EX-1.01 2 conflictmineralsreport2020.htm EX-1.01 Document

Exhibit 1.01
Conflict Minerals Report of Polaris Inc.
I.    Introduction
This is the Conflict Minerals Report of Polaris Inc. (“Polaris,” the “Company”, “we” or “us”) for calendar year 2020 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”).
Certain Polaris products contain materials that use tin, tantalum, tungsten and/or gold (collectively “3TG”). Due to the depth of the supply chain, we are far removed from the sources of ore from which these metals are produced and the smelters/refiners that process those ores. Accordingly, the efforts we have undertaken to identify the countries of origin of those ores reflect our circumstances and position in the supply chain. The amount of information available globally on the traceability and sourcing of these ores is limited at this time. We have taken steps to identify the applicable smelters and refiners of such 3TG metals in our supply chain. The efforts were undertaken on the products manufactured by us in 2020.

II.    Reasonable Country of Origin Inquiry (RCOI)
Direct suppliers were asked to provide answers to the Electronic Industry Citizenship Coalition-Global e-Sustainability Initiative (EICC-GeSI) Conflict Minerals Common Reporting Template. The EICC-GeSI Conflict Minerals Common Reporting Template is regarded as the most common reporting tool for conflict minerals content and sourcing information worldwide, developed by several of the world’s leading consumer electronics brands.
Questionnaires received from our direct suppliers were reviewed for completeness and consistency of answers. Certain suppliers were requested to provide corrections and clarifications as needed. We identified a list of smelters/refiners, and their countries of origin, which may supply 3TG utilized in our manufactured products. As many of the responses received from our suppliers were at a level higher than only those products procured to us, it is possible that the list includes smelters/refiners which do not provide 3TG that are utilized in our manufactured products. While we believe our RCOI process was reasonably designed and performed in good faith, as we did not receive responses from all inquired suppliers the list of smelters/refiners set forth below may be incomplete.
The list of smelters/refiners, and their countries of origin, is listed in Section VIII of this Conflict Minerals Report. Through our RCOI process, some suppliers disclosed to us that scrap sources of 3TG were identified in their supply chains and did not require due diligence. These sources are excluded from the listing in Section VIII. Additionally, some of the processing facilities named by our suppliers are not verified or audited smelters/refiners. We will continue to monitor the status of these facilities, whether they should be listed as a Polaris processing facility and, if so, the associated countries of origin.

III.    Design of Due Diligence Measures
We designed our due diligence measures to conform in all material respects with the five step framework of OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the supplements on tin, tantalum, tungsten and gold.





IV.    Due Diligence Measures Performed
The due diligence measures performed include, but are not limited to the following:
Reported to senior management on direct suppliers’ responses to our conflict minerals information requests, including updates on monitoring and tracking corrective action and risk mitigation efforts;
Communicated our policy on Conflict Minerals to direct suppliers;
Communicated the commitments and requirements expected of our suppliers;
Developed a risk mitigation plan that allows for continued trade with a supplier during the supplier’s risk mitigation efforts;
Supported the development and implementation of independent third party audits of smelter/refiner’s sourcing through our policy and procurement practices that encourage suppliers to purchase materials from audited smelters/refiners.

V.    Product Description
We design, engineer and manufacture powersports vehicles which include Off-Road Vehicles (ORV), including All-Terrain Vehicles (ATV) and side-by-side vehicles for recreational and utility use, Snowmobiles, Motorcycles, Global Adjacent Markets vehicles, including Commercial, Government and Defense vehicles, and Boats, together with related Parts, Garments and Accessories (PG&A), as well as aftermarket accessories and apparel. Many of our products are manufactured utilizing similar processes and similar components. Our suppliers often supply parts and components that are utilized in multiple product categories. The products that we manufacture that are subject to the reporting obligation of Rule 13p-1 contain 3TG of unknown origin.

VI.    Steps to Improve Due Diligence
We have engaged a third-party service compliance consultant to assist us in reviewing the supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that the Company will undertake with suppliers in regards to conflict minerals. We have and will continue to communicate our expectations and information requirements to our direct suppliers. We have and will also continue to monitor changes in circumstances that may impact the facts or our determination. Over time, we anticipate that the amount of information globally on the traceability and sourcing of the applicable ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional fact and risk assessments where potentially relevant changes in facts or circumstances are identified. New suppliers will be reviewed for conflict minerals conformance during initial business reviews. If we become aware of a supplier whose due diligence needs improvement, we intend to continue the trade relationship while that supplier improves its performance. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.





VII.    Independent Private Sector Audit
In April 2014, the Securities and Exchange Commission provided written guidance that explained that only companies who elect to claim that their products are "Conflict Free" are subject to an independent private section audit. We are not making such a claim. Consequently, this report presented herein was not audited.

VIII.    List of Smelters/Refiners
Section II discusses the process we used to identify potential smelters/refiners within our supply chain. We identified the following smelters/refiners that have achieved Conflict Free designation by the Conflict Free Smelter Initiative (CFSI) or an audit program with which CFSI has mutual recognition, or are actively in the process of obtaining the designations:
Subject MineralSmelter or Refiner Name
Gold8853 S.p.A.
GoldAdvanced Chemical Company
GoldAida Chemical Industries Co., Ltd.
GoldAl Etihad Gold Refinery DMCC
GoldAlexy Metals
GoldAllgemeine Gold-und Silberscheideanstalt A.G.
GoldAlmalyk Mining and Metallurgical Complex (AMMC)
GoldAngloGold Ashanti Corrego do Sitio Mineracao
GoldArgor-Heraeus S.A.
GoldAsahi Pretec Corp.
GoldAsahi Refining Canada Ltd.
GoldAsahi Refining USA Inc.
GoldAsaka Riken Co., Ltd.
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.
GoldAU Traders and Refiners
GoldAugmont Enterprises Private Limited
GoldAurubis AG
GoldBangalore Refinery
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)
GoldBoliden AB
GoldC. Hafner GmbH + Co. KG
GoldC.I Metales Procesados Industriales SAS
GoldCCR Refinery - Glencore Canada Corporation
GoldCendres + Metaux S.A.
GoldChimet S.p.A.
GoldChugai Mining
GoldDaye Non-Ferrous Metals Mining Ltd.
GoldDijllah Gold Refinery FZC
GoldDODUCO Contacts and Refining GmbH
GoldDowa




Subject MineralSmelter or Refiner Name
GoldDS PRETECH Co., Ltd.
GoldDSC (Do Sung Corporation)
GoldEco-System Recycling Co., Ltd. East Plant
GoldEco-System Recycling Co., Ltd. North Plant
GoldEco-System Recycling Co., Ltd. West Plant
GoldEmerald Jewel Industry India Limited (Unit 1)
GoldEmerald Jewel Industry India Limited (Unit 2)
GoldEmerald Jewel Industry India Limited (Unit 3)
GoldEmerald Jewel Industry India Limited (Unit 4)
GoldEmirates Gold DMCC
GoldGCC Gujrat Gold Centre Pvt. Ltd.
GoldGeib Refining Corporation
GoldGold Refinery of Zijin Mining Group Co., Ltd.
GoldHeimerle + Meule GmbH
GoldHeraeus Metals Hong Kong Ltd.
GoldHeraeus Precious Metals GmbH & Co. KG
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
GoldInternational Precious Metal Refiners
GoldIshifuku Metal Industry Co., Ltd.
GoldIstanbul Gold Refinery
GoldItalpreziosi
GoldJapan Mint
GoldJiangxi Copper Co., Ltd.
GoldJSC Uralelectromed
GoldJX Nippon Mining & Metals Co., Ltd.
GoldKazakhmys Smelting LLC
GoldKazzinc
GoldKennecott Utah Copper LLC
GoldKGHM Polska Miedz Spolka Akcyjna
GoldKojima Chemicals Co., Ltd.
GoldKorea Zinc Co., Ltd.
GoldKundan Care Products Ltd.
GoldKyrgyzaltyn JSC
GoldL'Orfebre S.A.
GoldLS-NIKKO Copper Inc.
GoldLT Metal Ltd.
GoldMarsam Metals
GoldMaterion
GoldMatsuda Sangyo Co., Ltd.
GoldMD Overseas
GoldMetal Concentrators SA (Pty) Ltd.
GoldMetallix Refining Inc.




Subject MineralSmelter or Refiner Name
GoldMetalor Technologies (Hong Kong) Ltd.
GoldMetalor Technologies (Singapore) Pte., Ltd.
GoldMetalor Technologies (Suzhou) Ltd.
GoldMetalor Technologies S.A.
GoldMetalor USA Refining Corporation
GoldMetalurgica Met-Mex Penoles S.A. De C.V.
GoldMitsubishi Materials Corporation
GoldMitsui Mining and Smelting Co., Ltd.
GoldMMTC-PAMP India Pvt., Ltd.
GoldMoscow Special Alloys Processing Plant
GoldNadir Metal Rafineri San. Ve Tic. A.S.
GoldNavoi Mining and Metallurgical Combinat
GoldNihon Material Co., Ltd.
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
GoldOhura Precious Metal Industry Co., Ltd.
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
GoldOJSC Novosibirsk Refinery
GoldPAMP S.A.
GoldPlanta Recuperadora de Metales SpA
GoldPrioksky Plant of Non-Ferrous Metals
GoldPT Aneka Tambang (Persero) Tbk
GoldPX Precinox S.A.
GoldRand Refinery (Pty) Ltd.
GoldREMONDIS PMR B.V.
GoldRoyal Canadian Mint
GoldSAAMP
GoldSafimet S.p.A
GoldSAFINA A.S.
GoldSamduck Precious Metals
GoldSancus ZFS (L’Orfebre, SA)
GoldSAXONIA Edelmetalle GmbH
GoldSEMPSA Joyeria Plateria S.A.
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.
GoldSichuan Tianze Precious Metals Co., Ltd.
GoldSingway Technology Co., Ltd.
GoldSOE Shyolkovsky Factory of Secondary Precious Metals
GoldSolar Applied Materials Technology Corp.
GoldSumitomo Metal Mining Co., Ltd.
GoldSungEel HiMetal Co., Ltd.
GoldT.C.A S.p.A
GoldTanaka Kikinzoku Kogyo K.K.
GoldThe Refinery of Shandong Gold Mining Co., Ltd.




Subject MineralSmelter or Refiner Name
GoldTokuriki Honten Co., Ltd.
GoldTOO Tau-Ken-Altyn
GoldTorecom
GoldUmicore Precious Metals Thailand
GoldUmicore S.A. Business Unit Precious Metals Refining
GoldUnited Precious Metal Refining, Inc.
GoldValcambi S.A.
GoldWestern Australian Mint (T/a The Perth Mint)
GoldWIELAND Edelmetalle GmbH
GoldYamakin Co., Ltd.
GoldYokohama Metal Co., Ltd.
GoldZhongyuan Gold Smelter of Zhongjin Gold Corporation
TantalumAsaka Riken Co., Ltd.
TantalumChangsha South Tantalum Niobium Co., Ltd.
TantalumD Block Metals, LLC
TantalumExotech Inc.
TantalumF&X Electro-Materials Ltd.
TantalumFIR Metals & Resource Ltd.
TantalumGlobal Advanced Metals Aizu
TantalumGlobal Advanced Metals Boyertown
TantalumGuangdong Zhiyuan New Material Co., Ltd.
TantalumH.C. Starck Co., Ltd.
TantalumH.C. Starck Hermsdorf GmbH
TantalumH.C. Starck Inc.
TantalumH.C. Starck Ltd.
TantalumH.C. Starck Smelting GmbH & Co. KG
TantalumH.C. Starck Tantalum and Niobium GmbH
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.
TantalumJiangxi Tuohong New Raw Material
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.
TantalumJiujiang Tanbre Co., Ltd.
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.
TantalumKEMET Blue Metals
TantalumLSM Brasil S.A.
TantalumMetallurgical Products India Pvt., Ltd.
TantalumMineracao Taboca S.A.
TantalumMitsui Mining and Smelting Co., Ltd.
TantalumNingxia Orient Tantalum Industry Co., Ltd.
TantalumNPM Silmet AS
TantalumPRG Dooel
TantalumQuantumClean




Subject MineralSmelter or Refiner Name
TantalumResind Industria e Comercio Ltda.
TantalumSolikamsk Magnesium Works OAO
TantalumTaki Chemical Co., Ltd.
TantalumTelex Metals
TantalumUlba Metallurgical Plant JSC
TantalumXinXing HaoRong Electronic Material Co., Ltd.
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.
TinAlpha
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.
TinChifeng Dajingzi Tin Industry Co., Ltd.
TinChina Tin Group Co., Ltd.
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda
TinCRM Synergies
TinCV Ayi Jaya
TinCV Venus Inti Perkasa
TinDowa
TinEM Vinto
TinEstanho de Rondonia S.A.
TinFenix Metals
TinGejiu Fengming Metallurgy Chemical Plant
TinGejiu Kai Meng Industry and Trade LLC
TinGejiu Non-Ferrous Metal Processing Co., Ltd.
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.
TinGejiu Zili Mining And Metallurgy Co., Ltd.
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.
TinHuiChang Hill Tin Industry Co., Ltd.
TinJiangxi New Nanshan Technology Ltd.
TinLuna Smelter, Ltd.
TinMa'anshan Weitai Tin Co., Ltd.
TinMagnu's Minerais Metais e Ligas Ltda.
TinMalaysia Smelting Corporation (MSC)
TinMelt Metais e Ligas S.A.
TinMetallic Resources, Inc.
TinMetallo Belgium N.V.
TinMetallo Spain S.L.U.
TinMineracao Taboca S.A.
TinMinsur
TinMitsubishi Materials Corporation
TinNovosibirsk Processing Plant Ltd.
TinO.M. Manufacturing (Thailand) Co., Ltd.
TinO.M. Manufacturing Philippines, Inc.
TinOperaciones Metalurgicas S.A.




Subject MineralSmelter or Refiner Name
TinPT Aries Kencana Sejahtera
TinPT Artha Cipta Langgeng
TinPT ATD Makmur Mandiri Jaya
TinPT Babel Inti Perkasa
TinPT Babel Surya Alam Lestari
TinPT Bangka Serumpun
TinPT Bukit Timah
TinPT Cipta Persada Mulia
TinPT Lautan Harmonis Sejahtera
TinPT Menara Cipta Mulia
TinPT Mitra Stania Prima
TinPT Prima Timah Utama
TinPT Rajawali Rimba Perkasa
TinPT Rajehan Ariq
TinPT Refined Bangka Tin
TinPT Stanindo Inti Perkasa
TinPT Sukses Inti Makmur
TinPT Timah Nusantara
TinPT Timah Tbk Kundur
TinPT Timah Tbk Mentok
TinPT Tinindo Inter Nusa
TinResind Industria e Comercio Ltda.
TinRui Da Hung
TinSoft Metais Ltda.
TinSuper Ligas
TinThai Nguyen Mining and Metallurgy Co., Ltd.
TinThaisarco
TinTin Technology & Refining
TinWhite Solder Metalurgia e Mineracao Ltda.
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.
TinYunnan Tin Company Limited
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.
TungstenA.L.M.T. Corp.
TungstenACL Metais Eireli
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.
TungstenArtek LLC
TungstenAsia Tungsten Products Vietnam Ltd.
TungstenChenzhou Diamond Tungsten Products Co., Ltd.
TungstenChina Molybdenum Co., Ltd.
TungstenChongyi Zhangyuan Tungsten Co., Ltd.
TungstenCronimet Brasil Ltda
TungstenFujian Ganmin RareMetal Co., Ltd.




Subject MineralSmelter or Refiner Name
TungstenGanzhou Haichuang Tungsten Co., Ltd.
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.
TungstenGanzhou Seadragon W & Mo Co., Ltd.
TungstenGEM Co., Ltd.
TungstenGlobal Tungsten & Powders Corp.
TungstenGuangdong Xianglu Tungsten Co., Ltd.
TungstenH.C. Starck Smelting GmbH & Co. KG
TungstenH.C. Starck Tungsten GmbH
TungstenHunan Chenzhou Mining Co., Ltd.
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.
TungstenHydrometallurg, JSC
TungstenJapan New Metals Co., Ltd.
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.
TungstenJiangxi Gan Bei Tungsten Co., Ltd.
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.
TungstenJiangxi Yaosheng Tungsten Co., Ltd.
TungstenJSC "Kirovgrad Hard Alloys Plant"
TungstenKennametal Fallon
TungstenKennametal Huntsville
TungstenKGETS Co., Ltd.
TungstenLianyou Metals Co., Ltd.
TungstenMalipo Haiyu Tungsten Co., Ltd.
TungstenMasan Tungsten Chemical LLC (MTC)
TungstenMoliren Ltd.
TungstenNiagara Refining LLC
TungstenNPP Tyazhmetprom LLC
TungstenPhilippine Chuangxin Industrial Co., Inc.
TungstenUnecha Refractory metals plant
TungstenWolfram Bergbau und Hutten AG
TungstenXiamen Tungsten (H.C.) Co., Ltd.
TungstenXiamen Tungsten Co., Ltd.
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

Countries of origin identified:
Afghanistan, Albania, Angola, Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bermuda, Bolivia, Brazil, Bulgaria, Burundi, Cambodia, Canada, Central African Republic, Chile, China, Colombia, Czech Republic, Democratic Republic of Congo, Djibouti, Dominican Republic, Ecuador, Egypt, England, Estonia, Ethiopia, Finland, France, Germany, Ghana, Guinea, Guyana, Hungary, India, Indonesia, Ireland, Israel, Italy, Ivory Coast, Japan, Kazakhstan, Kenya, Kyrgyzstan, Laos, Liberia, Lithuania, Luxembourg, Madagascar, Malaysia, Mali, Mauritania, Mexico, Mongolia, Morocco,




Mozambique, Myanmar, Namibia, Netherlands, New Zealand, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, Slovakia, Slovenia, South Africa, South Korea, Spain, Sudan, Suri, Suriname, Sweden, Switzerland, Tanzania, Thailand, Turkey, Uganda, United Arab Emirates, United Kingdom, United States, Uzbekistan, Vietnam, Zambia, Zimbabwe
We identified the following smelters/refiners that have been verified as a smelter/refiner, but have not been audited.
Subject MineralSmelter or Refiner Name
GoldAbington Reldan Metals, LLC
GoldAfrican Gold Refinery
GoldCaridad
GoldCGR Metalloys Pvt Ltd.
GoldDegussa Sonne / Mond Goldhandel GmbH
GoldFidelity Printers and Refiners Ltd.
GoldFujairah Gold FZC
GoldGold Coast Refinery
GoldGreat Wall Precious Metals Co., Ltd. of CBPM
GoldGuangdong Jinding Gold Limited
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.
GoldHangzhou Fuchunjiang Smelting Co., Ltd.
GoldHunan Chenzhou Mining Co., Ltd.
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
GoldHwaSeong CJ CO., LTD.
GoldJALAN & Company
GoldJSC Ekaterinburg Non-Ferrous Metal Processing Plant
GoldK.A. Rasmussen
GoldKaloti Precious Metals
GoldKyshtym Copper-Electrolytic Plant ZAO
GoldL'azurde Company For Jewelry
GoldLingbao Gold Co., Ltd.
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.
GoldModeltech Sdn Bhd
GoldMorris and Watson
GoldNH Recytech Company
GoldPease & Curren
GoldPenglai Penggang Gold Industry Co., Ltd.
GoldQG Refining, LLC
GoldRefinery of Seemine Gold Co., Ltd.
GoldSabin Metal Corp.
GoldSai Refinery
GoldSamwon Metals Corp.
GoldSellem Industries Ltd.




Subject MineralSmelter or Refiner Name
GoldShandong Humon Smelting Co., Ltd.
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.
GoldShirpur Gold Refinery Ltd.
GoldSovereign Metals
GoldState Research Institute Center for Physical Sciences and Technology
GoldSudan Gold Refinery
GoldTongling Nonferrous Metals Group Co., Ltd.
GoldTony Goetz NV
GoldYunnan Copper Industry Co., Ltd.
TinAn Vinh Joint Stock Mineral Processing Company
TinDongguan CiEXPO Environmental Engineering Co., Ltd.
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
TinGejiu City Fuxiang Industry and Trade Co., Ltd.
TinModeltech Sdn Bhd
TinNghe Tinh Non-Ferrous Metals Joint Stock Company
TinPongpipat Company Limited
TinPrecious Minerals and Smelting Limited
TinPT Mitra Sukses Globalindo
TinTuyen Quang Non-Ferrous Metals Joint Stock Company
TinVQB Mineral and Trading Group JSC
TungstenCNMC (Guangxi) PGMA Co., Ltd.
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.