Exhibit 1.01

 

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 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 2017:

 

1



 

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.

 

IBM’s Conflict Minerals Due Diligence Design

 

IBM’s 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

 

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 Responsible Minerals Initiative (RMI), formerly known as the

 

2



 

Conflict Free Sourcing Initiative, Conflict Minerals Reporting Template (CMRT), including the RMI’s 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 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.

·                  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 IBM’s Ombudsman.

·                  Retained records related to Conflict Minerals in conformance with IBM’s 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 IBM’s 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 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 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 IBM’s 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

 

3



 

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 RMI’s 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 IBM’s Conflict Minerals Report.

·                  Published the 2016 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 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.

 

4



 

Conflict
Mineral

 

2017
Compliant
SORs vs.
Total SORs
identified in
IBM CMRT

 

2017
Compliant
SOR
Percentage

 

2017 SORs Participating in a
Recognized Conflict-Free
Audit Program or
Reasonably Determined to
Source from Outside Covered
Countries or Recycled Scrap

 

2017 SORs Participating in a
Recognized Conflict-Free
Audit Program or
Reasonably Determined to
Source from Outside Covered
Countries or Recycled Scrap
Percentage

 

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 IBM’s 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 IBM’s supply chain for 2017.

 

The following graph illustrates IBM’s overall progress of reported SORs toward conflict-free sources.

 

GRAPHIC

 


** 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

 

5



 

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 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 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 IBM’s 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 IBM’s supply chain that are not currently on RMI’s list of recognized SORs and drive additional identified SORs in IBM’s supply chain into the RMAP.

 

·                  Improve CMRT response completeness from in-scope direct suppliers through IBM’s 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.

 

6



 

IBM’s 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 IBM’s due diligence is based, IBM supports an industry initiative that audits the due diligence activities of SORs. That industry initiative is the RMI’s 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. IBM’s member ID:  MIBM.

 

7



 

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
of SOR

 

SOR Status as
of March 28,
2018

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

 

8



 

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

 

9



 

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

 

10



 

Gold

 

L’azurde 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

 

L’Orfebre 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

 

11



 

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

 

12



 

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

 

13



 

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

 

14



 

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

 

15



 

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

 

16



 

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

 

Magnu’s Minerais Metais e Ligas Ltda.

 

Brazil

 

Compliant

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

 

Compliant

Tin

 

Melt Metais e Ligas S.A.

 

Brazil

 

Compliant

Tin

 

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

 

17



 

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

 

18



 

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

 

19



 

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 Gao’an 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

 

20



 

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

 

21



 

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

 

 

 

22