Delaware
|
000-25426
|
|
(State or other jurisdiction of incorporation or organization)
|
(Commission File Number)
|
11500 North MoPac Expressway
|
78759
|
|
Austin, Texas
(Address of principal executive offices)
|
(Zip Code)
|
R. Eddie Dixon, Jr.
|
(512) 683-0100
|
☒ |
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2022.
|
☐ |
Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the reporting period from January 1 to December 31, 2022.
|
Item 1.01 |
Conflict Minerals Disclosure and Report
|
Item 1.02 |
Exhibit
|
Item 2.01 |
Resource Extraction Issuer Disclosure and Report
|
Item 3.01 |
Exhibits
|
Conflict Minerals Report of National Instruments Corporation for the reporting period from January 1 to December 31, 2022.
|
NATIONAL INSTRUMENTS CORPORATION
|
|||
By:
|
/s/ R. Eddie Dixon, Jr.
|
||
R. Eddie Dixon, Jr.
|
|||
Chief Legal Officer, Senior Vice President & Secretary
|
|||
I. |
Introduction
|
II. |
Overview
|
Step 1:
|
Establish strong company management systems
|
Step 2:
|
Identify and assess risks in the supply chain
|
Step 3:
|
Design and implement a strategy to respond to identified risks
|
Step 4:
|
Carry out independent third-party audit of smelter/refiner’s due diligence practices
|
Step 5:
|
Report annually on supply chain due diligence
|
III. |
Due Diligence Measures Performed by The Company
|
a. |
Conflict minerals team – The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including trade compliance, procurement, sales, and legal. The team was structured to
include the involvement from those in upper management roles, including the Senior VP of Manufacturing, Director of Trade Compliance, and Global Supply Chain Operations Manager, to help ensure that critical information, including the
Company’s conflict minerals policy, reached relevant employees and suppliers.
|
b. |
Conflict minerals policy – The Company adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website (http://ni.com/conflictminerals). The Company’s expectation for the
responsible sourcing of minerals is also incorporated into the Company’s terms and conditions with suppliers.
|
c. |
Supplier engagement – The Company communicated its conflict minerals policy and provided educational materials to our in-scope suppliers. Suppliers were informed when the request for information was initiated on the conflict minerals
disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program. NI also communicated its conflict minerals position statement to its suppliers through the NI Supplier
Handbook, available online at ni.com/en-us/about-ni/suppliers.html, which is designed to inform potential and existing suppliers about the Company. Finally, NI requires that its suppliers abide by the NI Supplier Handbook and the labor,
health and safety, environmental, and ethics standards of the most current version of the Responsible Business Alliance (RBA) Code of Conduct.
|
d. |
Company-level grievance mechanism – As recommended by the OECD Due Diligence Guidance, the Company has a grievance mechanism in place as a risk-awareness system for conflict minerals issues. NI maintains an ethics hotline pursuant to
which stakeholders, internal and external, may confidentially report concerns involving conflict minerals, either electronically or by phone.
|
e. |
Records management – The Company will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years.
|
a. |
Identified products in scope – Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as
described by the Adopting Release. As most NI hardware products contain at least one of the Conflict Minerals this disclosure includes information on a company-level basis that includes general information for all NI products.
|
b. |
Conducted RCOI – The Company utilized the most recent version of the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide materials and
components for NI products. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a list of countries of origin identified through the RCOI
process.
|
c. |
Completed additional follow-up – The Company contacted direct suppliers multiple times to request detailed conflict minerals information. We also worked to clarify and validate the accuracy of information provided by our suppliers by
responding with standardized feedback questions to address any issues or uncertainty with the template provided when necessary and/or obtaining additional information upon request (product identification, order numbers, or shipping
addresses) to help ensure we are receiving conflict minerals information specific to our supply-chain.
|
d. |
Identified smelters or refiners (“SORs”) – The Company compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. The Company reconciled this list to the list of smelter facilities designated by the RMI’s
Responsible Minerals Assurance Process (“RMAP”). The RMAP completes independent, third-party audits of smelters and refiners to determine which can be validated as having systems in place that help ensure the minerals are responsible
sourced according to the OECD Due Diligence Guidance. The company also utilized information provided by the London Bullion Market Association (“LBMA”), and Responsible Jewelry Council (“RJC”) cross-recognition audit programs. The Company
maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs. We have provided that list in this report within section IV – Product Description; Processing Facilities.
|
e. |
Performed smelter due diligence with suppliers - Suppliers that reported smelters deemed to be high risk received additional communication asking them to clarify if those smelters are reflective of the purchases made and to continue due
diligence on their supply chains. High risk smelters are those that have not yet undergone a third-party audit or have been deemed non-conformant.
|
a. |
Reporting results to senior management – The Conflict Minerals team reports the results of our RCOI to upper management at multiple points in time throughout the data collection period. These communications included the team’s plan to
respond to risks identified in the due diligence processes.
|
b. |
Designed and implemented a plan – The Company used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as any additional documentation furnished to support those responses and
the suppliers’ due diligence processes. The resulting risk ratings were used to develop specific supplier outreach to address the identified risks and to take corrective actions with suppliers found not in compliance with the Company’s
conflict minerals policy. These actions will include additional outreach to suppliers who failed to respond to our multiple requests for information, provided inconsistent or erroneous information, or indicated they had received responses
from less than 50% of their in-scope suppliers. Our team further reviews the responses to verify the validity of SORs reported by our suppliers, the audit status of such SORs, and the country of origin of the minerals processed at such
facilities.
|
c. |
Provided educational materials – The Company provided each supplier with educational materials that explain Section 1502 of the Dodd Frank Act, the OECD framework, the RCOI process, and general information on the contents of the most
recent revision of the CMRT (including definitions of common phrases and frequently asked questions). The educational material serves as a point of reference for suppliers that are unfamiliar with the rule and helps limit the risk of
obtaining inaccurate information from them. Throughout the process we offer assistance to our suppliers to improve the quality of the information provided to us.
|
d. |
Provided conflict minerals policy to suppliers – After working with a supplier to obtain a CMRT, we provide them with a copy of our conflict minerals policy for their records to ensure our suppliers continue to operate in line with our
expectations.
|
e. |
Identified SORs – As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of smelter facilities validated by the RMI. The Company maintains a database of smelter aliases to
reconcile suppliers’ smelters lists to the list of RMI SORs.
|
IV. |
Product Description; Processing Facilities
|
Metal
|
Standard_Smelter_Name
|
Country_Location
|
Entity_ID
|
Gold
|
8853 S.p.A.
|
ITALY
|
CID002763
|
Gold
|
Advanced Chemical Company
|
UNITED STATES OF AMERICA
|
CID000015
|
Gold
|
Aida Chemical Industries Co., Ltd.
|
JAPAN
|
CID000019
|
Gold
|
Al Etihad Gold Refinery DMCC
|
UNITED ARAB EMIRATES
|
CID002560
|
Gold
|
Almalyk Mining and Metallurgical Complex (AMMC)
|
UZBEKISTAN
|
CID000041
|
Gold
|
AngloGold Ashanti Corrego do Sitio Mineracao
|
BRAZIL
|
CID000058
|
Gold
|
Argor-Heraeus S.A.
|
SWITZERLAND
|
CID000077
|
Gold
|
Asahi Pretec Corp.
|
JAPAN
|
CID000082
|
Gold
|
Asahi Refining Canada Ltd.
|
CANADA
|
CID000924
|
Gold
|
Asahi Refining USA Inc.
|
UNITED STATES OF AMERICA
|
CID000920
|
Gold
|
Asaka Riken Co., Ltd.
|
JAPAN
|
CID000090
|
Gold
|
Aurubis AG
|
GERMANY
|
CID000113
|
Gold
|
Bangalore Refinery
|
INDIA
|
CID002863
|
Gold
|
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
|
PHILIPPINES
|
CID000128
|
Gold
|
Boliden AB
|
SWEDEN
|
CID000157
|
Gold
|
C. Hafner GmbH + Co. KG
|
GERMANY
|
CID000176
|
Gold
|
CCR Refinery - Glencore Canada Corporation
|
CANADA
|
CID000185
|
Gold
|
Cendres + Metaux S.A.
|
SWITZERLAND
|
CID000189
|
Gold
|
Chimet S.p.A.
|
ITALY
|
CID000233
|
Gold
|
Chugai Mining
|
JAPAN
|
CID000264
|
Gold
|
Dowa
|
JAPAN
|
CID000401
|
Gold
|
DSC (Do Sung Corporation)
|
KOREA, REPUBLIC OF
|
CID000359
|
Gold
|
Eco-System Recycling Co., Ltd. East Plant
|
JAPAN
|
CID000425
|
Gold
|
Emirates Gold DMCC
|
UNITED ARAB EMIRATES
|
CID002561
|
Gold
|
Geib Refining Corporation
|
UNITED STATES OF AMERICA
|
CID002459
|
Gold
|
Heimerle + Meule GmbH
|
GERMANY
|
CID000694
|
Gold
|
Heraeus Germany GmbH Co. KG
|
GERMANY
|
CID000711
|
Gold
|
Heraeus Metals Hong Kong Ltd.
|
CHINA
|
CID000707
|
Gold
|
Ishifuku Metal Industry Co., Ltd.
|
JAPAN
|
CID000807
|
Gold
|
Istanbul Gold Refinery
|
TURKEY
|
CID000814
|
Gold
|
Italpreziosi
|
ITALY
|
CID002765
|
Gold
|
JX Nippon Mining & Metals Co., Ltd.
|
JAPAN
|
CID000937
|
Gold
|
Kazzinc
|
KAZAKHSTAN
|
CID000957
|
Gold
|
Kennecott Utah Copper LLC
|
UNITED STATES OF AMERICA
|
CID000969
|
Gold
|
KGHM Polska Miedz Spolka Akcyjna
|
POLAND
|
CID002511
|
Gold
|
Korea Zinc Co., Ltd.
|
KOREA, REPUBLIC OF
|
CID002605
|
Gold
|
L'Orfebre S.A.
|
ANDORRA
|
CID002762
|
Gold
|
LS-NIKKO Copper Inc.
|
KOREA, REPUBLIC OF
|
CID001078
|
Gold
|
LT Metal Ltd.
|
KOREA, REPUBLIC OF
|
CID000689
|
Gold
|
Materion
|
UNITED STATES OF AMERICA
|
CID001113
|
Gold
|
Matsuda Sangyo Co., Ltd.
|
JAPAN
|
CID001119
|
Gold
|
Metalor Technologies (Hong Kong) Ltd.
|
CHINA
|
CID001149
|
Gold
|
Metalor Technologies (Singapore) Pte., Ltd.
|
SINGAPORE
|
CID001152
|
Gold
|
Metalor Technologies S.A.
|
SWITZERLAND
|
CID001153
|
Gold
|
Metalor USA Refining Corporation
|
UNITED STATES OF AMERICA
|
CID001157
|
Gold
|
Metalurgica Met-Mex Penoles S.A. De C.V.
|
MEXICO
|
CID001161
|
Gold
|
Mitsubishi Materials Corporation
|
JAPAN
|
CID001188
|
Gold
|
Mitsui Mining and Smelting Co., Ltd.
|
JAPAN
|
CID001193
|
Gold
|
MMTC-PAMP India Pvt., Ltd.
|
INDIA
|
CID002509
|
Gold
|
Nadir Metal Rafineri San. Ve Tic. A.S.
|
TURKEY
|
CID001220
|
Gold
|
Navoi Mining and Metallurgical Combinat
|
UZBEKISTAN
|
CID001236
|
Gold
|
Nihon Material Co., Ltd.
|
JAPAN
|
CID001259
|
Gold
|
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
|
AUSTRIA
|
CID002779
|
Gold
|
PT Aneka Tambang (Persero) Tbk
|
INDONESIA
|
CID001397
|
Gold
|
PX Precinox S.A.
|
SWITZERLAND
|
CID001498
|
Gold
|
Rand Refinery (Pty) Ltd.
|
SOUTH AFRICA
|
CID001512
|
Gold
|
Royal Canadian Mint
|
CANADA
|
CID001534
|
Gold
|
SAAMP
|
FRANCE
|
CID002761
|
Gold
|
Safimet S.p.A
|
ITALY
|
CID002973
|
Gold
|
SEMPSA Joyeria Plateria S.A.
|
SPAIN
|
CID001585
|
Gold
|
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
|
CHINA
|
CID001622
|
Gold
|
Solar Applied Materials Technology Corp.
|
TAIWAN, PROVINCE OF CHINA
|
CID001761
|
Gold
|
Sumitomo Metal Mining Co., Ltd.
|
JAPAN
|
CID001798
|
Gold
|
T.C.A S.p.A
|
ITALY
|
CID002580
|
Gold
|
Tanaka Kikinzoku Kogyo K.K.
|
JAPAN
|
CID001875
|
Gold
|
Tokuriki Honten Co., Ltd.
|
JAPAN
|
CID001938
|
Gold
|
Umicore Precious Metals Thailand
|
THAILAND
|
CID002314
|
Gold
|
Umicore S.A. Business Unit Precious Metals Refining
|
BELGIUM
|
CID001980
|
Gold
|
United Precious Metal Refining, Inc.
|
UNITED STATES OF AMERICA
|
CID001993
|
Gold
|
Western Australian Mint (T/a The Perth Mint)
|
AUSTRALIA
|
CID002030
|
Gold
|
WIELAND Edelmetalle GmbH
|
GERMANY
|
CID002778
|
Gold
|
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
|
CHINA
|
CID002224
|
Tantalum
|
AMG Brasil
|
BRAZIL
|
CID001076
|
Tantalum
|
D Block Metals, LLC
|
UNITED STATES OF AMERICA
|
CID002504
|
Tantalum
|
F&X Electro-Materials Ltd.
|
CHINA
|
CID000460
|
Tantalum
|
FIR Metals & Resource Ltd.
|
CHINA
|
CID002505
|
Tantalum
|
Global Advanced Metals Aizu
|
JAPAN
|
CID002558
|
Tantalum
|
Global Advanced Metals Boyertown
|
UNITED STATES OF AMERICA
|
CID002557
|
Tantalum
|
Hengyang King Xing Lifeng New Materials Co., Ltd.
|
CHINA
|
CID002492
|
Tantalum
|
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
|
CHINA
|
CID002512
|
Tantalum
|
Jiangxi Tuohong New Raw Material
|
CHINA
|
CID002842
|
Tantalum
|
JiuJiang JinXin Nonferrous Metals Co., Ltd.
|
CHINA
|
CID000914
|
Tantalum
|
Jiujiang Tanbre Co., Ltd.
|
CHINA
|
CID000917
|
Tantalum
|
Materion Newton Inc.
|
UNITED STATES OF AMERICA
|
CID002548
|
Tantalum
|
Metallurgical Products India Pvt., Ltd.
|
INDIA
|
CID001163
|
Tantalum
|
Mineracao Taboca S.A.
|
BRAZIL
|
CID001175
|
Tantalum
|
Mitsui Mining and Smelting Co., Ltd.
|
JAPAN
|
CID001192
|
Tantalum
|
Ningxia Orient Tantalum Industry Co., Ltd.
|
CHINA
|
CID001277
|
Tantalum
|
TANIOBIS Co., Ltd.
|
THAILAND
|
CID002544
|
Tantalum
|
TANIOBIS GmbH
|
GERMANY
|
CID002545
|
Tantalum
|
TANIOBIS Japan Co., Ltd.
|
JAPAN
|
CID002549
|
Tantalum
|
TANIOBIS Smelting GmbH & Co. KG
|
GERMANY
|
CID002550
|
Tantalum
|
Ulba Metallurgical Plant JSC
|
KAZAKHSTAN
|
CID001969
|
Tantalum
|
XIMEI RESOURCES (GUANGDONG) LIMITED
|
CHINA
|
CID000616
|
Tantalum
|
Yanling Jincheng Tantalum & Niobium Co., Ltd.
|
CHINA
|
CID001522
|
Tin
|
Alpha
|
UNITED STATES OF AMERICA
|
CID000292
|
Tin
|
Aurubis Beerse
|
BELGIUM
|
CID002773
|
Tin
|
Aurubis Berango
|
SPAIN
|
CID002774
|
Tin
|
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
|
CHINA
|
CID000228
|
Tin
|
Chifeng Dajingzi Tin Industry Co., Ltd.
|
CHINA
|
CID003190
|
Tin
|
China Tin Group Co., Ltd.
|
CHINA
|
CID001070
|
Tin
|
CRM Fundicao De Metais E Comercio De
Equipamentos Eletronicos Do Brasil Ltda
|
BRAZIL
|
CID003486
|
Tin
|
CRM Synergies
|
SPAIN
|
CID003524
|
Tin
|
Dowa
|
JAPAN
|
CID000402
|
Tin
|
EM Vinto
|
BOLIVIA (PLURINATIONAL STATE OF)
|
CID000438
|
Tin
|
Estanho de Rondonia S.A.
|
BRAZIL
|
CID000448
|
Tin
|
Fenix Metals
|
POLAND
|
CID000468
|
Tin
|
Gejiu Non-Ferrous Metal Processing Co., Ltd.
|
CHINA
|
CID000538
|
Tin
|
Gejiu Zili Mining And Metallurgy Co., Ltd.
|
CHINA
|
CID000555
|
Tin
|
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
|
CHINA
|
CID003116
|
Tin
|
Jiangxi New Nanshan Technology Ltd.
|
CHINA
|
CID001231
|
Tin
|
Magnu's Minerais Metais e Ligas Ltda.
|
BRAZIL
|
CID002468
|
Tin
|
Malaysia Smelting Corporation (MSC)
|
MALAYSIA
|
CID001105
|
Tin
|
Metallic Resources, Inc.
|
UNITED STATES OF AMERICA
|
CID001142
|
Tin
|
Mineracao Taboca S.A.
|
BRAZIL
|
CID001173
|
Tin
|
Minsur
|
PERU
|
CID001182
|
Tin
|
Mitsubishi Materials Corporation
|
JAPAN
|
CID001191
|
Tin
|
O.M. Manufacturing (Thailand) Co., Ltd.
|
THAILAND
|
CID001314
|
Tin
|
O.M. Manufacturing Philippines, Inc.
|
PHILIPPINES
|
CID002517
|
Tin
|
Operaciones Metalurgicas S.A.
|
BOLIVIA (PLURINATIONAL STATE OF)
|
CID001337
|
Tin
|
PT Bangka Serumpun
|
INDONESIA
|
CID003205
|
Tin
|
PT Mitra Stania Prima
|
INDONESIA
|
CID001453
|
Tin
|
PT Mitra Sukses Globalindo
|
INDONESIA
|
CID003449
|
Tin
|
PT Refined Bangka Tin
|
INDONESIA
|
CID001460
|
Tin
|
PT Timah Tbk Kundur
|
INDONESIA
|
CID001477
|
Tin
|
PT Timah Tbk Mentok
|
INDONESIA
|
CID001482
|
Tin
|
Rui Da Hung
|
TAIWAN, PROVINCE OF CHINA
|
CID001539
|
Tin
|
Thaisarco
|
THAILAND
|
CID001898
|
Tin
|
Tin Smelting Branch of Yunnan Tin Co., Ltd.
|
CHINA
|
CID002180
|
Tin
|
Tin Technology & Refining
|
UNITED STATES OF AMERICA
|
CID003325
|
Tin
|
White Solder Metalurgia e Mineracao Ltda.
|
BRAZIL
|
CID002036
|
Tin
|
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
|
CHINA
|
CID002158
|
Tungsten
|
Chongyi Zhangyuan Tungsten Co., Ltd.
|
CHINA
|
CID000258
|
Tungsten
|
Ganzhou Huaxing Tungsten Products Co., Ltd.
|
CHINA
|
CID000875
|
Tungsten
|
Ganzhou Seadragon W & Mo Co., Ltd.
|
CHINA
|
CID002494
|
Tungsten
|
Hunan Shizhuyuan Nonferrous Metals Co., Ltd.
Chenzhou Tungsten Products Branch
|
CHINA
|
CID002513
|
Tungsten
|
Japan New Metals Co., Ltd.
|
JAPAN
|
CID000825
|
Tungsten
|
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
|
CHINA
|
CID002551
|
Tungsten
|
Kennametal Fallon
|
UNITED STATES OF AMERICA
|
CID000966
|
Tungsten
|
Wolfram Bergbau und Hutten AG
|
AUSTRIA
|
CID002044
|
Tungsten
|
Xiamen Tungsten (H.C.) Co., Ltd.
|
CHINA
|
CID002320
|
Tungsten
|
Xiamen Tungsten Co., Ltd.
|
CHINA
|
CID002082
|
V. |
Future Due Diligence
|
• |
Review the conflict minerals policy statement and update if necessary.
|
• |
Review supplier and employee training materials and update if necessary.
|
• |
Continue to collect responses from suppliers using the most recent revision of the CMRT.
|
• |
Engage with suppliers that did not provide a response in 2022 or provided incomplete responses to enhance our data collection for 2023.
|
• |
Monitor and track performance of risk mitigation efforts including the performance of suppliers deemed high-risk.
|
• |
Continue engagement with smelters by sending letters to those that have not been audited as conformant.
|
• |
Continue to send messages to our suppliers to engage with smelters that have not been audited as conformant.
|
• |
Collect from suppliers product-level or user-defined level responses where useful.
|
• |
Compare and validate RCOI results to information collected via independent third-party audit programs, such as the RMI, and through our Company’s own coordinated outreach to smelters.
|
• |
Encourage responsible sourcing from the DRC and adjoining countries.
|
• |
Stay aware of new and related sourcing challenges that affect smelter RMI audit status.
|
• |
Continue to support efforts of industry groups, like the RMI, to strengthen due diligence efforts.
|
Australia
|
Mozambique
|
Austria
|
Myanmar
|
Benin
|
Namibia
|
Bolivia (Plurinational State of)
|
Nicaragua
|
Brazil
|
Niger
|
Burundi*
|
Nigeria
|
Canada
|
Papua New Guinea
|
Chile
|
Peru
|
China
|
Philippines
|
Chinese Taipei
|
Portugal
|
Colombia
|
Russian Federation
|
Congo, Democratic Republic of the*
|
Rwanda*
|
Ecuador
|
Sierra Leone
|
Eritrea
|
South Africa
|
Ethiopia
|
South Korea
|
France
|
Spain
|
Ghana
|
Swaziland
|
Guinea
|
Sweden
|
Guyana
|
Tanzania*
|
India
|
Thailand
|
Indonesia
|
Uganda*
|
Kazakhstan
|
United Kingdom of Great Britain and Northern Ireland
|
Krygyzstan
|
United States of America
|
Laos
|
Uzbekistan
|
Malaysia
|
Vietnam
|
Mexico
|
Zimbabwe
|
Mongolia
|