EX-1.01 2 d206167dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

 

LOGO

SEAGATE TECHNOLOGY PLC

CONFLICT MINERALS REPORT

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2016

INTRODUCTION

This Conflict Minerals Report (“Report”) for Seagate Technology Public Limited Company (the “Company,” “Seagate,” “we,” “us,” or “our”) is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”) for the reporting period from January 1 to December 31, 2016 (the “Reporting Period”). This Report is being filed as Exhibit 1.01 to our Specialized Disclosure Report on Form SD and is also posted on our website at http://www.seagate.com/about/global-citizenship/. Information contained on, or accessible through, our website is not a part of this Report.

The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain tin, tantalum, tungsten, or gold (“3TG,” also defined by the rule as “conflict minerals”). The Democratic Republic of the Congo (“DRC”) and its adjoining countries have extensive reserves of 3TG, some of which are illegally sourced and traded by armed groups who are responsible for significant human rights violations. “Armed groups” mean an armed group that is identified as a perpetrator of serious human rights abuses in annual Country Reports on Human Rights Practices under sections 116(d) and 502B(b) of the Foreign Assistance Act of 1961 relating to the DRC or an adjoining country. The purpose of the Rule is to encourage companies whose products contain conflict minerals to endeavor to source from suppliers who do not directly or indirectly support such armed groups through their purchasing decisions. The Democratic Republic of the Congo and its adjoining countries, Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia, are sometimes referred to in this Report as the “Covered Countries.”

We are a leading provider of electronic data storage technology and solutions. Our principal products are hard disk drives, commonly referred to as disk drives, hard drives or HDDs. In addition to HDDs, we produce a broad range of electronic data storage products including solid state drives (“SSD”) in its Enterprise market portfolio and solid state hybrid drives (“SSHD”). Our storage technology portfolio also includes storage subsystems and high performance computing solutions.

Hard disk drives are devices that store digitally encoded data on rapidly rotating disks with magnetic surfaces. Disk drives continue to be the primary medium of mass data storage due to their performance attributes, high quality and cost effectiveness. Complementing existing data center storage architecture, solid-state storage devices use integrated circuit assemblies as memory to store data, and most SSDs use NAND-based flash memory. In addition to HDDs and SSDs, SSHDs combine the features of SSDs and HDDs in the same unit, containing a large hard disk drive and an SSD cache to improve performance of frequently accessed data.

We are subject to the Conflict Minerals Rule because certain products that we manufacture or contract to be manufactured contain Conflict Minerals that are necessary to the functionality or production of the products (“necessary conflict minerals”). Accordingly, we are required under the Rule to conduct a, reasonable country of origin inquiry (“RCOI”) designed to determine in good-faith whether any of the necessary conflict minerals in our products either originated in the Covered Countries or came from recycled or scrap materials. We do not directly source Conflict Minerals from mines, smelters or refiners.

Our focus on the responsible sourcing began well in advance of the adoption of the Rule. Seagate has been a member of the Electronic Industry Citizenship Coalition (“EICC”) since 2004 and our employees have worked closely with this organization to improve our global supply chain. The EICC is an industry collaboration with a focus on improving working conditions and environmental stewardship throughout the electronics supply chain. Through the EICC’s Conflict-Free Sourcing Initiative (the “CFSI”), we have worked and continue to work with other companies focusing on responsible Conflict Minerals sourcing.

We rely on our direct suppliers to provide information with respect to the origin of the 3TG contained in components and materials supplied to us. In all cases, the information relating to the 3TG contained in our products comes from lower tier suppliers and from information provided to us through our membership with EICC and the CFSI.

Contracts with our suppliers can be multi-year contracts. As we enter into new contracts, or as our contracts renew, we endeavor to add a conflict minerals clause requiring suppliers to provide 3TG sourcing and smelter information. We believe that it will still take a number of years to ensure that substantially all of our supplier contracts contain appropriate flow-down clauses. As described below, we are encouraging our suppliers to provide the 3TG sourcing information even before contracts are renewed.

As of this writing we are unable to determine the origin of the 3TG in our products that are necessary to the functionality or production of the products that we manufactured or contracted to manufacture during the Reporting Period. For that reason, we are required under the Rule to submit to the SEC a Conflict Minerals Report as an Exhibit to Form SD.

We believe the products that we manufactured or contracted to manufacture that are subject to the reporting obligations of the Rule contain 3TG of indeterminate origin because we have been unable to determine the origin of the 3TG they contain or to determine whether such minerals financed or benefitted armed groups in the Covered Countries.

PRODUCT DESCRIPTION

Our products are designed for mission critical and nearline applications in enterprise servers and storage systems; client compute applications, where our products are designed primarily for desktop and mobile computing; and client non-compute applications, where our products are designed for a wide variety of end user devices such as portable external storage systems, personal data backup systems, surveillance systems, digital video recorders and gaming consoles.Seagate’s hardware products in the aggregate contain all four of the conflict minerals, which are necessary to the functionality or production of the products.

Seagate is a partially vertically integrated company: we make our own recording heads and media, which are then assembled into finished functional memory devices. However, Seagate does not directly procure any metals from smelters or refiners; we only purchase parts, components, materials, and subassemblies containing these metals. As such, Seagate occupies the supply chain position of downstream company as defined by the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition (the “OECD Guidance”).

DUE DILIGENCE PROGRAM DESIGN

The OECD Guidance established a five-step framework for due diligence as a basis for responsible supply chain management of minerals from conflict-affected and high risk areas. We outline select elements of our due diligence program design below. However these are not all the elements of our due diligence program. To determine the source and chain of custody of 3TG necessary to the production of our products, we conducted due diligence on our supply chain, using measures developed to ascertain whether the minerals originated from the Covered Countries and, if so, whether the purchase of such minerals directly or indirectly benefited non-governmental armed groups.

Due Diligence Design Framework

Our conflict minerals due diligence measures have been designed to conform to the OECD Guidance for 3TG for “downstream companies” (as defined in the OECD Guidance) in all material respects. Our due diligence measures addressed the following steps:

 

  1. Establishing strong Company management systems for 3TG supply chain due diligence;

 

  a. We have a team of senior staff who are members of working groups responsible for the management and continued implementation of our conflict minerals compliance strategy. This involvement includes corporate compliance, financial reporting, internal audit, investor relations and legal.

 

  b. Employees receive training on the EICC Code of Conduct Requirements.

 

  c. Select individuals receive training on our compliance program and due diligence procedures for addressing certain aspects of our due diligence program including review and validation of suppliers conflict minerals reporting template responses.

 

  d. We utilize external counsel and consultants to assist us with our compliance efforts.

 

  e. We have adopted a conflict minerals policy. The policy is communicated on our corporate website and communicated to suppliers and employees.

 

  f. We utilize the Conflict Minerals Reporting Template (the “CMRT”) developed by the CFSI to identify smelters and refiners in our supply chain. The CMRT requires that suppliers provide information concerning the usage and sourcing of conflict minerals in their materials, components, parts and products.

 

  g. Seagate is an active member of the EICC and CFSI.

  h. Certain purchase order terms and conditions specifically reference and require EICC Code of Conduct and conflict minerals compliance.

 

  i. A third party was commissioned to perform a website, e-mail and direct contact search of over 200 smelters declared by Seagate’s supply chain. This data was shared in consolidated form with the EICC CFSI smelter list.

 

  2. Identifying and assessing 3TG risks in our supply chain;

 

  a. We request suppliers provide us with CMRTs on the materials, components, parts and products they sell to us.

 

  b. Supplier CMRTs are reviewed for completeness against our internally written standard operating procedures and controls. CMRTs that appear inaccurate or incomplete are rejected and the supplier is requested to perform additional due diligence to address identified issues.

 

  c. Smelters are critically reviewed for compliance to third party smelter certification guidelines and determined if they meet the compliant and active criteria as developed by the CFSI.

 

  3. Designing and implementing strategies to respond to 3TG risks identified;

 

  a. We have procedures for monitoring and reporting on risk to designated senior management.

 

  b. Smelters that are determined to not be CFSI certified or actively pursuing third party certification are encouraged by our suppliers and our participation in CFSI to pursue third party certification.

 

  4. Contributing to independent third party audits of the due diligence practices of 3TG smelters and refiners by participating in industry organizations; and

 

  a. We support independent third party audits through our CFSI membership.

 

  b. We assess information provided the CFSI and other certification bodies to determine if a smelter or refiner is compliant with applicable third-party conflict free certification.

 

  5. Reporting on our 3TG supply chain due diligence activities.

 

  a. We file a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and make them publicly available on our website.

Due Diligence Measures Performed

Our due diligence measures for 2016 included the following activities:

 

  •   We reviewed our Seagate Corporate Policy on Conflict Minerals (the “Policy”), posted it to our external website, and communicated it to Seagate’s direct suppliers. The Policy seeks to eliminate our use of 3TG that contribute to human rights abuses in the DRC and adjoining countries.

 

  •   We updated our internal Corporate Standard Operating Procedure for Conflict Minerals Management (the “Standard Operating Procedure”) specifically designed to satisfy the OECD Guidance.

 

  •   We developed and implemented a 2016 Seagate Conflict Minerals Management Plan (the “Management Plan”) in accordance with the Standard Operating Procedure.

 

  •   We established an internal team to implement the Management Plan. That team has been involved in the following measures designed to support our compliance with the Rule and our Standard Operating Procedure:

1. Establishing requirements in supplier contracts to define Seagate expectations of suppliers regarding sourcing of 3TG and reporting of information to Seagate.

2. Conducting a review to identify relevant direct (i.e., first tier) suppliers of products containing necessary 3TG (“3TG Direct Suppliers”).

3. Requesting that all 3TG direct suppliers provide information to us regarding their 3TG using the template developed by the EICC and the Global e-Sustainability Initiative, known as the CMRT to ascertain, for each of the 3TG, the smelter or refiner where it was processed, the smelter or refiner’s country of origin, the mine(s) of origin, and the location of the mine(s). Our instructions to 3TG Direct Suppliers requested them to make similar efforts to survey their supply chain using the CMRT and to report the facilities and location of mines of origin for the minerals.

4. Reviewing and attempting to validate the information provided by our 3TG Direct Suppliers by establishing a process that includes an assessment of the completeness and reasonableness of the information provided, then conducting follow-up communications to address deficiencies.

5. Comparing the facilities identified by relevant 3TG Direct Suppliers via the supply chain survey against the list of facilities that the CFSI has validated as “conflict free.”

6. Supporting the CFSI through membership in the EICC, participation in the CFSI committee and other sub-committees, and requests of our 3TG Direct Suppliers to encourage the mineral processing facilities in their supply chains to participate in the CFSI.

7. Making periodic reports to Seagate senior management.

Reasonable Country of Origin Inquiry

As a member of the EICC participating in the CFSI, we used due diligence that the CFSI conducted on smelters and refiners together with the data our suppliers provided on their CMRTs. The CFSI trains auditors to audit the smelters and refiners. The smelters and refiners that are found to be CFSI compliant are those for which the CFSI auditor has verified that the smelter’s or refiner’s 3TG, if originating in the Covered Countries, came from conflict-free mines and trading.

Based on the RCOI, Seagate does not know or have reason to believe that its necessary conflict minerals originated or may have originated in the Covered Countries, except where CFSI validated smelters or refiners have revealed sources within the Covered Countries that are verified as conflict-free. However, a significant portion of the Seagate supply chain remains undefined with respect to the country of origin of its 3TG, as described below.

Seagate has identified sources in all categories of countries per CFSI definition: L1 (Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Cambodia, Canada, Chile, China, Colombia, Cote D’Ivoire, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Russia, Sierra Leone, Singapore, Slovakia, South Korea, Spain, Suriname, Switzerland, Taiwan, Thailand, United Kingdom, United States of America, Vietnam, and Zimbabwe), L2 (Kenya, Mozambique, and South Africa), L3 (Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia), DRC (Democratic Republic of Congo), and R/S (recycled or scrap feedstock). However, all our known DRC and L3 sources have been CFSI validated as conflict-free.

ANALYSIS OF SUPPLIER DATA

The following table depicts the status of our efforts to determine the smelters and refiners in our supply chain as of the end of 2016 for the 3TG used in our hardware products. As noted elsewhere, we separated the smelters and refiners in our supply chain into three categories: (1) CFSI validated conflict- free smelters or refiners; (2) CFSI recognized smelters or refiners that have not yet been validated as conflict-free; and (3) entities not yet CFSI recognized as actual smelters or refiners.

 

Smelter/Refiner Totals

    2013     2014     2015     2016  

2016 CFSI Conflict Free

      65       142       257       265  

Validated (Compliant, active, in communication)

      15 %      22 %      90 %      86 % 

CFSI Recognized, not

      97       109       30       42  

Conflict Free validated (outreach required)

      23 %      17 %      10 %      14 % 

CFSI Unrecognized (no CFSI CID)

      266       395       —         —    
     62 %      61 %      —   %      —   % 
  

 

 

    

 

 

    

 

 

    

 

 

  

Total

      428       646       287       307  
  

 

 

    

 

 

    

 

 

    

 

 

  

These totals reflect the sum of all our divisions in the past four years. We made it a priority to eliminate smelters that were not recognized by CFSI or were in the process of becoming validated by CFSI.

For Seagate products, 100% of our 3TG suppliers provided CMRT data to us for 2016.

For Seagate Systems products (formerly Xyratex Ltd and Dot Hill Systems Corp.), due to the extensive nature of the inherited supply chain which is undergoing transition into more mainstream Seagate sources, we limited our investigation of that supply chain for 2015 to the top 99.5% of direct materials spending. 100% of those suppliers have provided us with their CMRT data.

For certain Solid State Drive products from our recently acquired Accelerated Solutions Division from LSI Corporation, where we inherited an extensive supply chain in 2014, we were also able to obtain data on 99.5% of the direct materials spending. 100% of those suppliers have provided us with their CMRT data.

DUE DILIGENCE DETERMINATION

We carried out the diligence process described above in order to ascertain the source and chain of custody of 3TG used in our supply chain. Based on the processes implemented and information gathered therefrom, we were unable to determine the origin of all of the 3TG used in our products, and therefore concluded that for the Reporting Period we were unable to determine whether the necessary 3TG in our products directly or indirectly financed or benefited armed groups in the DRC or any of its adjoining countries. However, we found no evidence that any of our 3TG Direct Suppliers derived 3TG from sources within the DRC or adjoining countries other than from CFSI validated sources.

The list of smelters and refiners in the Seagate supply chain changed in calendar 2016 and continues to change. The list of CFSI validated conflict-free sources has grown in 2016 and continues to grow. Additionally, the list of unrecognized smelter and refiner names given in supplier CMRTs is growing, although we believe that growth was a temporary outcome of acquiring several new product supply chains in 2016. Given the dynamic nature of the smelter/refiner lists appearing on our outbound CMRTs, we provide the following snapshot list of smelters and refiners known to be in our supply chain at some time during calendar 2016:

SMELTER TABLE

 

Metal

   

Smelter

   

Smelter ID

Tungsten    A.L.M.T. TUNGSTEN Corp.    CID000004
Gold    Advanced Chemical Company    CID000015
Gold    Aida Chemical Industries Co., Ltd.    CID000019
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    CID000035
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    CID000041
Gold    AngloGold Ashanti Córrego do Sítio Mineração    CID000058
Gold    Argor-Heraeus SA    CID000077
Gold    Asahi Pretec Corporation    CID000082
Gold    Asaka Riken Co., Ltd.    CID000090
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    CID000103
Tungsten    Kennametal Huntsville    CID000105
Gold    Aurubis AG    CID000113
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    CID000128
Gold    Boliden AB    CID000157
Gold    C. Hafner GmbH + Co. KG    CID000176
Gold    Caridad    CID000180
Gold    CCR Refinery - Glencore Canada Corporation    CID000185
Gold    Cendres + Métaux S.A.    CID000189
Gold    Yunnan Copper Industry Co., Ltd.    CID000197
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CID000211
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CID000218
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CID000228
Gold    Chimet S.p.A.    CID000233
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CID000244

Tungsten    Chongyi Zhangyuan Tungsten Co Ltd    CID000258
Gold    Chugai Mining    CID000264
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CID000278
Tantalum    Conghua Tantalum and Niobium Smeltry    CID000291
Tin    Alpha    CID000292
Tin    Cooperativa Metalurgica de Rondônia Ltda.    CID000295
Tin    CV Gita Pesona    CID000306
Tin    PT Justindo    CID000307
Tin    PT Aries Kencana Sejahtera    CID000309
Tin    CV Serumpun Sebalai    CID000313
Tin    CV United Smelting    CID000315
Gold    Daejin Indus Co., Ltd.    CID000328
Gold    Daye Non-Ferrous Metals Mining Ltd.    CID000343
Tungsten    Dayu Weiliang Tungsten Co., Ltd.    CID000345
Gold    DSC (Do Sung Corporation)    CID000359
Gold    DODUCO GmbH    CID000362
Gold    Dowa    CID000401
Tin    Dowa    CID000402
Tantalum    Duoluoshan    CID000410
Gold    Eco-System Recycling Co., Ltd.    CID000425
Tin    EM Vinto    CID000438
Tin    Estanho de Rondônia S.A.    CID000448
Tantalum    Exotech Inc.    CID000456
Tantalum    F&X Electro-Materials Limited.    CID000460
Tin    Fenix Metals    CID000468
Gold    OJSC Novosibirsk Refinery    CID000493
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CID000499
Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    CID000522
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CID000538
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CID000555
Tungsten    Global Tungsten & Powders Corp.    CID000568
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CID000616
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CID000651
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CID000671
Gold    Heimerle + Meule GmbH    CID000694
Gold    Heraeus Ltd. Hong Kong    CID000707
Gold    Heraeus Precious Metals GmbH & Co. KG    CID000711
Tantalum    Hi-Temp Specialty Metals, Inc.    CID000731
Tin    Huichang Jinshunda Tin Co., Ltd.    CID000760
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CID000766
Gold    Hunan Chenzhou Mining Co., Ltd.    CID000767
Tungsten    Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.    CID000769
Gold    Hwasung CJ Co., Ltd.    CID000778
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CID000801
Gold    Ishifuku Metal Industry Co., Ltd.    CID000807
Gold    Istanbul Gold Refinery    CID000814
Gold    Japan Mint    CID000823
Tungsten    Japan New Metals Co., Ltd.    CID000825
Gold    Jiangxi Copper Co., Ltd.    CID000855
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CID000875

Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CID000914
Tantalum    Jiujiang Tanbre Co., Ltd.    CID000917
Gold    Asahi Refining USA Inc.    CID000920
Gold    Asahi Refining Canada Ltd.    CID000924
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    CID000927
Gold    JSC Uralelectromed    CID000929
Gold    JX Nippon Mining & Metals Co., Ltd.    CID000937
Tin    Gejiu Kai Meng Industry and Trade LLC    CID000942
Gold    Kazakhmys Smelting LLC    CID000956
Gold    Kazzinc    CID000957
Tungsten    Kennametal Fallon    CID000966
Gold    Kennecott Utah Copper LLC    CID000969
Tantalum    King-Tan Tantalum Industry Ltd.    CID000973
Gold    Kojima Chemicals Co., Ltd    CID000981
Gold    Kyrgyzaltyn JSC    CID001029
Gold    L’azurde Company For Jewelry    CID001032
Gold    Lingbao Gold Co., Ltd.    CID001056
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CID001058
Tin    China Tin Group Co., Ltd.    CID001070
Tantalum    LSM Brasil S.A.    CID001076
Gold    LS-NIKKO Copper Inc.    CID001078
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CID001093
Tin    Malaysia Smelting Corporation (MSC)    CID001105
Gold    Materion    CID001113
Gold    Matsuda Sangyo Co., Ltd.    CID001119
Tin    Metallic Resources, Inc.    CID001142
Gold    Metalor Technologies (Suzhou) Ltd.    CID001147
Gold    Metalor Technologies (Hong Kong) Ltd.    CID001149
Gold    Metalor Technologies (Singapore) Pte., Ltd.    CID001152
Gold    Metalor Technologies S.A.    CID001153
Gold    Metalor USA Refining Corporation    CID001157
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    CID001161
Tantalum    Metallurgical Products India Pvt., Ltd.    CID001163
Tin    Mineração Taboca S.A.    CID001173
Tantalum    Mineração Taboca S.A.    CID001175
Tin    Minsur    CID001182
Gold    Mitsubishi Materials Corporation    CID001188
Tin    Mitsubishi Materials Corporation    CID001191
Tantalum    Mitsui Mining & Smelting    CID001192
Gold    Mitsui Mining and Smelting Co., Ltd.    CID001193
Tantalum    Molycorp Silmet A.S.    CID001200
Gold    Moscow Special Alloys Processing Plant    CID001204
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    CID001220
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    CID001231
Gold    Navoi Mining and Metallurgical Combinat    CID001236
Gold    Nihon Material Co. LTD    CID001259
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CID001277
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    CID001314
Gold    Elemetal Refining, LLC    CID001322
Gold    Ohura Precious Metal Industry Co., Ltd.    CID001325
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    CID001326

Tin    Operaciones Metalurgical S.A.    CID001337
Gold    PAMP S.A.    CID001352
Gold    Penglai Penggang Gold Industry Co., Ltd.    CID001362
Gold    Prioksky Plant of Non-Ferrous Metals    CID001386
Gold    PT Aneka Tambang (Persero) Tbk    CID001397
Tin    PT Artha Cipta Langgeng    CID001399
Tin    PT Babel Inti Perkasa    CID001402
Tin    PT Bangka Tin Industry    CID001419
Tin    PT Belitung Industri Sejahtera    CID001421
Tin    PT Bukit Timah    CID001428
Tin    PT DS Jaya Abadi    CID001434
Tin    PT Eunindo Usaha Mandiri    CID001438
Tin    PT Karimun Mining    CID001448
Tin    PT Mitra Stania Prima    CID001453
Tin    PT Panca Mega Persada    CID001457
Tin    PT Prima Timah Utama    CID001458
Tin    PT Refined Bangka Tin    CID001460
Tin    PT Sariwiguna Binasentosa    CID001463
Tin    PT Stanindo Inti Perkasa    CID001468
Tin    PT Sumber Jaya Indah    CID001471
Tin    PT Timah (Persero) Tbk Kundur    CID001477
Tin    PT Timah    CID001482
Tin    PT Tinindo Inter Nusa    CID001490
Tin    PT Tommy Utama    CID001493
Gold    PX Précinox S.A.    CID001498
Tantalum    QuantumClean    CID001508
Gold    Rand Refinery (Pty) Ltd.    CID001512
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CID001522
Gold    Royal Canadian Mint    CID001534
Tin    Rui Da Hung    CID001539
Gold    Sabin Metal Corp.    CID001546
Gold    Samduck Precious Metals    CID001555
Gold    SAMWON Metals Corp.    CID001562
Gold    Schone Edelmetaal B.V.    CID001573
Gold    SEMPSA Joyería Platería S.A.    CID001585
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CID001619
Gold    Shandong Zhaojin Gold & Silver Refinery Co. Ltd    CID001622
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CID001736
Gold    So Accurate Group, Inc.    CID001754
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    CID001756
Tin    Soft Metais Ltda.    CID001758
Gold    Solar Applied Materials Technology Corp.    CID001761
Tantalum    Solikamsk Magnesium Works OAO    CID001769
Gold    Sumitomo Metal Mining Co., Ltd.    CID001798
Tantalum    Taki Chemical Co., Ltd.    CID001869
Gold    Tanaka Kikinzoku Kogyo K.K.    CID001875
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    CID001889
Tantalum    Telex Metals    CID001891
Tin    Thaisarco    CID001898
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CID001908

Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CID001909
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CID001916
Gold    Tokuriki Honten Co., Ltd    CID001938
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CID001947
Gold    Torecom    CID001955
Tantalum    Ulba Metallurgical Plant JSC    CID001969
Gold    Umicore Brasil Ltda.    CID001977
Gold    Umicore S.A. Business Unit Precious Metals Refining    CID001980
Gold    United Precious Metal Refining, Inc.    CID001993
Gold    Valcambi S.A.    CID002003
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    CID002011
Tin    VQB Mineral and Trading Group JSC    CID002015
Gold    Western Australian Mint trading as The Perth Mint    CID002030
Tin    White Solder Metalurgia e Mineração Ltda.    CID002036
Tungsten    Wolfram Bergbau und Hütten AG    CID002044
Tungsten    Xiamen Tungsten Co., Ltd    CID002082
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CID002095
Gold    Yamamoto Precious Metal Co., Ltd.    CID002100
Gold    Yokohama Metal Co., Ltd.    CID002129
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CID002158
Tin    Yunnan Tin Company Limited    CID002180
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CID002224
Tantalum    Zhuzhou Cemented Carbide    CID002232
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    CID002243
Gold    Morris and Watson    CID002282
Gold    SAFINA A.S.    CID002290
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CID002307
Gold    Guangdong Jinding Gold Limited    CID002312
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CID002313
Gold    Umicore Precious Metals Thailand    CID002314
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CID002315
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CID002316
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CID002317
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CID002318
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CID002319
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CID002320
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CID002321
Tin    CV Venus Inti Perkasa    CID002455
Gold    Geib Refining Corporation    CID002459
Tin    Magnu’s Minerais Metais e Ligas Ltda.    CID002468
Tin    PT Wahana Perkit Jaya    CID002479
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CID002492
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CID002494
Tin    Melt Metais e Ligas S.A.    CID002500
Tungsten    Asia Tungsten Products Vietnam Ltd.    CID002502
Tin    PT ATD Makmur Mandiri Jaya    CID002503
Tantalum    D Block Metals, LLC    CID002504
Tantalum    FIR Metals & Resource Ltd.    CID002505
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CID002506
Tin    Phoenix Metal Ltd.    CID002507
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CID002508

Gold    MMTC-PAMP India Pvt., Ltd.    CID002509
Gold    Republic Metals Corporation    CID002510
Gold    KGHM Polska Miedź Spółka Akcyjna    CID002511
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CID002512
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CID002513
Gold    Fidelity Printers and Refiners Ltd.    CID002515
Gold    Singway Technology Co., Ltd.    CID002516
Tin    O.M. Manufacturing Philippines, Inc.    CID002517
Tin    PT Inti Stania Prima    CID002530
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CID002535
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CID002536
Tantalum    KEMET Blue Metals    CID002539
Tungsten    H.C. Starck GmbH    CID002541
Tungsten    H.C. Starck Smelting GmbH & Co.KG    CID002542
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    CID002543
Tantalum    H.C. Starck Co., Ltd.    CID002544
Tantalum    H.C. Starck GmbH Goslar    CID002545
Tantalum    H.C. Starck Hermsdorf GmbH    CID002547
Tantalum    H.C. Starck Inc.    CID002548
Tantalum    H.C. Starck Ltd.    CID002549
Tantalum    H.C. Starck Smelting GmbH & Co. KG    CID002550
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CID002551
Tantalum    Global Advanced Metals Boyertown    CID002557
Tantalum    Global Advanced Metals Aizu    CID002558
Gold    Al Etihad Gold Refinery DMCC    CID002560
Gold    Emirates Gold DMCC    CID002561
Gold    Kaloti Precious Metals    CID002563
Gold    Sudan Gold Refinery    CID002567
Tantalum    KEMET Blue Powder    CID002568
Tin    CV Ayi Jaya    CID002570
Tantalum    Tranzact, Inc.    CID002571
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    CID002572
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    CID002573
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    CID002574
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CID002579
Gold    T.C.A S.p.A    CID002580
Gold    Remondis Argentia B.V.    CID002582
Gold    Tony Goetz NV    CID002587
Tungsten    Niagara Refining LLC    CID002589
Tin    CV Dua Sekawan    CID002592
Tin    CV Tiga Sekawan    CID002593
Gold    Korea Zinc Co., Ltd.    CID002605
Gold    TOO Tau-Ken-Altyn    CID002615
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CID002647
Tungsten    Hydrometallurg, JSC    CID002649
Tin    PT Cipta Persada Mulia    CID002696
Tin    An Vinh Joint Stock Mineral Processing Company    CID002703
Tin    Resind Indústria e Comércio Ltda.    CID002706
Tantalum    Resind Indústria e Comércio Ltda.    CID002707
Tungsten    Unecha Refractory metals plant    CID002724

Tin    PT O.M. Indonesia    CID002757
Gold    SAAMP    CID002761
Tin    Metallo Chimique    CID002773
Tin    Elmet S.L.U.    CID002774
Tin    PT Bangka Prima Tin    CID002776
Gold    SAXONIA Edelmetalle GmbH    CID002777
Gold    WIELAND Edelmetalle GmbH    CID002778
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    CID002779
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CID002815
Tin    PT Sukses Inti Makmur    CID002816
Tin    An Thai Minerals Co., Ltd.    CID002825
Tungsten    Philippine Chuangxin Industrial Co., Inc.    CID002827
Tin    PT Kijang Jaya Mandiri    CID002829
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CID002830
Tungsten    ACL Metais Eireli    CID002833
Tantalum    Jiangxi Tuohong New Raw Material    CID002842
Tungsten    Woltech Korea Co., Ltd.    CID002843
Tin    HuiChang Hill Tin Industry Co., Ltd.    CID002844
Tungsten    Moliren Ltd    CID002845
Tantalum    Power Resources Ltd.    CID002847
Tin    Gejiu Fengming Metallurgy Chemical Plant    CID002848
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CID002849
Gold    AU Traders and Refiners    CID002850
Gold    Gujarat Gold Centre    CID002852
Gold    Sai Refinery    CID002853
Gold    Universal Precious Metals Refining Zambia    CID002854
Gold    Modeltech Sdn Bhd    CID002857
Tin    Modeltech Sdn Bhd    CID002858
Tin    Gejiu Jinye Mineral Company    CID002859
Gold    Bangalore Refinery    CID002863
Gold    Kyshtym Copper-Electrolytic Plant ZAO    CID002865

Our direct suppliers have named these smelters or refiners as their sources of tin, tungsten, tantalum and gold in the products we buy from them. We have subjected each incoming CMRT to systematic scrutiny often followed by additional supplier communication. This list of 3TG smelter/refiner sources in our supply chain is not exhaustive. Some suppliers still have only partial lists available. As noted, many have provided unrecognized names which we have not yet been able to resolve, so those names are not included here. Nor does the inclusion of any name on our list imply that its products necessarily comprise portions of our products. Inclusion only implies that the 3TG in all our products comes from these sources or from others yet to be determined.

FUTURE PLANS TO IMPROVE DUE DILIGENCE AND SUPPLIER RESPONSIVENESS

Seagate expects to pursue several initiatives to attain a conflict-free 3TG supply chain, including the following:

 

  •   Although the number of validated conflict-free 3TG smelters and refiners is climbing steadily, there are still not enough conflict-free validated sources to go around for all industries. As more smelters and refiners become validated, we all benefit. Nevertheless, we continue to seek supplier commitments to conflict-free 3TG, to request suppliers to have their smelters and refiners engage in the validation audit process, and then if necessary to convert to other preferred sources.

 

  •   We are also working on developing software to accelerate and track progress, to make our information more complete, accurate, timely and specific using greater automation.

 

  •   In 2017, we are in the process of refreshing all our direct supplier data using CMRT 4.0, with which we expect to enhance the quality of the information we obtain this year. We continue to work with the EICC and CFSI to improve processes that encourage responsible sourcing of 3TG in a manner that avoids de facto boycott of legitimate minerals from Covered Countries.

INDEPENDENT PRIVATE SECTOR AUDIT

We obtained an independent private sector audit of this Conflict Minerals Report by Elm Sustainability Partners LLC, which is set forth as Appendix A.

CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS

This Conflict Minerals Report contains forward-looking statements, including, in particular, statements about our future plans to improve due diligence and supplier responsiveness and to seek supplier commitments in this regard. These forward-looking statements are based on information available to us as of the date of this Conflict Mineral Report and are based on management’s current views and assumptions. These forward-looking statements also involve a number of known and unknown risks, uncertainties, and other factors that could cause actual events to differ materially from our expectations. Such risks and uncertainties include the veracity of information directly or indirectly provided to us by others and expectations regarding future smelter and refiner participation in conflict-free verification regimens. Except as may be required by law, we undertake no obligation to update forward-looking statements to reflect future events or circumstances.

Appendix A

 

LOGO

INDEPENDENT PRIVATE SECTOR AUDITOR’S REPORT

To the Board of Directors:

ELM SUSTAINABILITY PARTNERS LLC conducted an Independent Private Sector Audit (IPSA) of Seagate Technologies, Inc., (“the Company”) Conflict Minerals Report for the reporting period of January 1 to December 31, 2016. We examined evidence relating to the audit objectives set forth in 17 CFR Part 249b.400, Section 1, Item 1.01, which state that the auditor is to express an opinion or conclusion as to:

 

•   whether the design of the Company’s due diligence framework as set forth in the section titled Due Diligence Program Design in the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is in conformity, in all material respects, with the criteria set forth in the Organisation of Economic Co-Operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition 2016 (“OECD Due Diligence Guidance”), and

 

•   whether the Company’s description of the due diligence measures it performed, as set forth in the section titled Due Diligence Measures Performed in the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is consistent with the due diligence process that the Company undertook.

Management is responsible for the design of the Company’s due diligence framework, the description of the Company’s due diligence measures set forth in the Conflict Minerals Report, and performance of the due diligence measures. Our responsibility is to express an opinion or conclusion in relation to the stated audit objectives. The mandated audit objectives and our examination did not include evaluating:

 

•   The consistency of the due diligence measures that the Company performed with either the design of the Company’s due diligence framework or the OECD Due Diligence Guidance;

 

•   The completeness of the Company’s description of the due diligence measures performed;

 

•   The suitability of the design or operating effectiveness of the Company’s due diligence process;

 

•   Whether a third party can determine from the Conflict Minerals Report if the due diligence measures the Company performed are consistent with the OECD Due Diligence Guidance;

 

•   The Company’s reasonable country of origin inquiry (RCOI), including the suitability of the design of the RCOI, its operating effectiveness, or the results thereof;

 

•   The adequacy or completeness of the Company’s applicability determinations of parts, components, materials or products used, sold, manufactured by or for the Company; or

 

•   The Company’s conclusions about the source or chain of custody of its conflict minerals or the DRC Conflict Free status of parts, components, materials or products used, sold, manufactured by or for the Company.

We do not express an opinion or offer any other form of conclusion or assurance on those or any other matters in any section of the Conflict Minerals Report other than the sections titled Due Diligence Program Design and Due Diligence Measures Performed.

Audit planning began March 21, 2017 and on-site activities were conducted April 11 – 12, 2017. No impairments or threats to our independence as an auditor were identified prior to, during or after this audit. As the basis for this audit, the Company provided the Conflict Minerals Report that was current on April 11, 2017. For the first audit objective, we reviewed the following audit evidence and compared it to the OECD Due Diligence Guidance: (a) detailed conflict minerals program documentation relating to each of the five steps, (b) evidence of program controls and execution, and (c) conducted interviews with individuals directly involved in executing the conflict minerals program; thereby providing reasonable assurance that the design of the due diligence framework described in the section titled Due Diligence Program Design of the Conflict Minerals Report is in conformity with, in all material respects, the OECD Due Diligence Guidance. For the second audit objective, we reviewed 100% of the records provided by the Company documenting that it undertook the due diligence measures described in the section titled Due Diligence Measures Performed of the Conflict Minerals Report. We also conducted interviews with individuals directly involved in performing those due diligence measures. The auditor and internal quality control reviewer are senior level Principals that hold certifications from the Board of Environmental Auditor Certifications, an independent accredited certification body that requires conformance to established ethics, independence requirements and annual continuing education. The audit team also included a technical subject matter expert widely recognized as one of the world’s leading experts on conflict minerals due diligence. The original auditors’ notes were evaluated by the internal quality control reviewer to confirm that the audit work performed and evidence obtained supports the findings or conclusions in this audit report. Additional information on our firm’s audit quality assurance practices is available on our website.

Management was provided an opportunity to review and offer comments on a draft of this report and had no comments to the draft report.

In our opinion,

 

•   the design of the Company’s due diligence framework as set forth in the section titled Due Diligence Program Design in the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is in conformity, in all material respects, with the OECD Due Diligence Guidance, and

 

•   the Company’s description of the due diligence measures it performed as set forth in the section titled Due Diligence Measures Performed of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is consistent with the due diligence process that the Company undertook.

We conducted this performance audit in accordance with generally accepted government auditing standards. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings based on our audit objectives.

Marietta, Georgia

May 1, 2017