EX-1.01 2 conflictmineralsreport2017.htm EXHIBIT 1.01 Exhibit

Exhibit 1.01

Conflict Minerals Report of General Cable Corporation in Accordance with Rule
13p-1 under the Securities Exchange Act of 1934

Introduction

This Conflict Minerals Report (this “Report”) of General Cable Corporation (“General Cable,” “we,” “us,” or “our”) for calendar year 2017 has been prepared in accordance with Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended. Please refer to the Rule, Form SD and Release No. 34-67716 issued by the Securities and Exchange Commission (“SEC”) on August 22, 2012 for definitions to the terms used in this Report, unless otherwise defined herein.

The SEC adopted the Rule to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The Rule imposes certain reporting obligations on SEC registrants who manufacture or contract to manufacture products containing conflict minerals that are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (collectively, “3TG metals”) for the purposes of this assessment. The “Covered Countries” for the purposes of the Rule are the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. General Cable has determined that certain of its operations manufacture, or contract to manufacture products, which contain 3TG metals that are necessary to the functionality or production of such products.

Description of General Cable’s Products Covered by this Report

This Report relates to products (i) for which conflict minerals are necessary to the functionality or production of those products, (ii) that were manufactured or contracted for manufacture by General Cable, and (iii) for which the manufacture was completed during calendar year 2017 (the “Covered Products”).

Reasonable Country of Origin Inquiry

In accordance with the Rule, General Cable conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the 3TG metals contained in the Covered Products. This good faith RCOI was reasonably designed to determine whether any of such 3TG metals originated in the Covered Countries and whether any of such 3TG metals may be from scrap/recycled sources.

In 2017, General Cable engaged Assent Compliance Inc. (“Assent”) to assist General Cable with its RCOI. Acting on General Cable’s behalf, Assent conducted the supplier survey portion of General Cable’s RCOI. The survey employed the Conflict Minerals Reporting Template (the “CMRT”) developed by the Responsible Minerals Initiative, formerly the Electronic Industry Citizenship Coalition and the Global e-Sustainability Initiative. The CMRT was created as a common means for the collection of sourcing information related to 3TG metals. It includes questions regarding the supplier’s conflict-free sourcing policy, the engagement process with its direct suppliers, and identification of the smelters used by the supplier.

Suppliers were asked to complete and submit, within a certain time frame, the CMRT. During General Cable’s RCOI, Assent contacted non-responsive suppliers to ensure maximum compliance. Members of Assent made at least three follow-up inquiries to each “failed” supplier who did not respond to the initial survey, by phone or email. Assent reviewed the responses against criteria developed to determine which required further engagement with General Cable’s suppliers. These criteria included incomplete responses as well as inconsistencies within the data reported in the CMRT. Assent worked directly with those suppliers to provide revised responses. General Cable received survey responses from 96 of its 128 total, in-scope, suppliers. Survey responses collectively identified 76 suppliers as potentially having 3TG metals in the products they supply to General Cable.



 
Through General Cable’s RCOI, some of its suppliers disclosed that scrap/recycled sources of 3TG metals were identified in their supply chains and did not require due diligence. After reviewing the balance of the results of the RCOI and comparing the smelters/refiners identified in the supply-chain survey against verified lists produced by the Responsible Minerals Initiative (RMI), General Cable determined that it had reason to believe that some of the 3TG metals necessary for the functionality of its Covered Products may have originated in a Covered Country. Therefore, General Cable determined that the Rule required that we exercise due diligence on the source and chain of custody of such 3TG metals.

Design of Due Diligence Framework

General Cable designed its due diligence program to conform in all material respects with the OECD (2016) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, an internationally recognized due diligence framework.
 
Due Diligence Measures Performed
 
General Cable's due diligence measures included, but were not limited to:

Establishing a Conflict Minerals Policy. We have adopted a conflict minerals policy that includes a statement on General Cable’s commitment to working    with our global supply chain to ensure compliance with the Rule. General Cable’s expectations for its suppliers to participate in our conflict minerals compliance program are also set forth in the policy. The policy is publicly available on our website at the following link: http://www.generalcablecsr.com/citizenship/conflictminerals.asp. If a supplier is unwilling to support General Cable in its conflict minerals program efforts, General Cable may take remediation steps, up to and including alternative sourcing arrangements. General Cable may also take remediation steps if a supplier cannot determine whether its materials or products contain Conflict Minerals.

Education and training to company personnel. General Cable has conducted training of personnel who have influence over sourcing decisions on conflict mineral awareness. This training allows General Cable personnel to understand General Cable’s conflict minerals program.

Maintaining a multi-disciplinary internal team to implement our 3TG metals due diligence measures. General Cable maintains a cross-functional conflict minerals team (“Conflict Minerals Team”), including, but not limited to representatives from legal and supply chain, to direct the execution of our conflict minerals compliance program.

Conducting an internal assessment to identify materials that could contain 3TG metals and suppliers who sourced those materials to General Cable. The Conflict Minerals Team reviews changes in the business to determine if material changes have been made in the way General Cable produces its products and/or if changes have been made in the materials used in its products. When new suppliers are added, the Conflict Minerals Team reviews the suppliers for compliance with its Conflict Minerals Policy. General Cable maintains a compliance helpline whereby employees, suppliers, and other third-parties can report concerns or violations of General Cable’s policies. General Cable also maintains an email address (ConflictMinerals@generalcable.com) for parties to report any questions or concerns related to its Conflict Minerals Policy.

Using a third party service, comparing smelters/refiners identified by suppliers to the RMI lists of
verified facilities. In total, General Cable’s suppliers named 7,143 potential smelters/refiners as a result of our survey. For all responses that indicated a smelter/refiner, Assent compared the facilities listed to the list of smelters/refiners maintained by the Responsible Minerals Initiative (RMI). Many of the responses received were duplicates. After eliminating all duplicate and invalid responses, General Cable identified 235 smelters/refiners that may have supplied 3TG metals to its suppliers. Exhibit A contains a list of such known smelters/




refiners reported by General Cable’s suppliers which may have been used to process the 3TG metals utilized in the Covered Products.

If a supplier indicated that the facility was certified as “conflict-free,” Assent confirmed that the name was listed by RMI as a certified conflict-free smelter. Of the 235 smelters/refiners identified by our suppliers, as of May 18, 2018:
176 are included on RMI’s conflict-free smelter/refiner lists;
10 have not received a conflict-free designation, but have begun participating in an independent third party audit program; and
49 have not begun participating in an independent third party audit program.

The vast majority of the responses received provided data at the supplier company level or a division/segment level relative to the supplier, rather than at a level directly relating to a part number that the supplier supplies to General Cable, or were otherwise unable to specify the smelters/refiners used for components supplied to General Cable. General Cable was therefore unable to determine whether any of the 3TG metals that these suppliers reported were contained in components or parts that the suppliers supplied to General Cable or to validate that any of these smelters/refiners were actually in General Cable’s supply chain. Accordingly, we have been unable to definitely link the identified smelters/refiners to only those products/materials in our supply chain; therefore our smelter/refiner list likely contains more processing facilities than are actually in our supply chain or Covered Products. However, based on the information that was obtained, General Cable has reasonably determined that countries of origin of the Conflict Minerals may include the countries listed within Exhibit A.

General Cable is several levels removed from the sources of ores from which 3TG metals contained in the Covered Products are produced and the smelters/refiners that process those ores. General Cable does not make purchases of raw ore or unrefined 3TG metals and makes no purchases in the Covered Countries. General Cable must therefore rely on its suppliers to provide information regarding the origin of the 3TG metals contained in the Covered Products. Accordingly, the efforts we have undertaken to identify the source and chain of custody of the 3TG metals in the Covered Products reflect our circumstances and position in the supply chain. As a result, our inquiry can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the 3TG metals necessary to the functionality of the Covered Products. Our process relies on data obtained directly from our suppliers who seek similar information within their supply chain to identify the original sources of the necessary 3TG metals. Such sources of information may yield inaccurate or incomplete information.

Future Due Diligence Measures
 
General Cable will continue to take steps to enhance its due diligence program to mitigate the risk that the necessary 3TG metals contained in the Covered Products finance or benefit armed groups in the Covered Countries. The steps include but are not limited to:
Continuing to engage with suppliers to obtain current, accurate and complete information about the supply chain;
Continuing to identify alternative suppliers for vendors not responding timely and sufficiently;
Continuing to identify alternative sources for 3TG metals materials; and
Continuing to provide internal education and training to company personnel.




Exhibit A

The information below includes smelter/refiners reported by General Cable’s suppliers, as of May 18, 2018, which may have been used to process the 3TG metals in the Covered Products. However, General Cable cannot confirm which of these smelters/refiners, if any, provided 3TG metals that may be contained in the Covered Products, as General Cable is unable to determine the upstream chain of custody of raw materials in General Cable’s supply chain.
Metal
Smelter/Refiner
Status
Gold
Abington Reldan Metals, LLC
3
Gold
Advanced Chemical Company
1
Gold
African Gold Refinery
3
Gold
Aida Chemical Industries Co., Ltd.
1
Gold
Al Etihad Gold LLC
1
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
1
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
1
Gold
AngloGold Ashanti Córrego do Sítio Mineração
1
Gold
Argor-Heraeus S.A.
1
Gold
Asahi Pretec Corp.
1
Gold
Asahi Refining Canada Ltd.
1
Gold
Asahi Refining USA Inc.
1
Gold
Asaka Riken Co., Ltd.
1
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
3
Gold
AU Traders and Refiners
1
Gold
Aurubis AG
1
Gold
Bangalore Refinery
2
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
1
Gold
Boliden AB
1
Gold
C. Hafner GmbH + Co. KG
1
Gold
Caridad
3
Gold
CCR Refinery - Glencore Canada Corporation
1
Gold
Cendres + Métaux S.A.
1
Gold
Chimet S.p.A.
1
Gold
Chugai Mining
3
Gold
Daejin Indus Co., Ltd.
1
Gold
Daye Non-Ferrous Metals Mining Ltd.
3
Gold
Degussa Sonne / Mond Goldhandel GmbH
3
Gold
DODUCO Contacts and Refining GmbH
1
Gold
Dowa
1
Gold
DS PRETECH Co., Ltd.
2
Gold
DSC (Do Sung Corporation)
1
Gold
Eco-System Recycling Co., Ltd.
1
Gold
Elemetal Refining, LLC
3
Gold
Emirates Gold DMCC
1
Gold
Fidelity Printers and Refiners Ltd.
3




Gold
GCC Gujrat Gold Centre Pvt. Ltd.
3
Gold
Geib Refining Corporation
1
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
1
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
3
Gold
Guangdong Jinding Gold Limited
3
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
3
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
3
Gold
HeeSung
1
Gold
Heimerle + Meule GmbH
1
Gold
Heraeus Metals Hong Kong Ltd.
1
Gold
Heraeus Precious Metals GmbH & Co. KG
1
Gold
Hunan Chenzhou Mining Co., Ltd.
3
Gold
Hwasung CJ Co., Ltd.
3
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
1
Gold
Ishifuku Metal Industry Co., Ltd.
1
Gold
Istanbul Gold Refinery
1
Gold
Italpreziosi
1
Gold
Japan Mint
1
Gold
Jiangxi Copper Co., Ltd.
1
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
1
Gold
JSC Uralelectromed
1
Gold
JX Nippon Mining & Metals Co., Ltd.
1
Gold
Kaloti Precious Metals
3
Gold
Kazakhmys Smelting LLC
3
Gold
Kazzinc
1
Gold
Kennecott Utah Copper LLC
1
Gold
KGHM Polska Miedz Spolka Akcyjna
2
Gold
Kojima Chemicals Co., Ltd.
1
Gold
Korea Zinc Co., Ltd.
1
Gold
Kyrgyzaltyn JSC
1
Gold
Kyshtym Copper-Electrolytic Plant ZAO
3
Gold
L'azurde Company For Jewelry
3
Gold
Lingbao Gold Co., Ltd.
3
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
3
Gold
L'Orfebre S.A.
2
Gold
LS-NIKKO Copper Inc.
1
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
3
Gold
Marsam Metals
1
Gold
Materion
1
Gold
Matsuda Sangyo Co., Ltd.
1
Gold
Metalor Technologies (Hong Kong) Ltd.
1
Gold
Metalor Technologies (Singapore) Pte., Ltd.
1
Gold
Metalor Technologies (Suzhou) Ltd.
1




Gold
Metalor Technologies S.A.
1
Gold
Metalor USA Refining Corporation
1
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
1
Gold
Mitsubishi Materials Corporation
1
Gold
Mitsui Mining and Smelting Co., Ltd.
1
Gold
MMTC-PAMP India Pvt., Ltd.
1
Gold
Modeltech Sdn Bhd
2
Gold
Morris and Watson
3
Gold
Morris and Watson Gold Coast
3
Gold
Moscow Special Alloys Processing Plant
1
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
1
Gold
Navoi Mining and Metallurgical Combinat
3
Gold
NH Recytech Company
2
Gold
Nihon Material Co., Ltd.
1
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
1
Gold
Ohura Precious Metal Industry Co., Ltd.
1
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
1
Gold
OJSC Novosibirsk Refinery
1
Gold
PAMP S.A.
1
Gold
Pease & Curren
3
Gold
Penglai Penggang Gold Industry Co., Ltd.
3
Gold
Planta Recuperadora de Metales SpA
1
Gold
Prioksky Plant of Non-Ferrous Metals
1
Gold
PT Aneka Tambang (Persero) Tbk
1
Gold
PX Précinox S.A.
1
Gold
Rand Refinery (Pty) Ltd.
1
Gold
Refinery of Seemine Gold Co., Ltd.
3
Gold
Remondis Argentia B.V.
2
Gold
Republic Metals Corporation
1
Gold
Royal Canadian Mint
1
Gold
SAAMP
1
Gold
Sabin Metal Corp.
3
Gold
Safimet S.p.A
1
Gold
SAFINA A.S.
2
Gold
Sai Refinery
3
Gold
Samduck Precious Metals
1
Gold
SAMWON Metals Corp.
3
Gold
SAXONIA Edelmetalle GmbH
1
Gold
Schone Edelmetaal B.V.
1
Gold
SEMPSA Joyería Platería S.A.
1
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
3
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
1
Gold
Sichuan Tianze Precious Metals Co., Ltd.
1




Gold
Singway Technology Co., Ltd.
1
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
1
Gold
Solar Applied Materials Technology Corp.
1
Gold
State Research Institute Center for Physical Sciences and Technology
3
Gold
Sudan Gold Refinery
3
Gold
Sumitomo Metal Mining Co., Ltd.
1
Gold
SungEel HiTech
1
Gold
T.C.A S.p.A
1
Gold
Tanaka Kikinzoku Kogyo K.K.
1
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
1
Gold
Tokuriki Honten Co., Ltd.
1
Gold
Tongling Nonferrous Metals Group Co., Ltd.
3
Gold
Tony Goetz NV
3
Gold
TOO Tau-Ken-Altyn
3
Gold
Torecom
1
Gold
Umicore Brasil Ltda.
1
Gold
Umicore Precious Metals Thailand
1
Gold
Umicore S.A. Business Unit Precious Metals Refining
1
Gold
United Precious Metal Refining, Inc.
1
Gold
Universal Precious Metals Refining Zambia
3
Gold
Valcambi S.A.
1
Gold
Western Australian Mint trading as The Perth Mint
1
Gold
WIELAND Edelmetalle GmbH
1
Gold
Yamamoto Precious Metal Co., Ltd.
1
Gold
Yokohama Metal Co., Ltd.
1
Gold
Yunnan Copper Industry Co., Ltd.
3
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
1
Tin
Alpha
1
Tin
An Vinh Joint Stock Mineral Processing Company
3
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
1
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
2
Tin
China Tin Group Co., Ltd.
1
Tin
CNMC (Guangxi) PGMA Co., Ltd.
3
Tin
CV Ayi Jaya
1
Tin
CV Dua Sekawan
1
Tin
CV Gita Pesona
1
Tin
CV Tiga Sekawan
1
Tin
CV United Smelting
1
Tin
CV Venus Inti Perkasa
1
Tin
Dowa
1
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
3
Tin
EM Vinto
1
Tin
Estanho de Rondônia S.A.
3




Tin
Fenix Metals
1
Tin
Gejiu Fengming Metallurgy Chemical Plant
1
Tin
Gejiu Jinye Mineral Company
1
Tin
Gejiu Kai Meng Industry and Trade LLC
1
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
1
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
1
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
3
Tin
Guangdong Hanhe Non-ferrous Metal Limited Company
1
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
1
Tin
HuiChang Hill Tin Industry Co., Ltd.
1
Tin
Huichang Jinshunda Tin Co., Ltd.
1
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
1
Tin
Jiangxi New Nanshan Technology Ltd.
1
Tin
Magnu's Minerais Metais e Ligas Ltda.
1
Tin
Malaysia Smelting Corporation (MSC)
1
Tin
Melt Metais e Ligas S.A.
1
Tin
Metallic Resources, Inc.
1
Tin
Metallo Belgium N.V.
1
Tin
Metallo Spain S.L.U.
1
Tin
Mineracao Taboca S.A.
1
Tin
Minsur
1
Tin
Mitsubishi Materials Corporation
1
Tin
Modeltech Sdn Bhd
2
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
3
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
1
Tin
O.M. Manufacturing Philippines, Inc.
1
Tin
Operaciones Metalurgical S.A.
1
Tin
Pongpipat Company Limited
3
Tin
PT Aries Kencana Sejahtera
1
Tin
PT Artha Cipta Langgeng
1
Tin
PT ATD Makmur Mandiri Jaya
1
Tin
PT Babel Inti Perkasa
1
Tin
PT Bangka Prima Tin
1
Tin
PT Bangka Serumpun
1
Tin
PT Bangka Tin Industry
1
Tin
PT Belitung Industri Sejahtera
1
Tin
PT Bukit Timah
1
Tin
PT DS Jaya Abadi
1
Tin
PT Eunindo Usaha Mandiri
1
Tin
PT Inti Stania Prima
1
Tin
PT Karimun Mining
1
Tin
PT Kijang Jaya Mandiri
1
Tin
PT Lautan Harmonis Sejahtera
1




Tin
PT Menara Cipta Mulia
1
Tin
PT Mitra Stania Prima
1
Tin
PT O.M. Indonesia
1
Tin
PT Panca Mega Persada
1
Tin
PT Premium Tin Indonesia
1
Tin
PT Prima Timah Utama
1
Tin
PT Refined Bangka Tin
1
Tin
PT Sariwiguna Binasentosa
1
Tin
PT Stanindo Inti Perkasa
1
Tin
PT Sukses Inti Makmur
1
Tin
PT Sumber Jaya Indah
1
Tin
PT Timah (Persero) Tbk Kundur
1
Tin
PT Timah (Persero) Tbk Mentok
1
Tin
PT Tinindo Inter Nusa
1
Tin
PT Tommy Utama
1
Tin
Resind Industria e Comercio Ltda.
1
Tin
Rui Da Hung
1
Tin
Soft Metais Ltda.
1
Tin
Super Ligas
3
Tin
Thaisarco
1
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
3
Tin
White Solder Metalurgia e Mineração Ltda.
1
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
1
Tin
Yunnan Tin Company Limited
1
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
1
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
1
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
1

* Status Legend:
1.
Included on RMI’s conflict-free smelter/refiner list.
2.
Has not received a conflict-free designation, but has begun participating in an independent third party audit program.
3.
Has not begun participating in an independent third party audit program.

Countries of origin identified:
 
This list of potential countries of origin is populated based on publicly available information, our RCOI and due diligence. It is important to note that this is also based on company level responses and therefore, it is not certain which of these countries of origin can be linked to our products.

Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe