EX-1.01 2 exhibit101conflictminerals.htm EXHIBIT 1.01 Exhibit 1.01 Conflict Minerals Report


Exhibit 1.01

Maxim Integrated Products, Inc.
Conflict Mineral Report
For the Calendar Year Ended December 31, 2014
Company Overview:
Maxim Integrated Products, Inc. ("Maxim Integrated" or the "Company" and also referred to as "we," "our" or "us") designs, develops, manufactures and markets a broad range of linear and mixed-signal integrated circuits, commonly referred to as analog circuits, for a large number of customers in diverse geographical locations.
We operate in one reportable segment - the design, development, marketing and manufacturing of a broad range of linear and mixed signal integrated circuits. Our linear and mixed signal products serve five major end-markets: Automotive, Communications and Data Center, Computing, Consumers, and Industrial. We utilize our own wafer fabrication facilities as well as third party foundries for the production of our wafers for our broad range of products.
Our Conflict Minerals Policy:
Maxim Integrated is committed to complying with the letter and the spirit of the conflict minerals disclosure requirements adopted by the Securities and Exchange Commission (“SEC”) under Section 13(p) of the Securities and Exchange Act, as amended (“Exchange Act”), in the form of Rule 13p-1 and Form SD (together, the “Conflict Minerals Rule” or “Rule”). Maxim Integrated has considered the Rule’s requirements, guidance from the Organisation for Economic Cooperation and Development (the “OECD”) that has been recognized as authoritative by the SEC (the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, and related Supplements for tin, tantalum, tungsten and gold (“OECD Due Diligence Guidance”)), and related measures being taken by the EICC/GeSI Extractives Work Group and other organizations, and is implementing and enhancing its formal Conflict Minerals compliance program accordingly. Our Conflict Minerals Policy Statement is available on our website at:
To support this policy, Maxim Integrated:
Conducts a reasonable country of origin inquiry of its suppliers and, if required by the Conflict Minerals Rule (as it was for calendar year 2014), implements a program of due diligence on the source and chain of custody of conflict minerals (tin, tantalum, tungsten and gold, or “3TG”) that we consider necessary to the functionality or production of our products (“necessary conflict minerals”).
Expects our suppliers to have policies and procedures in place which are in compliance with the Maxim Integrated Conflict Minerals Policy Statement, and will enable transparency of the supply chain to facilitate our compliance with the Conflict Minerals Rule.
Provides, and expects our suppliers to cooperate in providing, reasonable country of origin and due diligence information with regard to use of “necessary conflict minerals” in our supply chain.


1 The content of this website, and any other website referred to in this Conflict Minerals Report and/or the accompanying Form SD, is not incorporated by reference into either of these documents, or any other document Maxim Integrated has filed or will file with the SEC.




Efforts to determine the mine or location of origin of the conflict minerals in our products
Tracing the 3TG we use in our products back to the mine and source country of origin of each such mineral is a complex endeavor, but an important aspect of responsible sourcing. To help establish our supply chain sourcing programs, we have followed currently established industry guidelines such as the Conflict Free Sourcing Initiative of the EICC and the GeSI (“CFSI”), which are taking action to address responsible sourcing through the development of the Conflict-Free Smelter ("CFS") program which enables companies to source minerals from conflict-free sources.
Facilities used to process the conflict minerals in our products; brief description of our products
Through our reasonable country of origin inquiry (“RCOI”) survey process, we adopted the CFSI’s industry approach and traced back the origin of 3TG by identifying smelters, refineries or recyclers and scrap supplier sources. We also utilized the CFSI and its CFS program to trace the mine of origin of the 3TG when the information was available. The CFS program audits smelters and refineries to ensure that all certified smelters and refineries only use the ore that are conflict free from the DRC and covered countries.
Maxim Integrated procures IC and discrete components and raw materials that may contain conflict minerals from the following major types of suppliers:
•
Raw material supplier
•
Wafer Foundry
•
IC Assembly subcontractor
•
Contract Manufacturers
•
Component Manufacturer
As discussed above, we manufacture a broad range of linear and mixed signal integrated circuits for a variety of uses (e.g., communications and computers), and have our own wafer fabrication facilities. We also use third-party wafer foundries.
The table below lists the facilities which, to the extent known, were identified by our supply chain as sourcing smelters or refineries for one or more of the necessary conflict minerals in our products (we use gold, tin, tantalum and tungsten).

Standard Smelter Names
Smelter Location
Smelter ID
Status
Aida Chemical Industries Co. Ltd.
JAPAN
CID000019
CFSP compliant
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
CFSP compliant
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Under review
AngloGold Ashanti Córrego do Sítio Minerção
BRAZIL
CID000058
CFSP compliant
Argor-Heraeus SA
SWITZERLAND
CID000077
CFSP compliant
Asahi Pretec Corporation
JAPAN
CID000082
CFSP compliant
Asaka Riken Co Ltd
JAPAN
CID000090
In progress
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
CFSP compliant
Aurubis AG
GERMANY
CID000113
CFSP compliant
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
LBMA REGISTERED.
Bauer Walser AG
GERMANY
CID000141
Under review




Boliden AB
SWEDEN
CID000157
CFSP compliant
C. Hafner GmbH + Co. KG
GERMANY
CID000176
CFSP compliant
Caridad
MEXICO
CID000180
Working to Remove from Supply Chain
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
CFSP compliant
Cendres + Métaux SA
SWITZERLAND
CID000189
In progress
Chimet S.p.A.
ITALY
CID000233
CFSP compliant
Chugai Mining
JAPAN
CID000264
Under review
Daejin Indus Co. Ltd
KOREA, REPUBLIC OF
CID000328
Under review
DO SUNG CORPORATION
KOREA, REPUBLIC OF
CID000359
Under review
Doduco
GERMANY
CID000362
Under review
Dowa
JAPAN
CID000401
CFSP compliant
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
CFSP compliant
FSE Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Under review
Guangdong Jinding Gold Limited
CHINA
CID002312
Under review
Heimerle + Meule GmbH
GERMANY
CID000694
CFSP compliant
Heraeus Ltd. Hong Kong
HONG KONG
CID000707
CFSP compliant
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
CFSP compliant
Hwasung CJ Co. Ltd
KOREA, REPUBLIC OF
CID000778
Under review
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
CHINA
CID000801
Under review
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
CFSP compliant
Istanbul Gold Refinery
TURKEY
CID000814
CFSP compliant
Japan Mint
JAPAN
CID000823
CFSP compliant
Jiangxi Copper Company Limited
CHINA
CID000855
LBMA REGISTERED.
Johnson Matthey Inc
UNITED STATES
CID000920
CFSP compliant
Johnson Matthey Ltd
CANADA
CID000924
CFSP compliant
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
CFSP compliant
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
CFSP compliant
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
CFSP compliant
Kazzinc Ltd
KAZAKHSTAN
CID000957
CFSP compliant
Kennecott Utah Copper LLC
UNITED STATES
CID000969
CFSP compliant
Kojima Chemicals Co., Ltd
JAPAN
CID000981
CFSP compliant
Korea Metal Co. Ltd
KOREA, REPUBLIC OF
CID000988
Under review
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
LBMA REGISTERED.
L' azurde Company For Jewelry
SAUDI ARABIA
CID001032
CFSP compliant
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
CFSP compliant
Materion
UNITED STATES
CID001113
CFSP compliant
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
CFSP compliant
Metalor Technologies (Hong Kong) Ltd
HONG KONG
CID001149
CFSP compliant
Metalor Technologies (Singapore) Pte. Ltd.
SINGAPORE
CID001152
CFSP compliant
Metalor Technologies SA
SWITZERLAND
CID001153
CFSP compliant




Metalor USA Refining Corporation
UNITED STATES
CID001157
CFSP compliant
Met-Mex Peñoles, S.A.
MEXICO
CID001161
CFSP compliant
Mitsubishi Materials Corporation
JAPAN
CID001188
CFSP compliant
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
CFSP compliant
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
LBMA REGISTERED.
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
CID001220
CFSP compliant
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
LBMA REGISTERED.
Nihon Material Co. LTD
JAPAN
CID001259
CFSP compliant
Ohio Precious Metals, LLC
UNITED STATES
CID001322
CFSP compliant
Ohura Precious Metal Industry Co., Ltd
JAPAN
CID001325
CFSP compliant
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)
RUSSIAN FEDERATION
CID001326
CFSP compliant
OJSC Kolyma Refinery
RUSSIAN FEDERATION
CID001328
LBMA REGISTERED.
PAMP SA
SWITZERLAND
CID001352
CFSP compliant
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
LBMA REGISTERED.
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
CFSP compliant
PX Précinox SA
SWITZERLAND
CID001498
CFSP compliant
Rand Refinery (Pty) Ltd
SOUTH AFRICA
CID001512
CFSP compliant
Republic Metals Corporation
UNITED STATES
CID002510
CFSP compliant
Royal Canadian Mint
CANADA
CID001534
CFSP compliant
SAMWON METALS Corp.
KOREA, REPUBLIC OF
CID001562
Under review
Schone Edelmetaal
NETHERLANDS
CID001573
CFSP compliant
SEMPSA Joyería Platería SA
SPAIN
CID001585
CFSP compliant
Shandong Zhaojin Gold & Silver Refinery Co. Ltd
CHINA
CID001622
CFSP compliant
So Accurate Group, Inc.
UNITED STATES
CID001754
Under review
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
In progress
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
CFSP compliant
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
CFSP compliant
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
CFSP compliant
The Great Wall Gold and Silver Refinery of China
CHINA
CID001909
LBMA REGISTERED.
The Refinery of Shandong Gold Mining Co. Ltd
CHINA
CID001916
CFSP compliant
Tokuriki Honten Co., Ltd
JAPAN
CID001938
CFSP compliant
Torecom
KOREA, REPUBLIC OF
CID001955
In progress
Umicore Brasil Ltda
BRAZIL
CID001977
CFSP compliant
Umicore Precious Metals Thailand
THAILAND
CID002314
CFSP compliant
Umicore SA Business Unit Precious Metals Refining
BELGIUM
CID001980
CFSP compliant
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
CFSP compliant
Valcambi SA
SWITZERLAND
CID002003
CFSP compliant
Western Australian Mint trading as The Perth Mint
AUSTRALIA
CID002030
CFSP compliant
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
CFSP compliant




Yokohama Metal Co Ltd
JAPAN
CID002129
In progress
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
CFSP compliant
Zijin Mining Group Co. Ltd
CHINA
CID002243
CFSP compliant
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
CFSP compliant
Conghua Tantalum and Niobium Smeltry
CHINA
CID000291
CFSP compliant
Duoluoshan
CHINA
CID000410
CFSP compliant
Exotech Inc.
UNITED STATES
CID000456
CFSP compliant
F&X Electro-Materials Ltd.
CHINA
CID000460
CFSP compliant
Global Advanced Metals Aizu
JAPAN
CID002558
CFSP compliant
Global Advanced Metals Boyertown
UNITED STATES
CID002557
CFSP compliant
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
CFSP compliant
H.C. Starck Co., Ltd.
THAILAND
CID002544
CFSP compliant
H.C. Starck GmbH Goslar
GERMANY
CID002545
CFSP compliant
H.C. Starck GmbH Laufenburg
GERMANY
CID002546
CFSP compliant
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
CFSP compliant
H.C. Starck Inc.
UNITED STATES
CID002548
CFSP compliant
H.C. Starck Ltd.
JAPAN
CID002549
CFSP compliant
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002550
CFSP compliant
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
CFSP compliant
Hi-Temp
UNITED STATES
CID000731
CFSP compliant
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
CFSP compliant
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
CFSP compliant
Kemet Blue Powder
UNITED STATES
CID002568
CFSP compliant
King-Tan Tantalum Industry Ltd
CHINA
CID000973
CFSP compliant
LSM Brasil S.A.
BRAZIL
CID001076
CFSP compliant
Mitsui Mining & Smelting
JAPAN
CID001192
CFSP compliant
Molycorp Silmet A.S.
ESTONIA
CID001200
CFSP compliant
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
CFSP compliant
Plansee SE Liezen
AUSTRIA
CID002540
CFSP compliant
Plansee SE Reutte
AUSTRIA
CID002556
CFSP compliant
QuantumClean
UNITED STATES
CID001508
CFSP compliant
RFH Tantalum Smeltry Co., Ltd
CHINA
CID001522
CFSP compliant
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
CFSP compliant
Taki Chemicals
JAPAN
CID001869
CFSP compliant
Telex
UNITED STATES
CID001891
CFSP compliant
Ulba
KAZAKHSTAN
CID001969
CFSP compliant
Zhuzhou Cement Carbide
CHINA
CID002232
CFSP compliant
Alpha
UNITED STATES
CID000292
CFSP compliant
China Rare Metal Materials Company
CHINA
CID000244
CFSP compliant
China Tin Group Co., Ltd.
CHINA
CID001070
In progress
CNMC (Guangxi) PGMA Co. Ltd.
CHINA
CID000278
Under review
Cooper Santa
BRAZIL
CID000295
In progress
CV JusTindo
INDONESIA
CID000307
In progress
CV Nurjanah
INDONESIA
CID000309
In progress




CV Serumpun Sebalai
INDONESIA
CID000313
Under review
CV United Smelting
INDONESIA
CID000315
CFSP compliant
EM Vinto
BOLIVIA
CID000438
CFSP compliant
Fenix Metals
POLAND
CID000468
In progress
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Under review
Gejiu Non-Ferrous Metal Processing Co. Ltd.
CHINA
CID000538
CFSP compliant
Gejiu Zi-Li
CHINA
CID000555
Under review
Huichang Jinshunda Tin Co. Ltd
CHINA
CID000760
Under review
Linwu Xianggui Smelter Co
CHINA
CID001063
Under review
Magnu's Minerais Metais e Ligas LTDA
BRAZIL
CID002468
CFSP compliant
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
CFSP compliant
Melt Metais e Ligas S/A
BRAZIL
CID002500
CFSP compliant
Metallo Chimique
BELGIUM
CID002773
CFSP compliant
Mineração Taboca S.A.
BRAZIL
CID001173
CFSP compliant
Minsur
PERU
CID001182
CFSP compliant
Mitsubishi Materials Corporation
JAPAN
CID001191
CFSP compliant
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
In progress
OMSA
BOLIVIA
CID001337
CFSP compliant
PT Artha Cipta Langgeng
INDONESIA
CID001399
CFSP compliant
PT Babel Inti Perkasa
INDONESIA
CID001402
CFSP compliant
PT Bangka Tin Industry
INDONESIA
CID001419
CFSP compliant
PT Belitung Industri Sejahtera
INDONESIA
CID001421
CFSP compliant
PT BilliTin Makmur Lestari
INDONESIA
CID001424
In progress
PT Bukit Timah
INDONESIA
CID001428
CFSP compliant
PT DS Jaya Abadi
INDONESIA
CID001434
CFSP compliant
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
CFSP compliant
PT Karimun Mining
INDONESIA
CID001448
In progress
PT Mitra Stania Prima
INDONESIA
CID001453
CFSP compliant
PT Panca Mega Persada
INDONESIA
CID001457
CFSP compliant
PT Prima Timah Utama
INDONESIA
CID001458
CFSP compliant
PT REFINED BANGKA TIN
INDONESIA
CID001460
CFSP compliant
PT Sariwiguna Binasentosa
INDONESIA
CID001463
CFSP compliant
PT Seirama Tin investment
INDONESIA
CID001466
Under review
PT Stanindo Inti Perkasa
INDONESIA
CID001468
CFSP compliant
PT Sumber Jaya Indah
INDONESIA
CID001471
Under review
PT Tambang Timah
INDONESIA
CID001477
CFSP compliant
PT Timah (Persero), Tbk
INDONESIA
CID001482
CFSP compliant
PT Tinindo Inter Nusa
INDONESIA
CID001490
CFSP compliant
Rui Da Hung
TAIWAN
CID001539
In progress
Soft Metais, Ltda.
BRAZIL
CID001758
In progress
Thaisarco
THAILAND
CID001898
CFSP compliant
White Solder Metalurgia e Mineração Ltda.
BRAZIL
CID002036
CFSP compliant
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
CHINA
CID002158
In progress
Yunnan Tin Company, Ltd.
CHINA
CID002180
CFSP compliant
A.L.M.T. Corp.
JAPAN
CID000004
In progress
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
CFSP compliant
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
In progress
Dayu Weiliang Tungsten Co., Ltd.
CHINA
CID000345
In progress
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
CFSP compliant
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
CFSP compliant




Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
CID000868
In progress
Ganzhou Seadragon W & Mo Co., Ltd.
CID002494
CID002494
CFSP compliant
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
CFSP compliant
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
In progress
H.C. Starck GmbH
GERMANY
CID002541
In progress
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002542
In progress
Hunan Chenzhou Mining Group Co., Ltd.
CHINA
CID000766
In progress
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
CFSP compliant
Japan New Metals Co., Ltd.
JAPAN
CID000825
CFSP compliant
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
CFSP compliant
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Under review
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
In progress
Kennametal Fallon
UNITED STATES
CID000966
In progress
Kennametal Huntsville
UNITED STATES
CID000105
In progress
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
CID001889
In progress
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
CFSP compliant
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
CFSP compliant
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
CFSP compliant
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
In progress
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIETNAM
CID002543
In progress
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIETNAM
CID002011
CFSP compliant
Countries of origin for mines of the conflict mineral these facilities process are believed to include:
Australia, Austria, Bolivia, Brazil, Belgium , Canada, Chile, China, Columbia, DRC, Ethiopia, Guyana, Germany, Korea, India, Indonesia, Malaysia, Mexico, Mozambique, Namibia, Nigeria, Peru, Philippines, Portugal, Russia, Rwanda, Spain, Thailand, Sierra Leone, South Africa, Suriname, USA, Vietnam, Zimbabwe.
Exercise due diligence on the source and chain of custody of its conflict minerals following recognized framework:
Due Diligence Framework
We have exercised due diligence on the source and chain of custody of our conflict minerals to identify minerals originating from the Covered Countries (DRC or an adjoining country) that are not from scrap or recycled materials. Maxim Integrated’s due diligence process has been designed and implemented based on the framework set forth in the OECD Due Diligence Guidance.
Our conflict minerals due diligence process in calendar year 2014 included each of the five OECD-recommended steps:
1.
Establishment of Strong Company Management Systems
2.
Identify and assess risks in the supply chain
3.
Design and implement a strategy to respond to identified risks
4.
Encourage the independent third-party audit of smelter/refiner’s due diligence practices
5.
Report annually on supply chain due diligence




Inherent Limitations on Due Diligence Measures
 As a downstream purchaser of 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
Brief description of due diligence measures taken
1.0     Strong Company Management Systems:
We have established a management system for complying with the applicable rules. Our management system includes the development of a Conflict Minerals Oversight Committee led by our Senior Vice President and General Counsel, Vice President of Quality and Vice President of Legal and Corporate Secretary. Maxim Integrated has also developed a team of subject matter experts from relevant functions with specific responsibilities. The Quality Director is responsible for directing the project operations and reporting to upper management. The Quality Director is also responsible for implementation of the supply chain due diligence process. Data Collection and reporting is handled by the Banned and Restricted Substances group within the Quality organization. The Banned and Restricted Substances Manager is responsible for day-to-day data collection, customer responses, data/information validation, and archival documentation.
The team of subject matter experts is responsible for implementing our conflict mineral compliance policy and strategy. The Oversight Committee has been briefed about the results of our due diligence efforts on a periodic basis and the Vice President of Quality is updated on a monthly basis.
2.0     Identification and Assessment of Risks in the Supply Chain:
We have made our reasonable efforts to identify suppliers that supply products that may potentially contain necessary conflict minerals by conducting a supply chain survey using the EICC and GeSI Conflict Minerals Reporting Template, requesting direct suppliers to identify smelters and refiners and country of origin of the conflict minerals in products they supply to us; following up with direct suppliers that do not respond to the EICC-GeSi Conflict Minerals Report Template by requesting their responses; comparing smelters and refiners identified by the supply chain survey against the list of facilities that have received a “conflict free” designation from the CFS program, which designations provide country of origin information; and maintaining documentation of reasonable efforts we have made to this subject matter. We also review the responses to identify red flags in the responses for further follow-up and also identify key risks to our supply chain.
3.0     Strategic Response to Identified Risks:
We have and will continue to make reasonable efforts to encourage suppliers who are sourcing from non-Conflict Free Smelters to move towards using Conflict Free smelters and refiners (as identified via the CFS program and other industry-developed third-party audit mechanisms). If a supplier fails to remedy the risks identified by our risk assessment, we intend to escalate it to Conflict Minerals Oversight Committee to determine whether to approve or reject the supplier based on the following factors: cost and




benefit analysis; potential risk factors; any existing competitive bids; and whether the supplier is a single source supplier. If the Conflict Minerals Oversight Committee decides to continue such a business relationship due to inherent limitations of the supply chain, we will use reasonable efforts to follow up with said supplier for its correction plan, and encourage our suppliers to work with CFS compliant smelters and refiners. We provide and plan to continue provide periodic compliance updates or reports to our Conflict Minerals Oversight Committee summarizing our risk mitigation efforts.
4.0     Independent 3rd Party Audit Of Smelter/Refiner’s Due Diligence Practices:
We do not have a direct relationship with 3TG smelters and refiners, nor do we and hence are not able to perform direct audits of these entities that provide the 3TG metals to our supply chain.  However, we do rely upon industry efforts, including EICC and Conflict-Free Sourcing Initiative ("CFSI"), to influence smelters and refiners to get audited and certified through CFSI’s CFS program. We rely upon the summary audit reports on compliance status for smelters generated by the CFS program to validate the responses received from suppliers to our RCOI process and address red flags identified in Step 2 above. We believe our efforts adequately address this requirement in the OECD Guidance.
5.0     Annual Report on Supply Chain Due Diligence:
In addition to this report, for further information about our Conflict Minerals policy statement, please see it at: http://www.maximintegrated.com/en/aboutus/corporate-responsibility/partnerships-with-suppliers.html.
Results of due diligence measures taken
Due to the level of complexity of our products and the respective supply chains, it will take additional time and resources for a number of our suppliers to verify the source mines and country of origin of all of the minerals used by their smelters. We are committed to continuing the use of our supply chain due diligence processes, leveraging the industry standard CFS program, and the ongoing update of our supplier RCOI information as we continue to develop additional transparency into our supply chain. However, as of the date of this filing, based on the performance of our due diligence procedures noted above for the calendar year ended December 31, 2014, we are not able to accurately trace and identify the source mine, country of origin and chain of custody of all the 3TG metals, which are necessary to the functionality or production of our products, or determine whether all such 3TG metals, are sourced from conflict free sources.
CONFLICT MINERALS REPORT
The Conflict Minerals Report for the calendar year ended December 31, 2014 is filed with the SEC as Exhibit 1.01 to Form SD, and is available at http://www.maximintegrated.com/en/aboutus/investor-relations/financial-filings.html.