Exhibit 1.01
INTERNATIONAL BUSINESS MACHINES CORPORATION
Conflict Minerals Report
For the reporting period from January 1, 2016 to December 31, 2016
This Conflict Minerals Report (Report) of International Business Machines Corporation (IBM) has been prepared pursuant to Rule 13p-1 and Form SD (collectively, the Rule) promulgated under the Securities Exchange Act of 1934, as amended, for the period from January 1, 2016 through December 31, 2016 (Reporting Period).
The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products, and the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten (collectively, Conflict Minerals). As described in this Report, Conflict Minerals are necessary to the functionality or production of certain products that IBM manufactures or contracts to manufacture.
Design of IBM’s Conflict Minerals Program
IBM’s Conflict Minerals Program is run by a full-time, dedicated team of experienced supply chain professionals within IBM’s Global Procurement organization. The Conflict Minerals team reports to IBM’s Vice President and Chief Procurement Officer, who has responsibility for IBM’s external supply base for IBM’s products. IBM’s Conflict Minerals team gathers information on the sources of Conflict Minerals in IBM’s supply chain and drives in-scope suppliers to obtain Conflict Minerals from conflict-free sources.
Description of IBM’s Products
This Report relates to products: (i) for which Conflict Minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by IBM; and (iii) for which the manufacture was completed during the Reporting Period (Covered Products). The Covered Products include the following product categories that were manufactured or contracted to be manufactured by IBM in 2016:
Servers: a range of high-performing systems designed to address computing capacity, security and performance needs of businesses, hyperscale cloud service providers and scientific computing organizations. The portfolio includes z Systems, a trusted enterprise platform for integrating data, transactions and insight, and Power Systems, a system designed from the ground up for big data and analytics, optimized for scale-out cloud and Linux, and delivering open innovation with OpenPOWER.
Storage: data storage products and solutions that allow clients to retain and manage rapidly growing, complex volumes of digital information and to fuel data-centric cognitive applications. These solutions address critical client requirements for information retention and archiving, security, compliance and storage optimization including data deduplication, availability and virtualization. The portfolio consists of a broad range of software-defined storage solutions, flash storage, disk and tape storage solutions.
Reasonable Country of Origin Inquiry
IBM conducted a good faith reasonable country of origin inquiry regarding the Conflict Minerals. This good faith reasonable country of origin inquiry was designed to determine whether any of the Conflict Minerals originated in the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (collectively, Covered Countries), and whether any of the Conflict Minerals may be from recycled or scrap sources. Countries identified in the inquiry are contained in ‘Appendix B’.
IBM’s Conflict Minerals Due Diligence Design
IBM’s due diligence measures for Conflict Minerals conform to the framework set forth in the Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas, including the related supplements pertaining to downstream companies.
Since IBM is not a direct purchaser of ore or unrefined minerals, it is several tiers “downstream” from the smelters or refiners (SORs) of such minerals. SORs are at the point in the supply chain where ore, concentrates and/or scrap material are converted to a metal. IBM, like many downstream companies, does not have direct business relationships with SORs or visibility to the extraction and movement of Conflict Minerals between SORs and upstream entities. This position increases the difficulty of determining the origin of the Conflict Minerals in the Covered Products and, as a result, IBM relies on industry processes and information from its in-scope direct suppliers.
Description of Due Diligence Measures Performed
IBM’s due diligence reflects the principles of IBM’s Conflict Minerals Standard and IBM’s position in the supply chain as a downstream company, as defined by OECD guidance. IBM’s due diligence process utilizes the Conflict Free Sourcing Initiative (CFSI) Conflict Minerals
Reporting Template (CMRT), including the CFSI’s Conflict-Free Smelter Program (CFSP), the London Bullion Market Association (LBMA) and the Responsible Jewelry Council Chain of Custody Standard (RJC CoC). The CFSP, LBMA and RJC CoC use independent third-party audits to identify SORs that have systems in place to assure sourcing of only conflict-free materials.
Below is a description of the measures performed by IBM for the Reporting Period.
1. Maintained a strong company management system.
· Employed the IBM Conflict Minerals team within IBM’s Global Procurement organization to implement IBM’s Conflict Minerals Program.
· Posted IBM’s Conflict Minerals Standard on IBM’s Conflict Minerals-dedicated public website, www.ibm.com/conflictminerals.
· Conveyed Conflict Minerals information to in-scope direct suppliers from the IBM Global Procurement and CFSI websites.
· Provided an online grievance mechanism for internal and external parties to confidentially report concerns regarding Conflict Minerals to IBM’s Ombudsman.
· Retained records related to Conflict Minerals in conformance with IBM’s records retention policy.
· Continued use of contracting processes that include Conflict Minerals requirements in standard contract templates.
· Delivered Conflict Minerals education to suppliers attending our global education webinar.
2. Continued to identify and assess risks in the supply chain.
· Requested IBM’s in-scope direct suppliers to identify SORs and related Conflict Minerals information through the use of the CMRT.
· Gathered CMRTs from in-scope direct suppliers and reviewed the information provided in the CMRTs against IBM’s validation criteria.
· Managed collection of CMRTs and tracked status of supplier responses.
· Analyzed the CMRTs for completeness and accuracy, and, when appropriate, communicated errors and actions required to suppliers.
· Used CFSI Compliant Smelter Sourcing Information and third-party research to ascertain whether any Conflict Minerals in the Covered Products may have originated in the Covered Countries.
· Compared SORs identified by the in-scope direct suppliers against CFSI information to determine valid SORs and their CFSP status; also checked the status of SORs against LBMA information.
· Engaged a third-party consultant to research SORs sourcing Conflict Minerals from Covered Countries.
· Worked with CFSI to gather additional facts regarding SOR sources and helped drive the SORs into the CFSP.
3. Designed and implemented a strategy to respond to identified risks.
· Reported to IBM’s Global Procurement management on topics such as progress of CMRT collection, in-scope direct supplier conflict-free action plans, smelter risk mitigation and progress of driving identified SORs toward CFSP listing.
· Identified SORs of concern and undertook mitigation actions.
· Stayed informed of macro Conflict Minerals issues and developments through participation in the CFSI.
· Participated in SOR site visits in China, Dubai, India and Vietnam to discuss matters regarding CFSP, such as SOR participation and operations.
· Contacted select SORs without a conflict-free designation, directly and indirectly in conjunction with CFSI’s smelter engagement teams, to encourage their participation in CFSP or other independent third-party audit programs.
4. Supported the implementation of independent third-party audits of supply chain due diligence.
· Supported CFSI initiatives through participation in CFSI workgroups.
· Worked in concert with CFSI to enhance SOR outreach to drive CFSP participation.
· Attended minerals conferences in China, Dubai and Indonesia to meet with SOR and industry contacts to further CFSP engagement.
· Donated to the Electronic Industry Citizenship Coalition (EICC) Foundation and Initial Audit Fund.
5. Reported on supply chain due diligence.
· Pursuant to the Rule, filed Form SD and IBM’s 2015 Conflict Minerals Report.
· Published the 2015 Conflict Minerals Report on IBM’s Conflict Minerals-dedicated public website, www.ibm.com/conflictminerals.
· Included Conflict Minerals information in IBM’s annual Corporate Responsibility Report.
Reporting Period Determination and Findings
Based on the information obtained through the due diligence process described herein, IBM believes that the SORs that may be used to process the Conflict Minerals contained in the Covered Products are listed in Appendix A. Further, as listed in Appendix B, IBM has reasonably determined the potential countries of origin of the Conflict Minerals in the Covered Products.
For calendar year 2016, IBM requested CMRTs from our in-scope direct suppliers and received responses from all of those suppliers. To provide a measure of overall progress of the program, the following table illustrates the change in the percentage of 2016 SORs in the IBM supply chain assessed as conflict free using the CFSP, LBMA and RJC CoC status (as of April 24, 2017).
|
Conflict |
|
2015 |
|
2015 |
|
2016 |
|
2016 |
|
2016 SORs |
|
2016 SORs |
|
|
Tantalum |
|
45 of 45 |
|
100% |
|
44 of 44 |
|
100% |
|
44 of 44 |
|
100% |
|
|
Tin |
|
59 of 81 |
|
73% |
|
65 of 80 |
|
81% |
|
72 of 80 |
|
90% |
|
|
Tungsten |
|
29 of 43 |
|
67% |
|
40 of 44 |
|
91% |
|
40 of 44 |
|
91% |
|
|
Gold |
|
83 of 126 |
|
66% |
|
97 of 133 |
|
73% |
|
103 of 133 |
|
77% |
|
|
Total |
|
216 of 295 |
|
73% |
|
246 of 301 |
|
82% |
|
259 of 301 |
|
86% |
|
IBM Requirement for Suppliers to be Conflict Free
IBM continued its initiative to have all in-scope direct suppliers achieve a conflict-free supply chain. In-scope direct suppliers with CMRTs containing SORs that are not progressing toward, or not already, conflict free are required to remove those SORs from products provided to IBM. The IBM Conflict Minerals team and the Global Procurement Organization work with suppliers to help them achieve this goal. The IBM Conflict Minerals team reports to IBM executives weekly on IBM’s progress toward conflict-free status.
IBM’s Next Steps to Mitigate Conflict Minerals Risk
IBM expects to take the following steps to improve its due diligence measures and to further mitigate the risk that the Conflict Minerals contained in the Covered Products finance or benefit armed groups in the Covered Countries:
· By participating in the CFSI, contribute to the continued development of collaborative tools and resources for companies to use to assess their supply chains and avoid inclusion of Conflict Minerals in the extended supply chain.
· Remain aware of developments in Conflict Minerals due diligence processes by participation in the CFSI and apply that knowledge to IBM’s Conflict Minerals risk assessment and mitigation actions.
· Work in concert with CFSI members and in-scope direct suppliers to contact SORs to better understand their sourcing circumstances and gain their commitment to a CFSP assessment or another recognized validation scheme.
· Seek resolution for the identified SORs in IBM’s supply chain that are not currently on CFSI’s list of recognized SORs and drive additional identified SORs in IBM’s supply chain into the CFSP.
· Improve CMRT response completeness from in-scope direct suppliers through IBM’s review and feedback to suppliers using the most current SOR information.
· Drive in-scope direct suppliers to provide product-specific CMRTs instead of company-level CMRTs, as company-level CMRTs may include SORs not used in the supply chain for Covered Products; use of product-specific CMRTs by in-scope direct suppliers will enable IBM to have a more precise list of SORs used in the Covered Products.
· Continue to influence upstream sourcing practices to require the usage of CFSP-compliant SORs, including the use of conflict-free contract clauses.
IBM’s Support of CFSI
As outlined in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, the internationally recognized standard on which IBM’s due diligence is based, IBM supports an industry initiative that audits the due diligence activities of SORs. That industry initiative is the EICC and GeSI’s Conflict-Free Sourcing Initiative. The reasonable country of origin data on which IBM relied for certain statements in this Report was obtained through our membership in the CFSI. IBM is an active contributor to CFSI through our participation in various working groups. IBM’s member ID: MIBM.
Appendix A
Smelters or Refiners (SORs) that may be used to process the Conflict Minerals contained in the Covered Products.
SOR Status:
· “CFSP Listed”, “LBMA Listed” or “RJC CoC Listed” indicates that the SOR is publically listed on the CFSP, LBMA Good Delivery List or RJC Chain-of-Custody web sites and considered conflict free for 2016.
· “Active” indicates that the SOR is in process for CFSP or LBMA assessment.
· “Unknown” indicates that the SOR is not a current participant in any of the above mentioned processes.
· “Re-audit Not Scheduled” indicates that the SOR was previously CFSP Listed but has not scheduled its re-audit.
· “No Longer Applicable” indicates that the SOR has ceased operating or no longer meets the CFSI definition of smelter or refiner.
|
Metal |
|
Name of SOR |
|
Country Location of |
|
SOR Status as of |
|
Gold |
|
Abington Reldan Metals, LLC |
|
United States |
|
Active |
|
Gold |
|
Advanced Chemical Company |
|
United States |
|
CFSP Listed |
|
Gold |
|
Aida Chemical Industries Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Al Etihad Gold LLC |
|
United Arab Emirates |
|
CFSP Listed |
|
Gold |
|
Allgemeine Gold-und Silberscheideanstalt A.G. |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Almalyk Mining and Metallurgical Complex (AMMC) |
|
Uzbekistan |
|
CFSP Listed |
|
Gold |
|
AngloGold Ashanti Córrego do Sítio Mineração |
|
Brazil |
|
CFSP Listed |
|
Gold |
|
Argor-Heraeus S.A. |
|
Switzerland |
|
CFSP Listed |
|
Gold |
|
Asahi Pretec Corp. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Asahi Refining Canada Ltd. |
|
Canada |
|
CFSP Listed |
|
Gold |
|
Asahi Refining USA Inc. |
|
United States |
|
CFSP Listed |
|
Gold |
|
Asaka Riken Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
|
Turkey |
|
Unknown |
|
Gold |
|
AU Traders and Refiners |
|
South Africa |
|
CFSP Listed |
|
Gold |
|
Aurubis AG |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Bangalore Refinery |
|
India |
|
Active |
|
Gold |
|
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
|
Philippines |
|
CFSP Listed |
|
Gold |
|
Boliden AB |
|
Sweden |
|
CFSP Listed |
|
Gold |
|
C. Hafner GmbH + Co. KG |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Caridad |
|
Mexico |
|
Unknown |
|
Gold |
|
CCR Refinery - Glencore Canada Corporation |
|
Canada |
|
CFSP Listed |
|
Gold |
|
Cendres + Métaux S.A. |
|
Switzerland |
|
Active |
|
Gold |
|
Chimet S.p.A. |
|
Italy |
|
CFSP Listed |
|
Gold |
|
Chugai Mining |
|
Japan |
|
Unknown |
|
Gold |
|
Daejin Indus Co., Ltd. |
|
South Korea |
|
CFSP Listed |
|
Gold |
|
Daye Non-Ferrous Metals Mining Ltd. |
|
China |
|
LBMA Listed |
|
Gold |
|
DODUCO GmbH |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Dowa |
|
Japan |
|
CFSP Listed |
|
Gold |
|
DSC (Do Sung Corporation) |
|
South Korea |
|
CFSP Listed |
|
Gold |
|
Eco-System Recycling Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Elemetal Refining, LLC |
|
United States |
|
No Longer Applicable |
|
Gold |
|
Emirates Gold DMCC |
|
United Arab Emirates |
|
CFSP Listed |
|
Gold |
|
Gansu Seemine Material Hi-Tech Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
GCC Gujrat Gold Centre Pvt. Ltd. |
|
India |
|
Unknown |
|
Gold |
|
Geib Refining Corporation |
|
United States |
|
CFSP Listed |
|
Gold |
|
Gold Refinery of Zijin Mining Group Co., Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Great Wall Precious Metals Co., Ltd. of CBPM |
|
China |
|
LBMA Listed |
|
Gold |
|
Guangdong Jinding Gold Limited |
|
China |
|
Unknown |
|
Gold |
|
Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Hangzhou Fuchunjiang Smelting Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Heimerle + Meule GmbH |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Heraeus Metals Hong Kong Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Heraeus Precious Metals GmbH & Co. KG |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Hunan Chenzhou Mining Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
HwaSeong CJ CO., LTD. |
|
South Korea |
|
Unknown |
|
Gold |
|
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Ishifuku Metal Industry Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Istanbul Gold Refinery |
|
Turkey |
|
CFSP Listed |
|
Gold |
|
Japan Mint |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Jiangxi Copper Co., Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
|
Russia |
|
CFSP Listed |
|
Gold |
|
JSC Uralelectromed |
|
Russia |
|
CFSP Listed |
|
Gold |
|
JX Nippon Mining & Metals Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Kaloti Precious Metals |
|
United Arab Emirates |
|
Unknown |
|
Gold |
|
Kazakhmys Smelting LLC |
|
Kazakhstan |
|
Unknown |
|
Gold |
|
Kazzinc |
|
Kazakhstan |
|
CFSP Listed |
|
Gold |
|
Kennecott Utah Copper LLC |
|
United States |
|
CFSP Listed |
|
Gold |
|
KGHM Polska Miedź Spółka Akcyjna |
|
Poland |
|
Active |
|
Gold |
|
Kojima Chemicals Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Korea Zinc Co., Ltd. |
|
South Korea |
|
CFSP Listed |
|
Gold |
|
Kyrgyzaltyn JSC |
|
Kyrgyzstan |
|
CFSP Listed |
|
Gold |
|
Kyshtym Copper-Electrolytic Plant ZAO |
|
Russia |
|
Unknown |
|
Gold |
|
L’azurde Company For Jewelry |
|
Saudi Arabia |
|
Unknown |
|
Gold |
|
Lingbao Gold Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Lingbao Jinyuan Tonghui Refinery Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
LS-NIKKO Copper Inc. |
|
South Korea |
|
CFSP Listed |
|
Gold |
|
Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Materion |
|
United States |
|
CFSP Listed |
|
Gold |
|
Matsuda Sangyo Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Metalor Technologies (Hong Kong) Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Metalor Technologies (Singapore) Pte., Ltd. |
|
Singapore |
|
CFSP Listed |
|
Gold |
|
Metalor Technologies (Suzhou) Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Metalor Technologies S.A. |
|
Switzerland |
|
CFSP Listed |
|
Gold |
|
Metalor USA Refining Corporation |
|
United States |
|
CFSP Listed |
|
Gold |
|
Metalúrgica Met-Mex Peñoles S.A. De C.V. |
|
Mexico |
|
CFSP Listed |
|
Gold |
|
Mitsubishi Materials Corporation |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Mitsui Mining and Smelting Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
MMTC-PAMP India Pvt., Ltd. |
|
India |
|
CFSP Listed |
|
Gold |
|
Modeltech Sdn Bhd |
|
Malaysia |
|
Active |
|
Gold |
|
Morris and Watson |
|
New Zealand |
|
Unknown |
|
Gold |
|
Moscow Special Alloys Processing Plant |
|
Russia |
|
CFSP Listed |
|
Gold |
|
Nadir Metal Rafineri San. Ve Tic. A.Ş. |
|
Turkey |
|
CFSP Listed |
|
Gold |
|
Navoi Mining and Metallurgical Combinat |
|
Uzbekistan |
|
LBMA Listed |
|
Gold |
|
Nihon Material Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH |
|
Austria |
|
CFSP Listed |
|
Gold |
|
Ohura Precious Metal Industry Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) |
|
Russia |
|
CFSP Listed |
|
Gold |
|
OJSC Novosibirsk Refinery |
|
Russia |
|
CFSP Listed |
|
Gold |
|
PAMP S.A. |
|
Switzerland |
|
CFSP Listed |
|
Gold |
|
Penglai Penggang Gold Industry Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Prioksky Plant of Non-Ferrous Metals |
|
Russia |
|
CFSP Listed |
|
Gold |
|
PT Aneka Tambang (Persero) Tbk |
|
Indonesia |
|
CFSP Listed |
|
Gold |
|
PX Précinox S.A. |
|
Switzerland |
|
CFSP Listed |
|
Gold |
|
Rand Refinery (Pty) Ltd. |
|
South Africa |
|
CFSP Listed |
|
Gold |
|
Remondis Argentia B.V. |
|
Netherlands |
|
Unknown |
|
Gold |
|
Republic Metals Corporation |
|
United States |
|
CFSP Listed |
|
Gold |
|
Royal Canadian Mint |
|
Canada |
|
CFSP Listed |
|
Gold |
|
SAAMP |
|
France |
|
RJC CoC Listed |
|
Gold |
|
Sabin Metal Corp. |
|
United States |
|
Unknown |
|
Gold |
|
SAFINA A.S. |
|
Czech Republic |
|
Unknown |
|
Gold |
|
Sai Refinery |
|
India |
|
Unknown |
|
Gold |
|
Samduck Precious Metals |
|
South Korea |
|
CFSP Listed |
|
Gold |
|
Samwon Metals Corp. |
|
South Korea |
|
Unknown |
|
Gold |
|
SAXONIA Edelmetalle GmbH |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Schone Edelmetaal B.V. |
|
Netherlands |
|
CFSP Listed |
|
Gold |
|
SEMPSA Joyería Platería S.A. |
|
Spain |
|
CFSP Listed |
|
Gold |
|
Shandong Tiancheng Biological Gold Industrial Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Sichuan Tianze Precious Metals Co., Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Singway Technology Co., Ltd. |
|
Taiwan |
|
CFSP Listed |
|
Gold |
|
So Accurate Group, Inc. |
|
United States |
|
Unknown |
|
Gold |
|
SOE Shyolkovsky Factory of Secondary Precious Metals |
|
Russia |
|
CFSP Listed |
|
Gold |
|
Solar Applied Materials Technology Corp. |
|
Taiwan |
|
CFSP Listed |
|
Gold |
|
Sumitomo Metal Mining Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
T.C.A S.p.A |
|
Italy |
|
CFSP Listed |
|
Gold |
|
Tanaka Kikinzoku Kogyo K.K. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
The Refinery of Shandong Gold Mining Co., Ltd. |
|
China |
|
CFSP Listed |
|
Gold |
|
Tokuriki Honten Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Tongling Nonferrous Metals Group Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Tony Goetz NV |
|
Belgium |
|
Active |
|
Gold |
|
TOO Tau-Ken-Altyn |
|
Kazakhstan |
|
Unknown |
|
Gold |
|
Torecom |
|
South Korea |
|
CFSP Listed |
|
Gold |
|
Umicore Brasil Ltda. |
|
Brazil |
|
CFSP Listed |
|
Gold |
|
Umicore Precious Metals Thailand |
|
Thailand |
|
CFSP Listed |
|
Gold |
|
Umicore S.A. Business Unit Precious Metals Refining |
|
Belgium |
|
CFSP Listed |
|
Gold |
|
United Precious Metal Refining, Inc. |
|
United States |
|
CFSP Listed |
|
Gold |
|
Universal Precious Metals Refining Zambia |
|
Zambia |
|
Unknown |
|
Gold |
|
Valcambi S.A. |
|
Switzerland |
|
CFSP Listed |
|
Gold |
|
Western Australian Mint (T/a The Perth Mint) |
|
Australia |
|
CFSP Listed |
|
Gold |
|
WIELAND Edelmetalle GmbH |
|
Germany |
|
CFSP Listed |
|
Gold |
|
Yamamoto Precious Metal Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Yokohama Metal Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Gold |
|
Yunnan Copper Industry Co., Ltd. |
|
China |
|
Unknown |
|
Gold |
|
Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Changsha South Tantalum Niobium Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Conghua Tantalum and Niobium Smeltry |
|
China |
|
CFSP Listed |
|
Tantalum |
|
D Block Metals, LLC |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
Duoluoshan |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Exotech Inc. |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
F&X Electro-Materials Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
FIR Metals & Resource Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Global Advanced Metals Aizu |
|
Japan |
|
CFSP Listed |
|
Tantalum |
|
Global Advanced Metals Boyertown |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
Guangdong Zhiyuan New Material Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
H.C. Starck Co., Ltd. |
|
Thailand |
|
CFSP Listed |
|
Tantalum |
|
H.C. Starck GmbH Laufenburg |
|
Germany |
|
No Longer Applicable |
|
Tantalum |
|
H.C. Starck Hermsdorf GmbH |
|
Germany |
|
CFSP Listed |
|
Tantalum |
|
H.C. Starck Inc. |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
H.C. Starck Ltd. |
|
Japan |
|
CFSP Listed |
|
Tantalum |
|
H.C. Starck Smelting GmbH & Co. KG |
|
Germany |
|
CFSP Listed |
|
Tantalum |
|
H.C. Starck Tantalum and Niobium GmbH |
|
Germany |
|
CFSP Listed |
|
Tantalum |
|
Hengyang King Xing Lifeng New Materials Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Hi-Temp Specialty Metals, Inc. |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Jiangxi Tuohong New Raw Material |
|
China |
|
CFSP Listed |
|
Tantalum |
|
JiuJiang JinXin Nonferrous Metals Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Jiujiang Nonferrous Metals Smelting Company Limited |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
KEMET Blue Metals |
|
Mexico |
|
CFSP Listed |
|
Tantalum |
|
KEMET Blue Powder |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
King-Tan Tantalum Industry Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
LSM Brasil S.A. |
|
Brazil |
|
CFSP Listed |
|
Tantalum |
|
Metallurgical Products India Pvt., Ltd. |
|
India |
|
CFSP Listed |
|
Tantalum |
|
Mineração Taboca S.A. |
|
Brazil |
|
CFSP Listed |
|
Tantalum |
|
Mitsui Mining and Smelting Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Tantalum |
|
Ningxia Orient Tantalum Industry Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
NPM Silmet AS |
|
Estonia |
|
CFSP Listed |
|
Tantalum |
|
Plansee SE Liezen |
|
Austria |
|
No Longer Applicable |
|
Tantalum |
|
Plansee SE Reutte |
|
Austria |
|
No Longer Applicable |
|
Tantalum |
|
Power Resources Ltd. |
|
Macedonia |
|
CFSP Listed |
|
Tantalum |
|
QuantumClean |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
Resind Indústria e Comércio Ltda. |
|
Brazil |
|
CFSP Listed |
|
Tantalum |
|
RFH Tantalum Smeltry Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Solikamsk Magnesium Works OAO |
|
Russia |
|
CFSP Listed |
|
Tantalum |
|
Taki Chemical Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Tantalum |
|
Telex Metals |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
Tranzact, Inc. |
|
United States |
|
CFSP Listed |
|
Tantalum |
|
Ulba Metallurgical Plant JSC |
|
Kazakhstan |
|
CFSP Listed |
|
Tantalum |
|
XinXing HaoRong Electronic Material Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Yichun Jin Yang Rare Metal Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tantalum |
|
Zhuzhou Cemented Carbide Group Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tin |
|
Alpha |
|
United States |
|
CFSP Listed |
|
Tin |
|
An Thai Minerals Co., Ltd. |
|
Vietnam |
|
Unknown |
|
Tin |
|
An Vinh Joint Stock Mineral Processing Company |
|
Vietnam |
|
Unknown |
|
Tin |
|
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tin |
|
China Tin Group Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tin |
|
CNMC (Guangxi) PGMA Co., Ltd. |
|
China |
|
Unknown |
|
Tin |
|
Cooperativa Metalurgica de Rondônia Ltda. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
CV Ayi Jaya |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
CV Dua Sekawan |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
CV Gita Pesona |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
CV Serumpun Sebalai |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
CV Tiga Sekawan |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
CV United Smelting |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
CV Venus Inti Perkasa |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
Dowa |
|
Japan |
|
CFSP Listed |
|
Tin |
|
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company |
|
Vietnam |
|
Active |
|
Tin |
|
Elmet S.L.U. |
|
Spain |
|
CFSP Listed |
|
Tin |
|
EM Vinto |
|
Bolivia |
|
CFSP Listed |
|
Tin |
|
Estanho de Rondônia S.A. |
|
Brazil |
|
Unknown |
|
Tin |
|
Fenix Metals |
|
Poland |
|
CFSP Listed |
|
Tin |
|
Gejiu Fengming Metallurgy Chemical Plant |
|
China |
|
CFSP Listed |
|
Tin |
|
Gejiu Jinye Mineral Company |
|
China |
|
CFSP Listed |
|
Tin |
|
Gejiu Kai Meng Industry and Trade LLC |
|
China |
|
Active |
|
Tin |
|
Gejiu Non-Ferrous Metal Processing Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tin |
|
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
|
China |
|
Active |
|
Tin |
|
Gejiu Zili Mining And Metallurgy Co., Ltd. |
|
China |
|
Unknown |
|
Tin |
|
Guanyang Guida Nonferrous Metal Smelting Plant |
|
China |
|
CFSP Listed |
|
Tin |
|
HuiChang Hill Tin Industry Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tin |
|
Huichang Jinshunda Tin Co., Ltd. |
|
China |
|
Active |
|
Tin |
|
Jiangxi Ketai Advanced Material Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tin |
|
Magnu’s Minerais Metais e Ligas Ltda. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
Malaysia Smelting Corporation (MSC) |
|
Malaysia |
|
CFSP Listed |
|
Tin |
|
Melt Metais e Ligas S.A. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
Metallic Resources, Inc. |
|
United States |
|
CFSP Listed |
|
Tin |
|
Metallo-Chimique N.V. |
|
Belgium |
|
CFSP Listed |
|
Tin |
|
Mineração Taboca S.A. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
Minsur |
|
Peru |
|
CFSP Listed |
|
Tin |
|
Mitsubishi Materials Corporation |
|
Japan |
|
CFSP Listed |
|
Tin |
|
Modeltech Sdn Bhd |
|
Malaysia |
|
Active |
|
Tin |
|
Nankang Nanshan Tin Manufactory Co., Ltd. |
|
China |
|
Active |
|
Tin |
|
Nghe Tinh Non-Ferrous Metals Joint Stock Company |
|
Vietnam |
|
Unknown |
|
Tin |
|
O.M. Manufacturing (Thailand) Co., Ltd. |
|
Thailand |
|
CFSP Listed |
|
Tin |
|
O.M. Manufacturing Philippines, Inc. |
|
Philippines |
|
CFSP Listed |
|
Tin |
|
Operaciones Metalurgical S.A. |
|
Bolivia |
|
CFSP Listed |
|
Tin |
|
PT Aries Kencana Sejahtera |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Artha Cipta Langgeng |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT ATD Makmur Mandiri Jaya |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Babel Inti Perkasa |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Bangka Prima Tin |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Bangka Tin Industry |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Belitung Industri Sejahtera |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Bukit Timah |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Cipta Persada Mulia |
|
Indonesia |
|
No Longer Applicable |
|
Tin |
|
PT DS Jaya Abadi |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Eunindo Usaha Mandiri |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Inti Stania Prima |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Justindo |
|
Indonesia |
|
No Longer Applicable |
|
Tin |
|
PT Karimun Mining |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Kijang Jaya Mandiri |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Mitra Stania Prima |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT O.M. Indonesia |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Panca Mega Persada |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Prima Timah Utama |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Refined Bangka Tin |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Sariwiguna Binasentosa |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Stanindo Inti Perkasa |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Sukses Inti Makmur |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Sumber Jaya Indah |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Timah (Persero) Tbk Kundur |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Timah (Persero) Tbk Mentok |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Tinindo Inter Nusa |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
PT Tommy Utama |
|
Indonesia |
|
CFSP Listed |
|
Tin |
|
Resind Indústria e Comércio Ltda. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
Rui Da Hung |
|
Taiwan |
|
CFSP Listed |
|
Tin |
|
Soft Metais Ltda. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
Super Ligas |
|
Brazil |
|
Unknown |
|
Tin |
|
Thaisarco |
|
Thailand |
|
CFSP Listed |
|
Tin |
|
Tuyen Quang Non-Ferrous Metals Joint Stock Company |
|
Vietnam |
|
Unknown |
|
Tin |
|
VQB Mineral and Trading Group JSC |
|
Vietnam |
|
CFSP Listed |
|
Tin |
|
White Solder Metalurgia e Mineração Ltda. |
|
Brazil |
|
CFSP Listed |
|
Tin |
|
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
|
China |
|
Active |
|
Tin |
|
Yunnan Tin Company Limited |
|
China |
|
CFSP Listed |
|
Tungsten |
|
A.L.M.T. TUNGSTEN Corp. |
|
Japan |
|
CFSP Listed |
|
Tungsten |
|
ACL Metais Eireli |
|
Brazil |
|
Unknown |
|
Tungsten |
|
Asia Tungsten Products Vietnam Ltd. |
|
Vietnam |
|
CFSP Listed |
|
Tungsten |
|
Chenzhou Diamond Tungsten Products Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Chongyi Zhangyuan Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Dayu Jincheng Tungsten Industry Co., Ltd. |
|
China |
|
No Longer Applicable |
|
Tungsten |
|
Dayu Weiliang Tungsten Co., Ltd. |
|
China |
|
No Longer Applicable |
|
Tungsten |
|
Fujian Jinxin Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Ganzhou Huaxing Tungsten Products Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Ganzhou Seadragon W & Mo Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Ganzhou Yatai Tungsten Co., Ltd. |
|
China |
|
Re-audit Not Scheduled |
|
Tungsten |
|
Global Tungsten & Powders Corp. |
|
United States |
|
CFSP Listed |
|
Tungsten |
|
Guangdong Xianglu Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
H.C. Starck Smelting GmbH & Co. KG |
|
Germany |
|
CFSP Listed |
|
Tungsten |
|
H.C. Starck Tungsten GmbH |
|
Germany |
|
CFSP Listed |
|
Tungsten |
|
Hunan Chenzhou Mining Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Hunan Chunchang Nonferrous Metals Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Hydrometallurg, JSC |
|
Russia |
|
CFSP Listed |
|
Tungsten |
|
Japan New Metals Co., Ltd. |
|
Japan |
|
CFSP Listed |
|
Tungsten |
|
Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Jiangxi Dayu Longxintai Tungsten Co., Ltd. |
|
China |
|
Unknown |
|
Tungsten |
|
Jiangxi Gan Bei Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. |
|
China |
|
Unknown |
|
Tungsten |
|
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Jiangxi Yaosheng Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Kennametal Fallon |
|
United States |
|
CFSP Listed |
|
Tungsten |
|
Kennametal Huntsville |
|
United States |
|
CFSP Listed |
|
Tungsten |
|
Malipo Haiyu Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Moliren Ltd. |
|
Russia |
|
CFSP Listed |
|
Tungsten |
|
Niagara Refining LLC |
|
United States |
|
CFSP Listed |
|
Tungsten |
|
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
|
Vietnam |
|
CFSP Listed |
|
Tungsten |
|
Philippine Chuangxin Industrial Co., Inc. |
|
Philippines |
|
CFSP Listed |
|
Tungsten |
|
South-East Nonferrous Metal Company Limited of Hengyang City |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Tejing (Vietnam) Tungsten Co., Ltd. |
|
Vietnam |
|
CFSP Listed |
|
Tungsten |
|
Unecha Refractory metals plant |
|
Russia |
|
CFSP Listed |
|
Tungsten |
|
Vietnam Youngsun Tungsten Industry Co., Ltd. |
|
Vietnam |
|
CFSP Listed |
|
Tungsten |
|
Wolfram Bergbau und Hütten AG |
|
Austria |
|
CFSP Listed |
|
Tungsten |
|
Woltech Korea Co., Ltd. |
|
South Korea |
|
CFSP Listed |
|
Tungsten |
|
Xiamen Tungsten (H.C.) Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Xiamen Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. |
|
China |
|
CFSP Listed |
|
Tungsten |
|
Xinhai Rendan Shaoguan Tungsten Co., Ltd. |
|
China |
|
CFSP Listed |
Appendix B
Countries of Origin for Conflict Minerals potentially associated with the SORs listed in Appendix A.
|
Australia |
|
Mali |
|
Austria |
|
Mexico |
|
Benin |
|
Mongolia |
|
Bolivia |
|
Mozambique |
|
Brazil |
|
Myanmar |
|
Burkina Faso |
|
Namibia |
|
Burundi |
|
New Zealand |
|
Cambodia |
|
Nicaragua |
|
Canada |
|
Nigeria |
|
Chile |
|
Panama |
|
China |
|
Peru |
|
Colombia |
|
Poland |
|
Democratic Republic of the Congo |
|
Portugal |
|
Ecuador |
|
Russia |
|
Eritrea |
|
Rwanda |
|
Ethiopia |
|
Senegal |
|
France |
|
Sierra Leone |
|
Ghana |
|
South Africa |
|
Guatemala |
|
Spain |
|
Guinea |
|
Tanzania |
|
Guyana |
|
Thailand |
|
Honduras |
|
Togo |
|
India |
|
Turkey |
|
Indonesia |
|
Uganda |
|
Japan |
|
United States |
|
Kazakhstan |
|
Uzbekistan |
|
Kyrgyzstan |
|
Vietnam |
|
Laos |
|
Zambia |
|
Madagascar |
|
Zimbabwe |
|
Malaysia |
|
|