EX-1.01 2 tmb-20210621xex1d01.htm EX-1.01

Exhibit 1.01

Conflict Minerals Report

Napco Security Technologies, Inc.

2020 Calendar Year

Overview

Napco Security Technologies, Inc., headquartered in Amityville, N.Y. was incorporated in Delaware in 1971. “The Company,” "Napco,” "we," "our" and "us" are used interchangeably to refer to Napco Security Technologies, Inc. and its subsidiaries.

The Company is a diversified manufacturer of security products, encompassing electronic door-locking devices, intrusion and fire alarms and building access control systems. These products are used for commercial, residential, institutional, industrial and governmental applications, and are sold worldwide principally to independent distributors, dealers and installers of security equipment.

This report for the year ended December 31, 2020 is filed to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”), which was adopted by the Securities and Exchange Commission to implement reporting and disclosure requirements related to Conflict Minerals, as defined in Item 1.01(d)(3) of the Form SD, “Conflict Minerals,” as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 imposes certain reporting obligations on certain SEC reporting companies whose manufactured products contain Conflict Minerals.

Part I. Due Diligence

Design of Conflict Minerals Program

The Company has integrated into its supply chain management programs the Organization for Economic Co-operation and Development five-step framework for risk-based due diligence for responsible supply chains of minerals from conflict-affected and high-risk areas.

Description of Due Diligence Measures Performed

Below is a description of the measures performed for this reporting period to exercise due diligence on the source and chain of custody of the necessary conflict minerals contained in our products which we had reason to believe may have originated from the Covered Countries and may not have come from recycled or scrap sources:

·

Compared any smelters or refiners which were included in the supplier responses from our survey to the list of smelters and refiners maintained by the CFSI (conflict-free sourcing initiative). Appendix A contains a list of these smelters and refiners as well as the certification status as reported by the CFSI.

·

Contacted surveyed suppliers on responses to supply chain surveys that we identified contained incomplete or potentially inaccurate information to seek additional clarifying information.

·

Compared smelters and refiners identified by surveyed suppliers against the list of facilities that have received a conflict-free designation from the CFSP (conflict-free smelter program).

·

Napco provided 3 progress reports to Napcos Senior Vice President of Operations and Finance. These progress reports summarized the status of the applicable conflict minerals program.

Results of our Due Diligence Efforts

Inherent Limitations on Due Diligence Measures

As a downstream purchaser of products which contain conflict minerals, our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals. Our due diligence processes are based on the necessity of seeking data from our direct suppliers and those suppliers seeking similar information within their supply chains to identify the original sources of the necessary conflict minerals. We also rely, to a


large extent, on information collected and provided by independent third party audit programs. Such sources of information, as well as the smelters and refiner facility visits, may yield inaccurate or incomplete information and may be subject to fraud.

Results of Reasonable Country of Origin Inquiry Efforts

Based on the survey responses received, we have identified 131 smelters and refiners that are certified conflict-free. Based on the surveys provided and diligence efforts that were completed, we do not have sufficient information to conclusively determine all smelters and refiners or countries of origin of the conflict minerals. However, we have not obtained any supplier responses that indicate sourcing from conflict mines.

Future Due Diligence Measures

·

We are continuing to develop a risk mitigation response plan to address business relationships with suppliers that are not DRC conflict free (as defined in Item 1.01(d)(4) of Form SD), which mitigation may include identifying an alternate supply. Our program will include continuous monitoring to adjust our strategies as sourcing data improves and new information is received.

·

We will continue to assess and update future due diligence activities, including our efforts to determine smelter and mine locations, transit routes, and countries of origin. We tracked results of our supply chain diligence process and periodically reported the results to our executive leadership team.

Part II. Product Description

For this reporting period, we identified the following products which we manufactured or purchased from others for resale that may contain necessary conflict minerals (defined as any tantalum, tin, tungsten or gold that is necessary to the functionality or production of our products):

Access Control Systems. Various types of identification readers (e.g. card readers, hand scanners), control panels, PC-based computers and electronically activated door-locking devices.

Door Security Products. Various metal door locking devices including microprocessor-based electronic door locks with push button, card reader and bio-metric operation, door alarms, mechanical door locks and simple dead bolt locks.

Intrusion and Fire Alarm Systems. Various detectors, control panels, digital keypads and signaling equipment.

Video Surveillance Systems.  Video cameras, control panels, video monitors and recording devices.

Appendix A lists the facilities identified to us by our suppliers that were used to process the associated minerals that were used in manufacturing the component parts that we use in assembling our products.

This report is not subject to an independent private sector audit as allowed under Rule 13p-1.


Appendix A:

The following smelters and refiners were reports by our suppliers as being in their supply chains and, therefore, potentially in ours. Some suppliers responded at the company level, therefore some of the smelters or refiners listed below may not be related to the products that we source from these suppliers. The certification status of each smelter and refiner as indicated by the Conflict-Free Sourcing Initiative is contained in column four.

Metal

Standard Smelter Name

Smelter Facility Location

Smelter status
by ID

Gold

AGR Mathey

AUSTRALIA

Compliant

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

Compliant

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

Compliant

Gold

AngloGold Ashanti Córrego do Sítio Mineração

BRAZIL

Compliant

Gold

Argor-Heraeus SA

SWITZERLAND

Compliant

Gold

AU Traders and Refiners

SOUTH AFRICA

Compliant

Gold

Augmont Enterprises Private Limited

INDIA

Active

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

Compliant

Gold

Boliden AB

SWEDEN

Compliant

Gold

C.I Metales Procesados Industriales SAS

COLOMBIA

Active

Gold

Cendres + Métaux SA

SWITZERLAND

Compliant

Gold

Dijllah Gold Refinery FZC

UNITED ARAB EMIRATES

Not certified

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

Compliant

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

Not certified

Gold

Fujairah Gold FZC

UNITED ARAB EMIRATES

Not certified

Gold

International Precious Metal Refiners

UNITED ARAB EMIRATES

Not certified

Gold

Istanbul Gold Refinery

TURKEY

Compliant

Gold

Johnson Matthey Canada

CANADA

Compliant

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

Not certified

Gold

KGHM Polska Miedz Spolka Akcyjna

POLAND

Compliant

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

Compliant

Gold

Marsam Metals

BRAZIL

Compliant

Gold

Metalor Switzerland

SWITZERLAND

Compliant

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

Compliant

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

MEXICO

Compliant

Gold

Nadir Metal Rafineri San. Ve Tic. A.Ş.

TURKEY

Compliant

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

Compliant

Gold

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

AUSTRIA

Compliant

Gold

PAMP SA

SWITZERLAND

Compliant

Gold

Planta Recuperadora de Metales SpA

CHILE

Compliant

Gold

PX Précinox SA

SWITZERLAND

Compliant

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

Compliant

Gold

REMONDIS PMR B.V.

NETHERLANDS

Compliant

Gold

Royal Canadian Mint

CANADA

Compliant

Gold

SEMPSA Joyería Platería SA

SPAIN

Compliant


Gold

Singway Technology Co., Ltd.

TAIWAN

Compliant

Gold

Solar Applied Materials Technology Corp.

TAIWAN

Compliant

Gold

Umicore Precious Metals Thailand

THAILAND

Compliant

Gold

Umicore S.A. Business Unit Precious Metals Refining

BELGIUM

Compliant

Gold

Valcambi SA

SWITZERLAND

Compliant

Gold

Xstrata

CANADA

Compliant

Gold

Yokohama Metal Co., Ltd.

JAPAN

Compliant

Tantalum

Asaka Riken Co., Ltd.

JAPAN

Compliant

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

Compliant

Tantalum

F&X Electro-Materials Ltd.

CHINA

Compliant

Tantalum

FIR Metals & Resource Ltd.

CHINA

Compliant

Tantalum

Global Advanced Metals Aizu

JAPAN

Compliant

Tantalum

Guangdong Rising Rare Metals-EO Materials Ltd.

CHINA

Compliant

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

Compliant

Tantalum

H.C. Starck Co., Ltd.

THAILAND

Compliant

Tantalum

H.C. Starck GmbH Goslar

GERMANY

Compliant

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

Compliant

Tantalum

H.C. Starck Ltd.

JAPAN

Compliant

Tantalum

H.C. Starck Smelting GmbH & Co. KG

GERMANY

Compliant

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

Compliant

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

Compliant

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

Compliant

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

Compliant

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

Compliant

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

Compliant

Tantalum

KEMET Blue Metals

MEXICO

Compliant

Tantalum

LSM Brasil S.A.

BRAZIL

Compliant

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

Compliant

Tantalum

Mineracao Taboca S.A.

BRAZIL

Compliant

Tantalum

Mitsui Mining and Smelting Co., Ltd.

JAPAN

Compliant

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Compliant

Tantalum

NPM Silmet AS

ESTONIA

Compliant

Tantalum

PRG Dooel

NORTH MACEDONIA

Compliant

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

Compliant

Tantalum

Taki Chemicals

JAPAN

Compliant

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

Compliant

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

CHINA

Compliant

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

Compliant

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

CHINA

Compliant

Tin

CRM Synergies

SPAIN

Active

Tin

CV Ayi Jaya

INDONESIA

Active

Tin

CV Venus Inti Perkasa

INDONESIA

Active

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

Not certified


Tin

Dowa

JAPAN

Compliant

Tin

Elmet S.L.U. (Metallo Group)

SPAIN

Compliant

Tin

EM Vinto

BOLIVIA

Compliant

Tin

Estanho de Rondonia S.A.

BRAZIL

Active

Tin

Fenix Metals

POLAND

Compliant

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

CHINA

Not certified

Tin

Magnu's Minerais Metais e Ligas Ltda.

BRAZIL

Compliant

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

Compliant

Tin

Melt Metais e Ligas S.A.

BRAZIL

Compliant

Tin

Metallo-Chimique N.V.

BELGIUM

Compliant

Tin

Mineração Taboca S.A.

BRAZIL

Compliant

Tin

Minsur

PERU

Compliant

Tin

Mitsubishi Materials Corporation

JAPAN

Compliant

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

THAILAND

Compliant

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

Compliant

Tin

Operaciones Metalurgical S.A.

BOLIVIA

Compliant

Tin

PT Artha Cipta Langgeng

INDONESIA

Compliant

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

Compliant

Tin

PT Babel Surya Alam Lestari

INDONESIA

Compliant

Tin

PT Bangka Serumpun

INDONESIA

Compliant

Tin

PT Menara Cipta Mulia

INDONESIA

Compliant

Tin

PT Mitra Stania Prima

INDONESIA

Compliant

Tin

PT Prima Timah Utama

INDONESIA

Compliant

Tin

PT Rajawali Rimba Perkasa

INDONESIA

Compliant

Tin

PT Rajehan Ariq

INDONESIA

Compliant

Tin

PT Refined Bangka Tin

INDONESIA

Compliant

Tin

PT Timah (Persero) Tbk Kundur

INDONESIA

Compliant

Tin

PT Timah (Persero) Tbk Mentok

INDONESIA

Compliant

Tin

Resind Indústria e Comércio Ltda.

BRAZIL

Compliant

Tin

Rui Da Hung

TAIWAN

Compliant

Tin

Smelter not listed

INDONESIA

Active

Tin

Smelter not listed

INDONESIA

Active

Tin

Smelter not listed

INDONESIA

Compliant

Tin

Soft Metais Ltda.

BRAZIL

Compliant

Tin

Super Ligas

BRAZIL

Active

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

Compliant

Tin

Thaisarco

THAILAND

Compliant

Tin

White Solder Metalurgia e Mineração Ltda.

BRAZIL

Compliant

Tungsten

A.L.M.T. Corp.

JAPAN

Compliant

Tungsten

ACL Metais Eireli

BRAZIL

Compliant

Tungsten

Albasteel Industria e Comercio de Ligas Para FundicaoLtd.

BRAZIL

Active

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

Compliant

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

Compliant


Tungsten

China Molybdenum Co., Ltd.

CHINA

Active

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

Cronimet Brasil Ltda

BRAZIL

Active

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

CHINA

Compliant

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

Compliant

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

Compliant

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

Compliant

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

H.C. Starck Smelting GmbH & Co. KG

GERMANY

Compliant

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

Compliant

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

Compliant

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

Compliant

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

Compliant

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

Compliant

Tungsten

Japan New Metals Co., Ltd.

JAPAN

Compliant

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

CHINA

Compliant

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

CHINA

Not certified

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

CHINA

Compliant

Tungsten

Jiangxi Xianglu Tungsten Co., Ltd.

CHINA

Not certified

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

Compliant

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

Lianyou Metals Co., Ltd.

TAIWAN, PROVINCE OF CHINA

Compliant

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

Masan Tungsten Chemical LLC (MTC)

VIET NAM

Compliant

Tungsten

South-East Nonferrous Metal Company Limited of Hengyang City

CHINA

Not certified

Tungsten

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

Compliant

Tungsten

Wolfram Bergbau und Hutten AG

AUSTRIA

Compliant

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

CHINA

Compliant

Tungsten

Xiamen Tungsten Co., Ltd.

CHINA

Compliant

Tungsten

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

CHINA

Compliant

Tungsten

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

Not certified