Exhibit 1.01
Electro Scientific Industries Inc.
Conflict Minerals Report
For The Year Ended December 31, 2014
This report for the year ended December 31, 2014 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934.
Our due diligence measures have been designed to conform, in all material respects, with the framework in the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD 2011) (OECD Framework) and related Supplements for gold, tantalum, tin and tungsten (conflict minerals).
Our supply chain is complex and there are multiple tiers between the company and the mines. We rely on our suppliers to provide information on the origin of the conflict minerals contained in components which are included in our products. To identify and assess risk in the supply chain, we engaged those suppliers who provide the substantial majority of our components and whose products we believe are likely to contain conflict minerals. We conducted a survey of these suppliers, which accounted for in excess of 80% of component costs incurred during 2014, to determine whether the necessary conflict minerals in components contained in our products were or were not DRC conflict free (as defined in Item 1.01 of Form SD). The survey requested suppliers to provide the country of origin of any conflict minerals and the facilities used to process these minerals. We received responses from suppliers representing approximately 70% of our component costs incurred in 2014 containing the names and locations of smelters and refiners which process conflict minerals used in components provided by our suppliers. We reviewed and compared the responses with other information in our possession and, where appropriate, made further inquiries of our suppliers. The initial and subsequent responses from suppliers did not contain sufficient information to determine the country of origin of all the conflict minerals in our products.
The smelters and refiners identified by our suppliers are listed in Appendix A below.
Our products for which conflict minerals are necessary to the functionality or production include, but are not limited to, interconnect via drilling products, laser micromachining products, laser ablation products, laser system products, FPD repair & failure analysis products, LED wafer scriber products, laser fuse processing products, laser trimming products, vision products, wafer dicing products, wafer mark products, electrical tester products, inspection products and tooling products. [These products are more fully described in our Annual Report, which can be accessed at http://investors.esi.com/].
We expect to take the following steps to mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the Democratic Republic of Congo (DRC) or any adjoining country, including:
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| • | Attempting to increase the response rate of suppliers and improve the content of the responses. |
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| • | Asking relevant suppliers to request that smelters participate in obtaining a conflict free designation from an industry program such as the Electronic Industry Citizenship Coalition Global e-Sustainability Initiative (EICC/GeSI) Conflict Free Smelter Program. |
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| • | Attempting to validate supplier responses using information collected via independent conflict free smelter validation programs such as the EICC/GeSI Conflict Free Smelter Program. |
Based on our due diligence investigation, we have no reason to believe that any of our products contain necessary conflict minerals that contributed to armed conflict in the DRC or any adjoining country.
Appendix A: Smelter and Refiner List
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| | | |
| Metal | Smelter Name | Smelter Country | Smelter Id |
| Gold | Advanced Chemical Company | UNITED STATES | CID000015 |
| Gold | Aida Chemical Industries Co. Ltd. | JAPAN | CID000019 |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 |
| Gold | AngloGold Ashanti Córrego do Sítio Minerção | BRAZIL | CID000058 |
| Gold | Argor-Heraeus SA | SWITZERLAND | CID000077 |
| Gold | Asahi Pretec Corporation | JAPAN | CID000082 |
| Gold | Asaka Riken Co Ltd | JAPAN | CID000090 |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 |
| Gold | Aurubis AG | GERMANY | CID000113 |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 |
| Gold | Bauer Walser AG | GERMANY | CID000141 |
| Gold | Boliden AB | SWEDEN | CID000157 |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 |
| Gold | Caridad | MEXICO | CID000180 |
| Gold | CCR Refinery – Glencore Canada Corporation | CANADA | CID000185 |
| Gold | Cendres + Métaux SA | SWITZERLAND | CID000189 |
| Gold | Yunnan Copper Industry Co Ltd | CHINA | CID000197 |
| Gold | Chimet S.p.A. | ITALY | CID000233 |
| Gold | China National Gold Group Corporation | CHINA | CID000242 |
| Gold | Chugai Mining | JAPAN | CID000264 |
| Gold | Colt Refining | UNITED STATES | CID000288 |
| Gold | Daejin Indus Co. Ltd | KOREA, REPUBLIC OF | CID000328 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 |
| Gold | Do Sung Corporation | KOREA, REPUBLIC OF | CID000359 |
| Gold | Doduco | GERMANY | CID000362 |
| Gold | Dowa | JAPAN | CID000401 |
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 |
| Gold | FSE Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 |
| Gold | Gansu Seemine Material Hi-Tech Co Ltd | CHINA | CID000522 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 |
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 |
| Gold | Heraeus Ltd. Hong Kong | HONG KONG | CID000707 |
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 |
| Gold | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | CID000767 |
| Gold | Hwasung CJ Co. Ltd | KOREA, REPUBLIC OF | CID000778 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | CHINA | CID000801 |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 |
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 |
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| | | |
| Gold | Japan Mint | JAPAN | CID000823 |
| Gold | Jiangxi Copper Company Limited | CHINA | CID000855 |
| Gold | Johnson Matthey Inc | UNITED STATES | CID000920 |
| Gold | Johnson Matthey Ltd | CANADA | CID000924 |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 |
| Gold | Kazzinc Ltd | KAZAKHSTAN | CID000957 |
| Gold | Kennecott Utah Copper LLC | UNITED STATES | CID000969 |
| Gold | Kojima Chemicals Co., Ltd | JAPAN | CID000981 |
| Gold | Korea Metal Co. Ltd | KOREA, REPUBLIC OF | CID000988 |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 |
| Gold | L' azurde Company For Jewelry | SAUDI ARABIA | CID001032 |
| Gold | Lingbao Gold Company Limited | CHINA | CID001056 |
| Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CHINA | CID001058 |
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 |
| Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | CHINA | CID001093 |
| Gold | Materion | UNITED STATES | CID001113 |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 |
| Gold | Metalor Technologies (Hong Kong) Ltd | HONG KONG | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte. Ltd. | SINGAPORE | CID001152 |
| Gold | Metalor Technologies SA | SWITZERLAND | CID001153 |
| Gold | Metalor USA Refining Corporation | UNITED STATES | CID001157 |
| Gold | Met-Mex Peñoles, S.A. | MEXICO | CID001161 |
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 |
| Gold | Nihon Material Co. LTD | JAPAN | CID001259 |
| Gold | Ohio Precious Metals, LLC | UNITED STATES | CID001322 |
| Gold | Ohura Precious Metal Industry Co., Ltd | JAPAN | CID001325 |
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | RUSSIAN FEDERATION | CID001326 |
| Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION | CID001328 |
| Gold | PAMP SA | SWITZERLAND | CID001352 |
| Gold | Penglai Penggang Gold Industry Co Ltd | CHINA | CID001362 |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 |
| Gold | PX Précinox SA | SWITZERLAND | CID001498 |
| Gold | Rand Refinery (Pty) Ltd | SOUTH AFRICA | CID001512 |
| Gold | Royal Canadian Mint | CANADA | CID001534 |
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| | | |
| Gold | Sabin Metal Corp. | UNITED STATES | CID001546 |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 |
| Gold | SAMWON METALS Corp. | KOREA, REPUBLIC OF | CID001562 |
| Gold | Schone Edelmetaal | NETHERLANDS | CID001573 |
| Gold | SEMPSA Joyería Platería SA | SPAIN | CID001585 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | CHINA | CID001622 |
| Gold | Sichuan Tianze Precious Metals Co., Ltd | CHINA | CID001736 |
| Gold | So Accurate Group, Inc. | UNITED STATES | CID001754 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 |
| Gold | The Great Wall Gold and Silver Refinery of China | CHINA | CID001909 |
| Gold | The Refinery of Shandong Gold Mining Co. Ltd | CHINA | CID001916 |
| Gold | Tokuriki Honten Co., Ltd | JAPAN | CID001938 |
| Gold | Tongling nonferrous Metals Group Co.,Ltd | CHINA | CID001947 |
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 |
| Gold | Umicore Brasil Ltda | BRAZIL | CID001977 |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | CID001993 |
| Gold | Valcambi SA | SWITZERLAND | CID002003 |
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 |
| Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN | CID002100 |
| Gold | Yokohama Metal Co Ltd | JAPAN | CID002129 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 |
| Gold | Zijin Mining Group Co. Ltd | CHINA | CID002243 |
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 |
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 |
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 |
| Tantalum | Duoluoshan | CHINA | CID000410 |
| Tantalum | Exotech Inc. | UNITED STATES | CID000456 |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 |
| Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 |
| Tantalum | Hi-Temp | UNITED STATES | CID000731 |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 |
| Tantalum | King-Tan Tantalum Industry Ltd | CHINA | CID000973 |
| Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 |
| Tantalum | Metallurgical Products India (Pvt.) Ltd. | INDIA | CID001163 |
| Tantalum | Molycorp Silmet A.S. | ESTONIA | CID001200 |
| Tantalum | QuantumClean | UNITED STATES | CID001508 |
| Tantalum | RFH Tantalum Smeltry Co., Ltd | CHINA | CID001522 |
| Tantalum | Shanghai Jiangxi Metals Co. Ltd | CHINA | CID001634 |
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| | | |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 |
| Tantalum | Taki Chemicals | JAPAN | CID001869 |
| Tantalum | Telex | UNITED STATES | CID001891 |
| Tantalum | Ulba | KAZAKHSTAN | CID001969 |
| Tantalum | Zhuzhou Cement Carbide | CHINA | CID002232 |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd | CHINA | CID002307 |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 |
| Tantalum | KEMET Blue Metals | MEXICO | CID002539 |
| Tantalum | Plansee SE Liezen | AUSTRIA | CID002540 |
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 |
| Tantalum | H.C. Starck GmbH Goslar | GERMANY | CID002545 |
| Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | CID002546 |
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 |
| Tantalum | H.C. Starck Inc. | UNITED STATES | CID002548 |
| Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002550 |
| Tantalum | Plansee SE Reutte | AUSTRIA | CID002556 |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CID002557 |
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 |
| Tantalum | KEMET Blue Powder | UNITED STATES | CID002568 |
| Tin | China Rare Metal Materials Company | CHINA | CID000244 |
| Tin | CNMC (Guangxi) PGMA Co. Ltd. | CHINA | CID000278 |
| Tin | Cooper Santa | BRAZIL | CID000295 |
| Tin | Cooper Santa | BRAZIL | CID000295 |
| Tin | CV Gita Pesona | INDONESIA | CID000306 |
| Tin | CV JusTindo | INDONESIA | CID000307 |
| Tin | CV Makmur Jaya | INDONESIA | CID000308 |
| Tin | CV Serumpun Sebalai | INDONESIA | CID000313 |
| Tin | CV United Smelting | INDONESIA | CID000315 |
| Tin | EM Vinto | BOLIVIA | CID000438 |
| Tin | Estanho de Rondônia S.A. | BRAZIL | CID000448 |
| Tin | Fenix Metals | POLAND | CID000468 |
| Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | CHINA | CID000538 |
| Tin | Gejiu Zi-Li | CHINA | CID000555 |
| Tin | Huichang Jinshunda Tin Co. Ltd | CHINA | CID000760 |
| Tin | Jiangxi Nanshan | CHINA | CID000864 |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 |
| Tin | Linwu Xianggui Smelter Co | CHINA | CID001063 |
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 |
| Tin | Metallo Chimique | BELGIUM | CID001143 |
| Tin | Mineração Taboca S.A. | BRAZIL | CID001173 |
| Tin | Minsur | PERU | CID001182 |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 |
| Tin | OMSA | BOLIVIA | CID001337 |
| Tin | PT Alam Lestari Kencana | INDONESIA | CID001393 |
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 |
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| | | |
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 |
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 |
| Tin | PT Bangka Kudai Tin | INDONESIA | CID001409 |
| Tin | PT Bangka Putra Karya | INDONESIA | CID001412 |
| Tin | PT Bangka Timah Utama Sejahtera | INDONESIA | CID001416 |
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 |
| Tin | PT Bukit Timah | INDONESIA | CID001428 |
| Tin | PT DS Jaya Abadi | INDONESIA | CID001434 |
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 |
| Tin | PT Fang Di MulTindo | INDONESIA | CID001442 |
| Tin | PT HP Metals Indonesia | INDONESIA | CID001445 |
| Tin | PT Karimun Mining | INDONESIA | CID001448 |
| Tin | PT Koba Tin | INDONESIA | CID001449 |
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 |
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 |
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 |
| Tin | PT REFINED BANGKA TIN | INDONESIA | CID001460 |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 |
| Tin | PT Seirama Tin investment | INDONESIA | CID001466 |
| Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 |
| Tin | PT Supra Sukses Trinusa | INDONESIA | CID001476 |
| Tin | PT Tambang Timah | INDONESIA | CID001477 |
| Tin | PT Timah (Persero), Tbk | INDONESIA | CID001482 |
| Tin | PT Pelat Timah Nusantara Tbk | INDONESIA | CID001486 |
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 |
| Tin | PT Tommy Utama | INDONESIA | CID001493 |
| Tin | PT Yinchendo Mining Industry | INDONESIA | CID001494 |
| Tin | Rui Da Hung | TAIWAN | CID001539 |
| Tin | Soft Metais, Ltda. | BRAZIL | CID001758 |
| Tin | Thaisarco | THAILAND | CID001898 |
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | CHINA | CID002158 |
| Tin | Yunnan Tin Company, Ltd. | CHINA | CID002180 |
| Tin | Magnu's Minerais Metais e Ligas LTDA | BRAZIL | CID002468 |
| Tin | Melt Metais e Ligas S/A | BRAZIL | CID002500 |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 |
| Tin | PT Inti Stania Prima | INDONESIA | CID002530 |
| Tungsten | Kennametal Huntsville | UNITED STATES | CID000105 |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 |
| Tungsten | H.C. Starck GmbH | GERMANY | CID002541 |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 |
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CID000568 |
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| | | |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | CID000868 |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 |
| Tungsten | Kennametal Fallon | UNITED STATES | CID000966 |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 |
| Tungsten | Jiangxi Richsea New Materials Co., Ltd. | CHINA | CID002493 |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 |
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | CID002518 |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | CID002543 |
