
|
JX Nippon Mining & Metals Co., Ltd.
|
JAPAN
|
|
Gold
|
Kazzinc
|
KAZAKHSTAN
|
|
Gold
|
Kennecott Utah Copper LLC
|
UNITED STATES OF AMERICA
|
|
Gold
|
Kojima Chemicals Co., Ltd.
|
JAPAN
|
|
Gold
|
LS-NIKKO Copper Inc.
|
KOREA, REPUBLIC OF
|
|
Gold
|
Materion
|
UNITED STATES OF AMERICA
|
|
Gold
|
Matsuda Sangyo Co., Ltd.
|
JAPAN
|
|
Gold
|
Metalor Technologies (Suzhou) Ltd.
|
CHINA
|
|
Gold
|
Metalor Technologies (Hong Kong) Ltd.
|
CHINA
|
|
Gold
|
Metalor Technologies (Singapore) Pte., Ltd.
|
SINGAPORE
|
|
Mineral
|
Smelter
|
Location of Facility
|
|
Gold
|
Metalor Technologies S.A.
|
SWITZERLAND
|
|
Gold
|
Metalor USA Refining Corporation
|
UNITED STATES OF AMERICA
|
|
Gold
|
Metalurgica Met-Mex Penoles S.A. De C.V.
|
MEXICO
|
|
Gold
|
Mitsubishi Materials Corporation
|
JAPAN
|
|
Gold
|
Mitsui Mining and Smelting Co., Ltd.
|
JAPAN
|
|
Gold
|
Nadir Metal Rafineri San. Ve Tic. A.S.
|
TURKEY
|
| Gold |
Navoi Mining and Metallurgical Combinat |
UZBEKISTAN |
|
Gold
|
Nihon Material Co., Ltd.
|
JAPAN
|
|
Gold
|
Ohura Precious Metal Industry Co., Ltd.
|
JAPAN
|
|
Gold
|
PAMP S.A.
|
SWITZERLAND
|
|
Gold
|
PT Aneka Tambang (Persero) Tbk
|
INDONESIA
|
|
Gold
|
PX Precinox S.A.
|
SWITZERLAND
|
|
Gold
|
Rand Refinery (Pty) Ltd.
|
SOUTH AFRICA
|
|
Gold
|
Royal Canadian Mint
|
CANADA
|
|
Gold
|
Samduck Precious Metals
|
KOREA, REPUBLIC OF
|
|
Gold
|
SEMPSA Joyeria Plateria S.A.
|
SPAIN
|
|
Gold
|
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
|
CHINA
|
|
Gold
|
Sichuan Tianze Precious Metals Co., Ltd.
|
CHINA
|
|
Gold
|
Solar Applied Materials Technology Corp.
|
TAIWAN, PROVINCE OF CHINA
|
|
Gold
|
Sumitomo Metal Mining Co., Ltd.
|
JAPAN
|
|
Gold
|
Tanaka Kikinzoku Kogyo K.K.
|
JAPAN
|
|
Gold
|
Shandong Gold Smelting Co., Ltd.
|
CHINA
|
|
Gold
|
Tokuriki Honten Co., Ltd.
|
JAPAN
|
|
Gold
|
Torecom
|
KOREA, REPUBLIC OF
|
|
Gold
|
Umicore S.A. Business Unit Precious Metals Refining
|
BELGIUM
|
|
Gold
|
United Precious Metal Refining, Inc.
|
UNITED STATES OF AMERICA
|
|
Gold
|
Valcambi S.A.
|
SWITZERLAND
|
|
Gold
|
Western Australian Mint (T/a The Perth Mint)
|
AUSTRALIA
|
|
Gold
|
Yamakin Co., Ltd.
|
JAPAN
|
|
Gold
|
Yokohama Metal Co., Ltd.
|
JAPAN
|
|
Gold
|
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
|
CHINA
|
|
Gold
|
Gold Refinery of Zijin Mining Group Co., Ltd.
|
CHINA
|
| Gold |
SAFINA A.S. |
CZECH REPUBLIC |
|
Gold
|
Umicore Precious Metals Thailand
|
THAILAND
|
|
Gold
|
Geib Refining Corporation
|
UNITED STATES OF AMERICA
|
|
Gold
|
MMTC-PAMP India Pvt., Ltd.
|
INDIA
|
|
Gold
|
KGHM Polska Miedz Spolka Akcyjna
|
POLAND
|
|
Gold
|
Singway Technology Co., Ltd.
|
TAIWAN, PROVINCE OF CHINA
|
|
Gold
|
Al Etihad Gold Refinery DMCC
|
UNITED ARAB EMIRATES
|
|
Gold
|
Emirates Gold DMCC
|
UNITED ARAB EMIRATES
|
|
Gold
|
T.C.A S.p.A
|
ITALY
|
|
Gold
|
REMONDIS PMR B.V.
|
NETHERLANDS
|
|
Gold
|
Korea Zinc Co., Ltd.
|
KOREA, REPUBLIC OF
|
|
Mineral
|
Smelter
|
Location of Facility
|
| Gold |
Marsam Metals |
BRAZIL |
| Gold |
TOO Tau-Ken-Altyn |
KAZAKHSTAN |
| Gold |
SAAMP |
FRANCE |
|
Gold
|
L'Orfebre S.A.
|
ANDORRA
|
|
Gold
|
8853 S.p.A.
|
ITALY
|
|
Gold
|
Italpreziosi
|
ITALY
|
|
Gold
|
WIELAND Edelmetalle GmbH
|
GERMANY
|
|
Gold
|
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
|
AUSTRIA
|
|
Gold
|
Bangalore Refinery
|
INDIA
|
|
Gold
|
SungEel HiMetal Co., Ltd.
|
KOREA, REPUBLIC OF
|
|
Gold
|
Planta Recuperadora de Metales SpA
|
CHILE
|
|
Gold
|
Safimet S.p.A
|
ITALY
|
|
Gold
|
Eco-System Recycling Co., Ltd. North Plant
|
JAPAN
|
|
Gold
|
Eco-System Recycling Co., Ltd. West Plant |
JAPAN
|
|
Tantalum
|
Changsha South Tantalum Niobium Co., Ltd.
|
CHINA
|
|
Tantalum
|
F&X Electro-Materials Ltd.
|
CHINA
|
|
Tantalum
|
Guangdong Zhiyuan New Material Co., Ltd.
|
CHINA
|
|
Tantalum
|
JiuJiang JinXin Nonferrous Metals Co., Ltd.
|
CHINA
|
|
Tantalum
|
Jiujiang Tanbre Co., Ltd.
|
CHINA
|
|
Tantalum
|
LSM Brasil S.A.
|
BRAZIL
|
|
Tantalum
|
Metallurgical Products India Pvt., Ltd.
|
INDIA
|
|
Tantalum
|
Mineracao Taboca S.A.
|
BRAZIL
|
| Tantalum |
Mitsui Mining and Smelting Co., Ltd. |
JAPAN |
|
Tantalum
|
NPM Silmet AS
|
ESTONIA
|
|
Tantalum
|
Ningxia Orient Tantalum Industry Co., Ltd.
|
CHINA
|
|
Tantalum
|
Yanling Jincheng Tantalum & Niobium Co., Ltd.
|
CHINA
|
|
Tantalum
|
Solikamsk Magnesium Works OAO
|
RUSSIAN FEDERATION
|
|
Tantalum
|
Taki Chemical Co., Ltd.
|
JAPAN
|
|
Tantalum
|
Telex Metals
|
UNITED STATES OF AMERICA
|
|
Tantalum
|
Ulba Metallurgical Plant JSC
|
KAZAKHSTAN
|
|
Tantalum
|
Hengyang King Xing Lifeng New Materials Co., Ltd.
|
CHINA
|
|
Tantalum
|
D Block Metals, LLC
|
UNITED STATES OF AMERICA
|
|
Tantalum
|
FIR Metals & Resource Ltd.
|
CHINA
|
| Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
CHINA |
|
Tantalum
|
TANIOBIS Co., Ltd.
|
THAILAND
|
|
Tantalum
|
TANIOBIS GmbH
|
GERMANY
|
|
Tantalum
|
H.C. Starck Hermsdorf GmbH
|
GERMANY
|
|
Tantalum
|
H.C. Starck Inc.
|
UNITED STATES OF AMERICA
|
|
Tantalum
|
TANIOBIS Japan Co., Ltd.
|
JAPAN
|
|
Tantalum
|
TANIOBIS Smelting GmbH & Co. KG
|
GERMANY
|
|
Tantalum
|
Global Advanced Metals Boyertown
|
UNITED STATES OF AMERICA
|
|
Tantalum
|
Global Advanced Metals Aizu
|
JAPAN
|
|
Tantalum
|
Resind Industria e Comercio Ltda.
|
BRAZIL
|
|
Tantalum
|
Jiangxi Tuohong New Raw Material
|
CHINA
|
|
Tin
|
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
|
CHINA
|
|
Tin
|
Alpha
|
UNITED STATES OF AMERICA
|
| Mineral |
Smelter |
Location of Facility
|
|
Tin
|
Dowa
|
JAPAN
|
|
Tin
|
EM Vinto
|
BOLIVIA (PLURINATIONAL STATE OF)
|
|
Tin
|
Fenix Metals
|
POLAND
|
|
Tin
|
Gejiu Non-Ferrous Metal Processing Co., Ltd.
|
CHINA
|
|
Tin
|
Gejiu Zili Mining And Metallurgy Co., Ltd.
|
CHINA
|
|
Tin
|
China Tin Group Co., Ltd.
|
CHINA
|
|
Tin
|
Malaysia Smelting Corporation (MSC)
|
MALAYSIA
|
|
Tin
|
Metallic Resources, Inc.
|
UNITED STATES OF AMERICA
|
|
Tin
|
Mineracao Taboca S.A.
|
BRAZIL
|
|
Tin
|
Minsur
|
PERU
|
|
Tin
|
Mitsubishi Materials Corporation
|
JAPAN
|
|
Tin
|
Jiangxi New Nanshan Technology Ltd.
|
CHINA
|
|
Tin
|
O.M. Manufacturing (Thailand) Co., Ltd.
|
THAILAND
|
|
Tin
|
Operaciones Metalurgicas S.A.
|
BOLIVIA (PLURINATIONAL STATE OF)
|
|
Tin
|
PT Artha Cipta Langgeng
|
INDONESIA
|
| Tin |
PT Babel Surya Alam Lestari |
INDONESIA |
|
Tin
|
PT Mitra Stania Prima
|
INDONESIA
|
|
Tin
|
PT Prima Timah Utama
|
INDONESIA
|
|
Tin
|
PT Refined Bangka Tin
|
INDONESIA
|
| Tin |
PT Stanindo Inti Perkasa |
INDONESIA |
|
Tin
|
PT Timah Tbk Kundur
|
INDONESIA
|
|
Tin
|
PT Timah Tbk Mentok
|
INDONESIA
|
|
Tin
|
Rui Da Hung
|
TAIWAN, PROVINCE OF CHINA
|
|
Tin
|
Soft Metais Ltda.
|
BRAZIL
|
|
Tin
|
Thaisarco
|
THAILAND
|
|
Tin
|
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
|
CHINA
|
|
Tin
|
White Solder Metalurgia e Mineracao Ltda.
|
BRAZIL
|
|
Tin
|
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
|
CHINA
|
|
Tin
|
Yunnan Tin Company Limited
|
CHINA
|
|
Tin
|
Magnu's Minerais Metais e Ligas Ltda.
|
BRAZIL
|
|
Tin
|
PT ATD Makmur Mandiri Jaya
|
INDONESIA
|
|
Tin
|
O.M. Manufacturing Philippines, Inc.
|
PHILIPPINES
|
|
Tin
|
Resind Industria e Comercio Ltda.
|
BRAZIL
|
|
Tin
|
Metallo Belgium N.V.
|
BELGIUM
|
|
Tin
|
Metallo Spain S.L.U.
|
SPAIN
|
|
Tin
|
Thai Nguyen Mining and Metallurgy Co., Ltd.
|
VIETNAM
|
|
Tin
|
PT Menara Cipta Mulia
|
INDONESIA
|
|
Tin
|
HuiChang Hill Tin Industry Co., Ltd.
|
CHINA
|
|
Tin
|
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
|
CHINA
|
|
Tin
|
Chifeng Dajingzi Tin Industry Co., Ltd.
|
CHINA
|
| Tin |
PT Bangka Serumpun |
INDONESIA |
|
Tin
|
Tin Technology & Refining
|
UNITED STATES OF AMERICA
|
|
Tin
|
Ma'anshan Weitai Tin Co., Ltd.
|
CHINA
|
| Tin |
PT Rajawali Rimba Perkasa |
INDONESIA |
|
Tin
|
Luna Smelter, Ltd.
|
RWANDA
|
|
Mineral
|
Smelter |
Location of Facility |
|
Tungsten
|
A.L.M.T. Corp.
|
JAPAN
|
|
Tungsten
|
Kennametal Huntsville
|
UNITED STATES OF AMERICA
|
|
Tungsten
|
Guangdong Xianglu Tungsten Co., Ltd.
|
CHINA
|
|
Tungsten
|
Chongyi Zhangyuan Tungsten Co., Ltd.
|
CHINA
|
|
Tungsten
|
Global Tungsten & Powders Corp.
|
UNITED STATES OF AMERICA
|
|
Tungsten
|
Hunan Chunchang Nonferrous Metals Co., Ltd.
|
CHINA
|
|
Tungsten
|
Japan New Metals Co., Ltd.
|
JAPAN
|
|
Tungsten
|
Ganzhou Huaxing Tungsten Products Co., Ltd.
|
CHINA
|
|
Tungsten
|
Kennametal Fallon
|
UNITED STATES OF AMERICA
|
|
Tungsten
|
Wolfram Bergbau und Hutten AG
|
AUSTRIA
|
|
Tungsten
|
Xiamen Tungsten Co., Ltd.
|
CHINA
|
|
Tungsten
|
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
|
CHINA
|
|
Tungsten
|
Jiangxi Yaosheng Tungsten Co., Ltd.
|
CHINA
|
|
Tungsten
|
Xiamen Tungsten (H.C.) Co., Ltd.
|
CHINA
|
|
Tungsten
|
Jiangxi Gan Bei Tungsten Co., Ltd.
|
CHINA
|
|
Tungsten
|
Ganzhou Seadragon W & Mo Co., Ltd.
|
CHINA
|
|
Tungsten
|
Chenzhou Diamond Tungsten Products Co., Ltd.
|
CHINA
|
|
Tungsten
|
H.C. Starck Tungsten GmbH
|
GERMANY
|
|
Tungsten
|
TANIOBIS Smelting GmbH & Co. KG
|
GERMANY
|
|
Tungsten
|
Masan Tungsten Chemical LLC (MTC)
|
VIETNAM
|
|
Tungsten
|
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
|
CHINA
|
|
Tungsten
|
Niagara Refining LLC
|
UNITED STATES OF AMERICA
|
|
Tungsten
|
Hydrometallurg, JSC
|
RUSSIAN FEDERATION
|
|
Tungsten
|
Unecha Refractory metals plant
|
RUSSIAN FEDERATION
|
|
Tungsten
|
ACL Metais Eireli
|
BRAZIL
|
|
Tungsten
|
Moliren Ltd.
|
RUSSIAN FEDERATION
|
|
The conflict minerals contained in our 3TG Products, to the extent known, are believed to have been sourced from recycled materials or facilities in the following countries: Andorra, Austria, Australia, Belgium, Bolivia, Brazil, Canada, Chile, China, Czech Republic, Estonia, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Republic of Korea, Malaysia, Mexico, Netherlands, Peru, Philippines, Poland, Russia, Rwanda, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, Thailand, Turkey, United States, United Arab Emirates, Uzbekistan, Vietnam.
|
