INTERNATIONAL BUSINESS MACHINES CORPORATION
Conflict Minerals Report
For the reporting period from January 1, 2017 to December 31, 2017
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, 2017 through December 31, 2017 (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 IBMs Conflict Minerals Program
IBMs Conflict Minerals Program is run by a full-time, dedicated team of experienced supply chain professionals within IBMs Global Procurement organization. The Conflict Minerals team reports to IBMs Vice President and Chief Procurement Officer, who has responsibility for IBMs external supply base for IBMs products. IBMs Conflict Minerals team gathers information on the sources of Conflict Minerals in IBMs supply chain and drives in-scope suppliers to obtain Conflict Minerals from conflict-free sources.
Description of IBMs 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 2017:
Servers: a range of high-performance systems designed to address computing capacity, security and performance needs of businesses, hyperscale cloud service providers and scientific computing organizations. The portfolio includes IBM Z, 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.
IBMs Conflict Minerals Due Diligence Design
IBMs due diligence measures for Conflict Minerals conform in all applicable respects 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
IBMs due diligence reflects the principles of IBMs Conflict Minerals Standard and IBMs position in the supply chain as a downstream company, as defined by OECD guidance. IBMs due diligence process utilizes the Responsible Minerals Initiative (RMI), formerly known as the
Conflict Free Sourcing Initiative, Conflict Minerals Reporting Template (CMRT), including the RMIs Responsible Minerals Assurance Process (RMAP), the London Bullion Market Association (LBMA) and the Responsible Jewelry Council Chain of Custody Standard (RJC CoC). The RMAP, LBMA and RJC CoC use independent third-party audits to identify SORs that have systems in place to assure sourcing of only conflict-free minerals.
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 IBMs Global Procurement organization to implement IBMs Conflict Minerals Program.
· Posted IBMs Conflict Minerals Standard on IBMs Conflict Minerals-dedicated public website, www.ibm.com/conflictminerals.
· Provided links to Conflict Minerals information to in-scope direct suppliers from the IBM Global Procurement and RMI websites.
· Provided an online grievance mechanism for internal and external parties to report concerns regarding Conflict Minerals to IBMs Ombudsman.
· Retained records related to Conflict Minerals in conformance with IBMs records retention policy.
· Included 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 IBMs in-scope direct suppliers to identify SORs and related Conflict Minerals information through the use of the CMRT.
· Reviewed the information provided in the CMRTs against IBMs 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 in-scope direct suppliers.
· Used RMI Compliant Smelter Sourcing Information and other 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 RMI information to determine valid SORs and their RMAP status; also checked the status of SORs against LBMA and RJC CoC information.
· Engaged a third-party consultant to research SORs sourcing Conflict Minerals from Covered Countries.
3. Designed and implemented a strategy to respond to identified risks.
· Reported to IBMs Global Procurement management on topics such as progress of CMRT collection efforts, in-scope direct supplier conflict-free progress, smelter risk mitigation, and driving identified SORs toward RMAP listing.
· Identified high-risk SORs and required in-scope direct suppliers reporting high-risk SORs to validate whether minerals from the SOR are contained in the products provided to
IBM. If confirmed that Conflict Minerals from the high-risk SOR were in Covered Products, requested in-scope direct suppliers to remove the SOR from the IBM supply chain.
· Stayed informed of macro Conflict Minerals issues and developments through participation in the RMI.
· Participated in SOR site visits in China, Czech Republic, India, Netherlands and Vietnam to discuss matters regarding RMAP, such as SOR participation and operations.
· Contacted select SORs without a conflict-free designation, directly or indirectly in conjunction with RMIs smelter engagement teams, to encourage their participation in RMAP or other independent third-party audit programs.
4. Supported the implementation of independent third-party audits of supply chain due diligence.
· Supported RMI initiatives through participation in RMI workgroups.
· Worked in concert with RMI to enhance SOR outreach to drive RMAP participation.
· Attended minerals conferences in China, Dubai, India and Indonesia to meet with SOR and industry contacts to further RMAP engagement.
· Donated funds to the Electronic Industry Citizenship Coalition (EICC) Foundation.
5. Reported on supply chain due diligence.
· Pursuant to the Rule, annually file Form SD and IBMs Conflict Minerals Report.
· Published the 2016 Conflict Minerals Report on IBMs Conflict Minerals-dedicated public website, www.ibm.com/conflictminerals.
· Included Conflict Minerals information in IBMs 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 2017, IBM requested CMRTs from our in-scope direct suppliers and received responses from all of those suppliers. The following table illustrates the percentage of 2017 SORs in the IBM supply chain assessed as conflict free using the RMAP, LBMA and RJC CoC status (as of March 28, 2018) and the results of our further due diligence on SORs not participating in one of those third-party audit processes.
Conflict |
|
2017 |
|
2017 |
|
2017 SORs Participating in a |
|
2017 SORs Participating in a |
|
Tantalum |
|
40 of 41 |
|
98 |
% |
40 of 41 |
|
98 |
% |
Tin |
|
70 of 79 |
|
89 |
% |
75 of 79 |
|
95 |
% |
Tungsten |
|
41 of 46 |
|
89 |
% |
42 of 46 |
|
91 |
% |
Gold |
|
104 of 141 |
|
74 |
% |
124 of 141 |
|
88 |
% |
Total |
|
255 of 307 |
|
83 |
% |
281 of 307* |
|
92 |
% |
* All of IBMs in-scope direct suppliers completed a CMRT, with 99% upstream supplier reporting (versus 93% upstream reporting in 2016), resulting in the identification of 307 SORs in IBMs supply chain for 2017.
The following graph illustrates IBMs overall progress of reported SORs toward conflict-free sources.
** In calendar years 2013 and 2014, Conflict Free SORs included only those SORs that were determined to be Compliant with a recognized third-party audit process. For 2015 and
2016, Conflict Free SORs also included those that are Active in a third-party audit process. The 2017 Conflict Free SORs list also includes those SORs reasonably determined to source Conflict Minerals from outside Covered Countries or from recycled or scrap sources.
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 those suppliers to help them achieve this goal. Their progress is tracked and reported to IBM executives twice per month along with IBMs progress toward conflict-free status.
IBMs 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 RMI, 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 RMI and apply that knowledge to IBMs Conflict Minerals risk assessment and mitigation actions.
· Work in concert with RMI members and in-scope direct suppliers to contact SORs to better understand their sourcing circumstances and gain their commitment to a RMAP assessment or another recognized validation scheme.
· Seek resolution for the identified SORs in IBMs supply chain that are not currently on RMIs list of recognized SORs and drive additional identified SORs in IBMs supply chain into the RMAP.
· Improve CMRT response completeness from in-scope direct suppliers through IBMs review and feedback to those 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 RMAP-compliant SORs, including the use of conflict-free contract clauses.
IBMs Support of RMI
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 IBMs due diligence is based, IBM supports an industry initiative that audits the due diligence activities of SORs. That industry initiative is the RMIs RMAP. The reasonable country of origin data on which IBM relied for certain statements in this Report was obtained through our membership in the RMI. IBM is an active contributor to RMI through our participation in various working groups. IBMs 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:
· Compliant indicates that the SOR is publicly listed on the RMAP, LBMA Good Delivery List or RJC Chain-of-Custody web sites and considered conflict free for 2017.
· Active indicates that the SOR is in process for RMAP assessment.
· Not Participating indicates that the SOR is not a current participant in any of the above-mentioned processes.
· No Longer Applicable indicates that the SOR has ceased operating or no longer meets the RMI definition of smelter or refiner.
Metal |
|
Name of SOR |
|
Country Location |
|
SOR Status as |
Gold |
|
Abington Reldan Metals, LLC |
|
United States |
|
Not Participating |
Gold |
|
Advanced Chemical Company |
|
United States |
|
Compliant |
Gold |
|
Aida Chemical Industries Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Al Etihad Gold LLC |
|
United Arab Emirates |
|
Compliant |
Gold |
|
Allgemeine Gold-und Silberscheideanstalt A.G. |
|
Germany |
|
Compliant |
Gold |
|
Almalyk Mining and Metallurgical Complex (AMMC) |
|
Uzbekistan |
|
Compliant |
Gold |
|
AngloGold Ashanti Corrego do Sitio Mineracao |
|
Brazil |
|
Compliant |
Gold |
|
Argor-Heraeus S.A. |
|
Switzerland |
|
Compliant |
Gold |
|
Asahi Pretec Corp. |
|
Japan |
|
Compliant |
Gold |
|
Asahi Refining Canada Ltd. |
|
Canada |
|
Compliant |
Gold |
|
Asahi Refining USA Inc. |
|
United States |
|
Compliant |
Gold |
|
Asaka Riken Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
|
Turkey |
|
Not Participating |
Gold |
|
AU Traders and Refiners |
|
South Africa |
|
Compliant |
Gold |
|
Aurubis AG |
|
Germany |
|
Compliant |
Gold |
|
Bangalore Refinery |
|
India |
|
Active |
Gold |
|
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
|
Philippines |
|
Compliant |
Gold |
|
Boliden AB |
|
Sweden |
|
Compliant |
Gold |
|
C. Hafner GmbH + Co. KG |
|
Germany |
|
Compliant |
Gold |
|
Caridad |
|
Mexico |
|
Not Participating |
Gold |
|
CCR Refinery - Glencore Canada Corporation |
|
Canada |
|
Compliant |
Gold |
|
Cendres + Metaux S.A. |
|
Switzerland |
|
Compliant |
Gold |
|
Chimet S.p.A. |
|
Italy |
|
Compliant |
Gold |
|
Chugai Mining |
|
Japan |
|
Not Participating |
Gold |
|
Daejin Indus Co., Ltd. |
|
South Korea |
|
Compliant |
Gold |
|
Daye Non-Ferrous Metals Mining Ltd. |
|
China |
|
Compliant |
Gold |
|
Degussa Sonne / Mond Goldhandel GmbH |
|
Germany |
|
Not Participating |
Gold |
|
DODUCO Contacts and Refining GmbH |
|
Germany |
|
Compliant |
Gold |
|
Dowa |
|
Japan |
|
Compliant |
Gold |
|
DSC (Do Sung Corporation) |
|
South Korea |
|
Compliant |
Gold |
|
Eco-System Recycling Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Elemetal Refining, LLC |
|
United States |
|
No Longer Applicable |
Gold |
|
Emirates Gold DMCC |
|
United Arab Emirates |
|
Compliant |
Gold |
|
GCC Gujrat Gold Centre Pvt. Ltd. |
|
India |
|
Not Participating |
Gold |
|
Geib Refining Corporation |
|
United States |
|
Compliant |
Gold |
|
Gold Refinery of Zijin Mining Group Co., Ltd. |
|
China |
|
Compliant |
Gold |
|
Great Wall Precious Metals Co., Ltd. of CBPM |
|
China |
|
Compliant |
Gold |
|
Guangdong Jinding Gold Limited |
|
China |
|
Not Participating |
Gold |
|
Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Hangzhou Fuchunjiang Smelting Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
HeeSung Metal Ltd. |
|
South Korea |
|
Compliant |
Gold |
|
Heimerle + Meule GmbH |
|
Germany |
|
Compliant |
Gold |
|
Heraeus Metals Hong Kong Ltd. |
|
China |
|
Compliant |
Gold |
|
Heraeus Precious Metals GmbH & Co. KG |
|
Germany |
|
Compliant |
Gold |
|
Hunan Chenzhou Mining Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
HwaSeong CJ CO., LTD. |
|
South Korea |
|
Not Participating |
Gold |
|
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
|
China |
|
Compliant |
Gold |
|
Ishifuku Metal Industry Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Istanbul Gold Refinery |
|
Turkey |
|
Compliant |
Gold |
|
Italpreziosi |
|
Italy |
|
Compliant |
Gold |
|
Japan Mint |
|
Japan |
|
Compliant |
Gold |
|
Jiangxi Copper Co., Ltd. |
|
China |
|
Compliant |
Gold |
|
JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
|
Russia |
|
Compliant |
Gold |
|
JSC Uralelectromed |
|
Russia |
|
Compliant |
Gold |
|
JX Nippon Mining & Metals Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Kaloti Precious Metals |
|
United Arab Emirates |
|
Not Participating |
Gold |
|
Kazakhmys Smelting LLC |
|
Kazakhstan |
|
Not Participating |
Gold |
|
Kazzinc |
|
Kazakhstan |
|
Compliant |
Gold |
|
Kennecott Utah Copper LLC |
|
United States |
|
Compliant |
Gold |
|
KGHM Polska Miedz Spolka Akcyjna |
|
Poland |
|
Active |
Gold |
|
Kojima Chemicals Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Korea Zinc Co., Ltd. |
|
South Korea |
|
Compliant |
Gold |
|
Kyrgyzaltyn JSC |
|
Kyrgyzstan |
|
Compliant |
Gold |
|
Kyshtym Copper-Electrolytic Plant ZAO |
|
Russia |
|
Not Participating |
Gold |
|
Lazurde Company For Jewelry |
|
Saudi Arabia |
|
Not Participating |
Gold |
|
Lingbao Gold Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Lingbao Jinyuan Tonghui Refinery Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
LOrfebre S.A. |
|
Andorra |
|
Active |
Gold |
|
LS-NIKKO Copper Inc. |
|
South Korea |
|
Compliant |
Gold |
|
Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Marsam Metals |
|
Brazil |
|
Compliant |
Gold |
|
Materion |
|
United States |
|
Compliant |
Gold |
|
Matsuda Sangyo Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Metalor Technologies (Hong Kong) Ltd. |
|
China |
|
Compliant |
Gold |
|
Metalor Technologies (Singapore) Pte., Ltd. |
|
Singapore |
|
Compliant |
Gold |
|
Metalor Technologies (Suzhou) Ltd. |
|
China |
|
Compliant |
Gold |
|
Metalor Technologies S.A. |
|
Switzerland |
|
Compliant |
Gold |
|
Metalor USA Refining Corporation |
|
United States |
|
Compliant |
Gold |
|
Metalurgica Met-Mex Penoles S.A. De C.V. |
|
Mexico |
|
Compliant |
Gold |
|
Mitsubishi Materials Corporation |
|
Japan |
|
Compliant |
Gold |
|
Mitsui Mining and Smelting Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
MMTC-PAMP India Pvt., Ltd. |
|
India |
|
Compliant |
Gold |
|
Modeltech Sdn Bhd |
|
Malaysia |
|
Active |
Gold |
|
Morris and Watson |
|
New Zealand |
|
Not Participating |
Gold |
|
Morris and Watson Gold Coast |
|
Australia |
|
Not Participating |
Gold |
|
Moscow Special Alloys Processing Plant |
|
Russia |
|
Compliant |
Gold |
|
Nadir Metal Rafineri San. Ve Tic. A.S. |
|
Turkey |
|
Compliant |
Gold |
|
Navoi Mining and Metallurgical Combinat |
|
Uzbekistan |
|
Compliant |
Gold |
|
Nihon Material Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH |
|
Austria |
|
Compliant |
Gold |
|
Ohura Precious Metal Industry Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
OJSC The Gulidov Krasnoyarsk Non-Ferrous Metals Plant (OJSC Krastsvetmet) |
|
Russia |
|
Compliant |
Gold |
|
OJSC Novosibirsk Refinery |
|
Russia |
|
Compliant |
Gold |
|
PAMP S.A. |
|
Switzerland |
|
Compliant |
Gold |
|
Pease & Curren |
|
United States |
|
Not Participating |
Gold |
|
Penglai Penggang Gold Industry Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Planta Recuperadora de Metales SpA |
|
Chile |
|
Compliant |
Gold |
|
Prioksky Plant of Non-Ferrous Metals |
|
Russia |
|
Compliant |
Gold |
|
PT Aneka Tambang (Persero) Tbk |
|
Indonesia |
|
Compliant |
Gold |
|
PX Precinox S.A. |
|
Switzerland |
|
Compliant |
Gold |
|
Rand Refinery (Pty) Ltd. |
|
South Africa |
|
Compliant |
Gold |
|
Refinery of Seemine Gold Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Remondis Argentia B.V. |
|
Netherlands |
|
Active |
Gold |
|
Republic Metals Corporation |
|
United States |
|
Compliant |
Gold |
|
Royal Canadian Mint |
|
Canada |
|
Compliant |
Gold |
|
SAAMP |
|
France |
|
Compliant |
Gold |
|
Sabin Metal Corp. |
|
United States |
|
Not Participating |
Gold |
|
Safimet S.p.A |
|
Italy |
|
Compliant |
Gold |
|
SAFINA A.S. |
|
Czech Republic |
|
Active |
Gold |
|
Sai Refinery |
|
India |
|
Not Participating |
Gold |
|
Samduck Precious Metals |
|
South Korea |
|
Compliant |
Gold |
|
Samwon Metals Corp. |
|
South Korea |
|
Not Participating |
Gold |
|
SAXONIA Edelmetalle GmbH |
|
Germany |
|
Compliant |
Gold |
|
Schone Edelmetaal B.V. |
|
Netherlands |
|
Compliant |
Gold |
|
SEMPSA Joyeria Plateria S.A. |
|
Spain |
|
Compliant |
Gold |
|
Shandong Tiancheng Biological Gold Industrial Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
|
China |
|
Compliant |
Gold |
|
Sichuan Tianze Precious Metals Co., Ltd. |
|
China |
|
Compliant |
Gold |
|
Singway Technology Co., Ltd. |
|
Taiwan |
|
Compliant |
Gold |
|
So Accurate Group, Inc. |
|
United States |
|
No Longer Applicable |
Gold |
|
SOE Shyolkovsky Factory of Secondary Precious Metals |
|
Russia |
|
Compliant |
Gold |
|
Solar Applied Materials Technology Corp. |
|
Taiwan |
|
Compliant |
Gold |
|
State Research Institute Center for Physical Sciences and Technology |
|
Lithuania |
|
Not Participating |
Gold |
|
Sumitomo Metal Mining Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
SungEel HiMetal Co., Ltd. |
|
South Korea |
|
Compliant |
Gold |
|
T.C.A S.p.A |
|
Italy |
|
Compliant |
Gold |
|
Tanaka Kikinzoku Kogyo K.K. |
|
Japan |
|
Compliant |
Gold |
|
The Refinery of Shandong Gold Mining Co., Ltd. |
|
China |
|
Compliant |
Gold |
|
Tokuriki Honten Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Tongling Nonferrous Metals Group Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
TOO Tau-Ken-Altyn |
|
Kazakhstan |
|
Not Participating |
Gold |
|
Torecom |
|
South Korea |
|
Compliant |
Gold |
|
Umicore Brasil Ltda. |
|
Brazil |
|
Compliant |
Gold |
|
Umicore Precious Metals Thailand |
|
Thailand |
|
Compliant |
Gold |
|
Umicore S.A. Business Unit Precious Metals Refining |
|
Belgium |
|
Compliant |
Gold |
|
United Precious Metal Refining, Inc. |
|
United States |
|
Compliant |
Gold |
|
Valcambi S.A. |
|
Switzerland |
|
Compliant |
Gold |
|
Western Australian Mint (T/a The Perth Mint) |
|
Australia |
|
Compliant |
Gold |
|
WIELAND Edelmetalle GmbH |
|
Germany |
|
Compliant |
Gold |
|
Yamakin Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Yokohama Metal Co., Ltd. |
|
Japan |
|
Compliant |
Gold |
|
Yunnan Copper Industry Co., Ltd. |
|
China |
|
Not Participating |
Gold |
|
Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
|
China |
|
Compliant |
Tantalum |
|
Asaka Riken Co., Ltd. |
|
Japan |
|
Compliant |
Tantalum |
|
Changsha South Tantalum Niobium Co., Ltd. |
|
China |
|
Compliant |
Tantalum |
|
D Block Metals, LLC |
|
United States |
|
Compliant |
Tantalum |
|
Duoluoshan |
|
China |
|
Not Participating |
Tantalum |
|
Exotech Inc. |
|
United States |
|
Compliant |
Tantalum |
|
F&X Electro-Materials Ltd. |
|
China |
|
Compliant |
Tantalum |
|
FIR Metals & Resource Ltd. |
|
China |
|
Compliant |
Tantalum |
|
Global Advanced Metals Aizu |
|
Japan |
|
Compliant |
Tantalum |
|
Global Advanced Metals Boyertown |
|
United States |
|
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 Hermsdorf GmbH |
|
Germany |
|
Compliant |
Tantalum |
|
H.C. Starck Inc. |
|
United States |
|
Compliant |
Tantalum |
|
H.C. Starck Ltd. |
|
Japan |
|
Compliant |
Tantalum |
|
H.C. Starck Smelting GmbH & Co. KG |
|
Germany |
|
Compliant |
Tantalum |
|
H.C. Starck Tantalum and Niobium GmbH |
|
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 |
|
KEMET Blue Powder |
|
United States |
|
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 |
|
Power Resources Ltd. |
|
Macedonia |
|
Compliant |
Tantalum |
|
QuantumClean |
|
United States |
|
Compliant |
Tantalum |
|
Resind Industria e Comercio Ltda. |
|
Brazil |
|
Compliant |
Tantalum |
|
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. |
|
China |
|
Compliant |
Tantalum |
|
Solikamsk Magnesium Works OAO |
|
Russia |
|
Compliant |
Tantalum |
|
Taki Chemical Co., Ltd. |
|
Japan |
|
Compliant |
Tantalum |
|
Telex Metals |
|
United States |
|
Compliant |
Tantalum |
|
Ulba Metallurgical Plant JSC |
|
Kazakhstan |
|
Compliant |
Tantalum |
|
XinXing HaoRong Electronic Material Co., Ltd. |
|
China |
|
Compliant |
Tantalum |
|
Yichun Jin Yang Rare Metal Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Alpha |
|
United States |
|
Compliant |
Tin |
|
An Vinh Joint Stock Mineral Processing Company |
|
Vietnam |
|
Not Participating |
Tin |
|
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
China Tin Group Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
CNMC (Guangxi) PGMA Co., Ltd. |
|
China |
|
Not Participating |
Tin |
|
CV Ayi Jaya |
|
Indonesia |
|
Compliant |
Tin |
|
CV Dua Sekawan |
|
Indonesia |
|
Compliant |
Tin |
|
CV Gita Pesona |
|
Indonesia |
|
Compliant |
Tin |
|
CV Tiga Sekawan |
|
Indonesia |
|
Compliant |
Tin |
|
CV United Smelting |
|
Indonesia |
|
Compliant |
Tin |
|
CV Venus Inti Perkasa |
|
Indonesia |
|
Compliant |
Tin |
|
Dowa |
|
Japan |
|
Compliant |
Tin |
|
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy JSC |
|
Vietnam |
|
Not Participating |
Tin |
|
EM Vinto |
|
Bolivia |
|
Compliant |
Tin |
|
Estanho de Rondonia S.A. |
|
Brazil |
|
Not Participating |
Tin |
|
Fenix Metals |
|
Poland |
|
Compliant |
Tin |
|
Gejiu Fengming Metallurgy Chemical Plant |
|
China |
|
Compliant |
Tin |
|
Gejiu Jinye Mineral Company |
|
China |
|
Compliant |
Tin |
|
Gejiu Kai Meng Industry and Trade LLC |
|
China |
|
Compliant |
Tin |
|
Gejiu Non-Ferrous Metal Processing Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Gejiu Zili Mining And Metallurgy Co., Ltd. |
|
China |
|
Not Participating |
Tin |
|
Guangdong Hanhe Non-Ferrous Metal Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Guanyang Guida Nonferrous Metal Smelting Plant |
|
China |
|
Compliant |
Tin |
|
HuiChang Hill Tin Industry Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Huichang Jinshunda Tin Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Jiangxi Ketai Advanced Material Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Jiangxi New Nanshan Technology Ltd. |
|
China |
|
Compliant |
Tin |
|
Magnus Minerais Metais e Ligas Ltda. |
|
Brazil |
|
Compliant |
Tin |
|
Malaysia Smelting Corporation (MSC) |
|
Malaysia |
|
Compliant |
Tin |
|
Melt Metais e Ligas S.A. |
|
Brazil |
|
Compliant |
Tin |
|
Metallic Resources, Inc. |
|
United States |
|
Compliant |
Tin |
|
Metallo Belgium N.V. |
|
Belgium |
|
Compliant |
Tin |
|
Metallo Spain S.L.U. |
|
Spain |
|
Compliant |
Tin |
|
Mineracao Taboca S.A. |
|
Brazil |
|
Compliant |
Tin |
|
Minsur |
|
Peru |
|
Compliant |
Tin |
|
Mitsubishi Materials Corporation |
|
Japan |
|
Compliant |
Tin |
|
Modeltech Sdn Bhd |
|
Malaysia |
|
Active |
Tin |
|
Nghe Tinh Non-Ferrous Metals Joint Stock Company |
|
Vietnam |
|
Not Participating |
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 Aries Kencana Sejahtera |
|
Indonesia |
|
Compliant |
Tin |
|
PT Artha Cipta Langgeng |
|
Indonesia |
|
Compliant |
Tin |
|
PT ATD Makmur Mandiri Jaya |
|
Indonesia |
|
Compliant |
Tin |
|
PT Babel Inti Perkasa |
|
Indonesia |
|
Compliant |
Tin |
|
PT Bangka Prima Tin |
|
Indonesia |
|
Compliant |
Tin |
|
PT Bangka Tin Industry |
|
Indonesia |
|
Compliant |
Tin |
|
PT Belitung Industri Sejahtera |
|
Indonesia |
|
Compliant |
Tin |
|
PT Bukit Timah |
|
Indonesia |
|
Compliant |
Tin |
|
PT DS Jaya Abadi |
|
Indonesia |
|
Compliant |
Tin |
|
PT Eunindo Usaha Mandiri |
|
Indonesia |
|
Compliant |
Tin |
|
PT Inti Stania Prima |
|
Indonesia |
|
Compliant |
Tin |
|
PT Karimun Mining |
|
Indonesia |
|
Compliant |
Tin |
|
PT Kijang Jaya Mandiri |
|
Indonesia |
|
Compliant |
Tin |
|
PT Lautan Harmonis Sejahtera |
|
Indonesia |
|
Compliant |
Tin |
|
PT Menara Cipta Mulia |
|
Indonesia |
|
Compliant |
Tin |
|
PT Mitra Stania Prima |
|
Indonesia |
|
Compliant |
Tin |
|
PT O.M. Indonesia |
|
Indonesia |
|
No Longer Applicable |
Tin |
|
PT Panca Mega Persada |
|
Indonesia |
|
Compliant |
Tin |
|
PT Premium Tin Indonesia |
|
Indonesia |
|
Compliant |
Tin |
|
PT Prima Timah Utama |
|
Indonesia |
|
Compliant |
Tin |
|
PT Refined Bangka Tin |
|
Indonesia |
|
Compliant |
Tin |
|
PT Sariwiguna Binasentosa |
|
Indonesia |
|
Compliant |
Tin |
|
PT Stanindo Inti Perkasa |
|
Indonesia |
|
Compliant |
Tin |
|
PT Sukses Inti Makmur |
|
Indonesia |
|
Compliant |
Tin |
|
PT Sumber Jaya Indah |
|
Indonesia |
|
Compliant |
Tin |
|
PT Timah (Persero) Tbk Kundur |
|
Indonesia |
|
Compliant |
Tin |
|
PT Timah (Persero) Tbk Mentok |
|
Indonesia |
|
Compliant |
Tin |
|
PT Tinindo Inter Nusa |
|
Indonesia |
|
Compliant |
Tin |
|
PT Tommy Utama |
|
Indonesia |
|
Compliant |
Tin |
|
Resind Industria e Comercio Ltda. |
|
Brazil |
|
Compliant |
Tin |
|
Rui Da Hung |
|
Taiwan |
|
Compliant |
Tin |
|
Soft Metais Ltda. |
|
Brazil |
|
Compliant |
Tin |
|
Super Ligas |
|
Brazil |
|
Not Participating |
Tin |
|
Thaisarco |
|
Thailand |
|
Compliant |
Tin |
|
Tuyen Quang Non-Ferrous Metals Joint Stock Company |
|
Vietnam |
|
Not Participating |
Tin |
|
White Solder Metalurgia e Mineracao Ltda. |
|
Brazil |
|
Compliant |
Tin |
|
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
|
China |
|
Compliant |
Tin |
|
Yunnan Tin Company Limited |
|
China |
|
Compliant |
Tungsten |
|
A.L.M.T. TUNGSTEN Corp. |
|
Japan |
|
Compliant |
Tungsten |
|
ACL Metais Eireli |
|
Brazil |
|
Compliant |
Tungsten |
|
Asia Tungsten Products Vietnam Ltd. |
|
Vietnam |
|
Compliant |
Tungsten |
|
Chenzhou Diamond Tungsten Products Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Chongyi Zhangyuan Tungsten Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Fujian Jinxin Tungsten Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Ganzhou Haichuang Tungsten Co., Ltd. |
|
China |
|
Active |
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 |
|
Ganzhou Yatai Tungsten Co., Ltd. |
|
China |
|
Not Participating |
Tungsten |
|
Global Tungsten & Powders Corp. |
|
United States |
|
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 |
|
Not Participating |
Tungsten |
|
Hydrometallurg, JSC |
|
Russia |
|
Compliant |
Tungsten |
|
Japan New Metals Co., Ltd. |
|
Japan |
|
Compliant |
Tungsten |
|
Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Jiangxi Dayu Longxintai Tungsten Co., Ltd. |
|
China |
|
Not Participating |
Tungsten |
|
Jiangxi Gan Bei Tungsten Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Jiangxi Minmetals Gaoan Non-ferrous Metals Co., Ltd. |
|
China |
|
Not Participating |
Tungsten |
|
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Jiangxi Yaosheng Tungsten Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Kennametal Fallon |
|
United States |
|
Compliant |
Tungsten |
|
Kennametal Huntsville |
|
United States |
|
Compliant |
Tungsten |
|
Malipo Haiyu Tungsten Co., Ltd. |
|
China |
|
Compliant |
Tungsten |
|
Moliren Ltd. |
|
Russia |
|
Compliant |
Tungsten |
|
Niagara Refining LLC |
|
United States |
|
Compliant |
Tungsten |
|
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
|
Vietnam |
|
Compliant |
Tungsten |
|
Philippine Chuangxin Industrial Co., Inc. |
|
Philippines |
|
Compliant |
Tungsten |
|
South-East Nonferrous Metal Company Limited of Hengyang City |
|
China |
|
Compliant |
Tungsten |
|
Tejing (Vietnam) Tungsten Co., Ltd. |
|
Vietnam |
|
Compliant |
Tungsten |
|
Unecha Refractory metals plant |
|
Russia |
|
Compliant |
Tungsten |
|
Vietnam Youngsun Tungsten Industry Co., Ltd. |
|
Vietnam |
|
Compliant |
Tungsten |
|
Wolfram Bergbau und Hutten AG |
|
Austria |
|
Compliant |
Tungsten |
|
Woltech Korea Co., Ltd. |
|
South Korea |
|
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 |
|
Compliant |
Appendix B
Countries of Origin for Conflict Minerals potentially associated with the SORs listed in Appendix A.
Argentina |
|
Laos |
Australia |
|
Madagascar |
Austria |
|
Malaysia |
Benin |
|
Mali |
Bolivia |
|
Mexico |
Brazil |
|
Mongolia |
Bulgaria |
|
Mozambique |
Burkina Faso |
|
Myanmar |
Burundi |
|
Namibia |
Cambodia |
|
Nicaragua |
Canada |
|
Nigeria |
Chile |
|
Panama |
China |
|
Peru |
Colombia |
|
Portugal |
Democratic Republic of the Congo |
|
Russia |
Ecuador |
|
Rwanda |
Eritrea |
|
Senegal |
Ethiopia |
|
Sierra Leone |
France |
|
South Africa |
Georgia |
|
Spain |
Germany |
|
Tajikistan |
Ghana |
|
Thailand |
Guatemala |
|
Togo |
Guinea |
|
Turkey |
Guyana |
|
Uganda |
Honduras |
|
United Kingdom |
India |
|
United States |
Indonesia |
|
Uzbekistan |
Japan |
|
Vietnam |
Kazakhstan |
|
Zimbabwe |
Kyrgyzstan |
|
|