Exhibit 1.01

 

INTERNATIONAL BUSINESS MACHINES CORPORATION

Conflict Minerals Report

For the reporting period from January 1, 2019 to December 31, 2019

 

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, 2019 through December 31, 2019 (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 or 3TG). 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 Responsible Minerals Program, which includes IBM’s Conflict Minerals Program, is run by a full-time, dedicated team of experienced supply chain professionals within IBM’s Global Procurement organization. This 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 Responsible 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 sources deemed conflict-free by third-party assessments.

 

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 2019:

 

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 and LinuxONE, trusted enterprise platforms for integrating data, transactions and insight, and Power Systems, a system designed from the ground up for big data and enterprise AI, optimized for hybrid cloud and Linux.

 

Storage Systems:  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,

 

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availability and virtualization. The portfolio consists of a broad range of 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 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 or Angola (collectively, Covered Countries), and whether any of the Conflict Minerals may be from recycled or scrap sources.

 

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 Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High-Risk Areas, including Annex II and the related supplements pertaining to downstream companies (OECD Guidance).

 

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 established industry processes and information provided from its in-scope direct suppliers.

 

Description of Due Diligence Measures Performed

 

IBM stays current with evolving external standards and global events, and in 2019, updated our Responsible Minerals Policy (formerly known as IBM’s Conflict Minerals Policy). IBM’s due diligence reflects the principles of IBM’s Responsible Minerals Policy and IBM’s position in the supply chain as a downstream company, as defined by OECD Guidance. IBM is a member of the Responsible Minerals Initiative (RMI). Our due diligence process utilizes RMI resources including the Conflict Minerals Reporting Template (CMRT) and the Responsible Minerals Assurance Process (RMAP), augmented by the London Bullion Market Association (LBMA), the Responsible Jewellery Council Chain of Custody Standard (RJC CoC), and the Tungsten Industry — Conflict Minerals Council (Ti-CMC). The RMAP, LBMA, RJC CoC, and Ti-CMC use independent third-party audits to identify SORs that have systems in place to assure sourcing of only conflict-free minerals. RMAP, LBMA, RJC CoC, and Ti-CMC are recognized by industry as third-party validation schemes.

 

Below is a description of the due diligence measures performed by IBM for the Reporting Period.

 

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1. OECD Step 1: Establish strong company management systems.

 

·                  Positioned the IBM Responsible Minerals team within IBM’s Global Procurement organization to implement IBM’s Conflict Minerals Program.

·                  The IBM Conflict Minerals Program team reports to IBM’s Chief Procurement Officer and this Report is reviewed by IBM’s Senior Vice President of IBM Systems.

·                  Posted IBM’s revised Responsible Minerals Policy on IBM’s Conflict Minerals-dedicated public website https://www.ibm.com/procurement/responsibleminerals.

·                  Updated IBM Responsible Minerals Program requirements and revised Responsible Minerals training materials; communicated critical information to in-scope suppliers.

·                  Conducted multiple online supplier education sessions.

·                  Assigned Responsible Minerals team members to in-scope suppliers for collaboration, support, and guidance to attain the goals of IBM’s Responsible Minerals program.

·                  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.

 

2. OECD Step 2: Identify and assess risks in the supply chain.

 

·                  Requested IBM’s in-scope direct suppliers to survey their upstream suppliers twice per year to identify SORs and related Conflict Minerals information through the RMI CMRT.

·                  Managed collection of CMRTs and tracked status of supplier responses.

·                  Reviewed the information provided in the CMRTs against IBM’s validation criteria and OECD Guidance.

·                  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, RJC CoC, and Ti-CMC information.

 

3. OECD Step 3: Design and implement a strategy to respond to identified risks.

 

·                  Reported to IBM’s Global Procurement management on topics such as CMRT collection efforts, in-scope direct supplier conflict-free progress, SOR risk mitigation, and driving identified SORs toward RMAP or LBMA, RJC CoC, or Ti-CMC engagement.

·                  Required our in-scope suppliers to use SORs either actively pursuing or assessed as conformant to the recognized third-party schemes of RMAP, LBMA, RJC CoC, or Ti-CMC. Consideration was given to SORs meeting the requirements of being a refiner of 100% recycled 3TG material.

·                  Identified high-risk SORs and required in-scope direct suppliers reporting high-risk SORs to validate whether minerals from the SOR are contained in products provided to IBM. If confirmed that Conflict Minerals from the high-risk SOR were in Covered Products, requested in-scope direct suppliers to transition the SOR from the IBM supply chain.

 

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·                  Collaborated with select upstream suppliers to address high-risk SORs and their propagation through the IBM supply chain.

·                  Stayed informed of macro Conflict Minerals issues and developments through participation in the RMI.

 

4. OECD Step 4:  Carry out independent third-party audits of supply chain due diligence.

 

·                  Supported RMI initiatives through participation in RMI workgroups.

·                  Since its inception, supported RMI’s RMAP accreditation of SORs engaged in Conflict Minerals to build a global network of validated sources of material meeting the needs of IBM’s Responsible Minerals Policy. With the backing of over 300 members in RMI, the network of accredited SORs has grown considerably allowing for downstream companies to utilize greater percentages of third-party verified 3TG.

·                  Contacted select SORs, without accredited designation, directly or indirectly in conjunction with RMI’s smelter engagement teams, to encourage their participation in RMAP or other recognized third-party validation schemes.

·                  Participated in SOR site visits in China, India, and Indonesia to discuss matters regarding RMAP, such as understanding the dynamics of the SORs and downstream users of 3TG, SOR participation in the program, and retention of SORs in the program.

·                  Attended minerals conferences and workshops in Hong Kong, India, and Indonesia to meet with SORs and industry contacts.

 

5. OECD Step 5: Report annually on supply chain due diligence.

 

·                  Pursuant to the Rule, annually file Form SD and IBM’s Conflict Minerals Report.

·                  Published the 2018 Conflict Minerals Report on IBM’s Conflict Minerals-dedicated public website https://www.ibm.com/procurement/responsibleminerals.

·                  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. The list identifies SORs present at year end 2019. Further, as listed in Appendix B, IBM has reasonably determined the potential countries of origin of the Conflict Minerals in the Covered Products.

 

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The following table illustrates the percentage of 2019 SORs in the IBM supply chain that, as of December 31, 2019, are conformant with or active in one or more of the third-party validation schemes or are processing 100% recycled scrap.

 

Conflict Minerals

 

Number of SORs

 

% of SORs that are
Conformant, Active, or
Recycled Scrap

 

Tantalum

 

38

 

100%

 

Tin

 

48

 

100%

 

Tungsten

 

43

 

100%

 

Gold

 

113

 

100%

 

Total

 

242

 

100%

 

 

IBM’s progress in this area since 2013 is illustrated below and reflects that, in 2019, all SORs reported in the IBM supply chain are pursuing or are accredited as conformant to a recognized third-party validation scheme (or operating as refiners of recycled 3TG).

 

 

Note that for 2013 and 2014, IBM considered conflict-free SORs to be only those conformant with a recognized third-party validation scheme. In 2015 and 2016, SORs that were active in a recognized third-party validation scheme were added to the conformant category. The 2017 through 2019 conformant category further includes SORs determined to source Conflict Minerals from outside Covered Countries or solely from recycled or scrap sources.

 

IBM Requirement for Suppliers to be Conflict Free

 

During 2019, IBM continued its initiative to have all in-scope direct suppliers achieve a conformant supply chain as defined by its Responsible Minerals Policy. In-scope direct suppliers with CMRTs containing SORs that are not progressing toward, or have not already received conflict-free accreditation, are required to transition those SORs from products provided to IBM.

 

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The IBM Responsible 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 monthly along with IBM’s progress toward attaining 100% conformant status.

 

IBM’s Next Steps to Mitigate Conflict Minerals Risk

 

IBM expects to take the following steps to enhance its due diligence measures and to continue mitigating 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 assess their supply chains.

 

·                  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 with RMI members and IBM in-scope direct suppliers to contact SORs to better understand their sourcing circumstances and gain their commitment to remain engaged with an RMAP assessment or another recognized validation scheme.

 

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

 

·                  Improve in-scope direct suppliers’ CMRT upstream supplier completeness; provide collaboration from IBM and other upstream suppliers to attain 100% upstream coverage.

 

·                  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.

 

·                  Engage IBM Systems Development and Procurement on future products to ascertain conformant status of SORs to be used by the proposed in-scope direct suppliers. Strive to mitigate use of any nonconformant SORs prior to introduction of the product to the marketplace.

 

·                  Explore the use of IBM blockchain technology to further improve the end-to-end supply chain in support of IBM’s Responsible Minerals Policy.

 

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IBM’s Support of the RMI

 

As outlined in the OECD Guidance, 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 potential countries of origin found in Appendix B, and upon which IBM relied for certain statements in this Report, was obtained through RMI and other accreditation source data. IBM is an active contributor to the RMI through our participation in various working groups. IBM’s member ID is MIBM.

 

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Appendix A

 

Smelters or Refiners (SORs) that may be used to process the Conflict Minerals contained in the Covered Products.

 

SOR Status (as of April 16, 2019):

 

“Conformant” indicates the SOR has successfully completed an assessment and is listed by the RMAP, LBMA Good Delivery List, RJC Chain-of-Custody, or Ti-CMC web sites.

 

“Active” indicates that the SOR is in process for assessment by one or more of the recognized third-party validation schemes.

 

“Recycled Scrap” indicates that the SOR has demonstrated conformance to criteria for a facility processing only recycled or scrap materials and is currently not participating in one of the noted validation schemes.

 

Metal

 

Name of SOR

 

Country

 

SOR Status

Tantalum

 

Asaka Riken Co., Ltd.

 

Japan

 

Conformant

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

 

Conformant

Tantalum

 

D Block Metals, LLC

 

United States

 

Conformant

Tantalum

 

Exotech Inc.

 

United States

 

Conformant

Tantalum

 

F&X Electro-Materials Ltd.

 

China

 

Conformant

Tantalum

 

FIR Metals & Resource Ltd.

 

China

 

Conformant

Tantalum

 

Global Advanced Metals Aizu

 

Japan

 

Conformant

Tantalum

 

Global Advanced Metals Boyertown

 

United States

 

Conformant

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

 

Conformant

Tantalum

 

H.C. Starck Co., Ltd.

 

Thailand

 

Conformant

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

Germany

 

Conformant

Tantalum

 

H.C. Starck Inc.

 

United States

 

Conformant

Tantalum

 

H.C. Starck Ltd.

 

Japan

 

Conformant

Tantalum

 

H.C. Starck Smelting GmbH & Co. KG

 

Germany

 

Conformant

Tantalum

 

H.C. Starck Tantalum and Niobium GmbH

 

Germany

 

Conformant

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

 

Conformant

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

 

Conformant

Tantalum

 

Jiangxi Tuohong New Raw Material

 

China

 

Conformant

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

 

Conformant

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

China

 

Conformant

 

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Metal

 

Name of SOR

 

Country

 

SOR Status

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

China

 

Conformant

Tantalum

 

KEMET Blue Metals

 

Mexico

 

Conformant

Tantalum

 

KEMET Blue Powder

 

United States

 

Conformant

Tantalum

 

LSM Brasil S.A.

 

Brazil

 

Conformant

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

India

 

Conformant

Tantalum

 

Mineracao Taboca S.A.

 

Brazil

 

Conformant

Tantalum

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

Conformant

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

 

Conformant

Tantalum

 

NPM Silmet AS

 

Estonia

 

Conformant

Tantalum

 

PRG Dooel

 

Macedonia

 

Conformant

Tantalum

 

QuantumClean

 

United States

 

Conformant

Tantalum

 

Resind Industria e Comercio Ltda.

 

Brazil

 

Conformant

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

 

Conformant

Tantalum

 

Taki Chemical Co., Ltd.

 

Japan

 

Conformant

Tantalum

 

Telex Metals

 

United States

 

Conformant

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

 

Conformant

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

 

Conformant

Tantalum

 

Yanling Jincheng Tantalum & Niobium Co., Ltd.

 

China

 

Conformant

Tin

 

Alpha

 

United States

 

Conformant

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

China

 

Conformant

Tin

 

Chifeng Dajingzi Tin Industry Co., Ltd.

 

China

 

Conformant

Tin

 

China Tin Group Co., Ltd.

 

China

 

Conformant

Tin

 

Dongguan CiEXPO Environmental Engineering Co., Ltd.

 

China

 

Recycled Scrap

Tin

 

Dowa

 

Japan

 

Conformant

Tin

 

EM Vinto

 

Bolivia

 

Conformant

Tin

 

Fenix Metals

 

Poland

 

Conformant

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

 

Conformant

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

 

Conformant

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

 

Conformant

Tin

 

Gejiu Zili Mining and Metallurgy Co., Ltd.

 

China

 

Conformant

Tin

 

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

 

China

 

Conformant

 

9


 

Metal

 

Name of SOR

 

Country

 

SOR Status

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

China

 

Conformant

Tin

 

HuiChang Hill Tin Industry Co., Ltd.

 

China

 

Conformant

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

China

 

Conformant

Tin

 

Jiangxi New Nanshan Technology Ltd.

 

China

 

Conformant

Tin

 

Ma’anshan Weitai Tin Co., Ltd.

 

China

 

Conformant

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

Brazil

 

Conformant

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

 

Conformant

Tin

 

Melt Metais e Ligas S.A.

 

Brazil

 

Conformant

Tin

 

Metallic Resources, Inc.

 

United States

 

Conformant

Tin

 

Metallo Belgium N.V.

 

Belgium

 

Conformant

Tin

 

Metallo Spain S.L.U.

 

Spain

 

Conformant

Tin

 

Mineracao Taboca S.A.

 

Brazil

 

Conformant

Tin

 

Minsur

 

Peru

 

Conformant

Tin

 

Mitsubishi Materials Corporation

 

Japan

 

Conformant

Tin

 

Modeltech Sdn Bhd

 

Malaysia

 

Recycled Scrap

Tin

 

O.M. Manufacturing (Thailand) Co., Ltd.

 

Thailand

 

Conformant

Tin

 

O.M. Manufacturing Philippines, Inc.

 

Philippines

 

Conformant

Tin

 

Operaciones Metalurgical S.A.

 

Bolivia

 

Conformant

Tin

 

Precious Minerals and Smelting Limited

 

India

 

Active

Tin

 

PT Artha Cipta Langgeng

 

Indonesia

 

Conformant

Tin

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

 

Conformant

Tin

 

PT Mitra Stania Prima

 

Indonesia

 

Conformant

Tin

 

PT Refined Bangka Tin

 

Indonesia

 

Conformant

Tin

 

PT Timah Tbk Kundur

 

Indonesia

 

Conformant

Tin

 

PT Timah Tbk Mentok

 

Indonesia

 

Conformant

Tin

 

Resind Industria e Comercio Ltda.

 

Brazil

 

Conformant

Tin

 

Rui Da Hung

 

Taiwan

 

Conformant

Tin

 

Soft Metais Ltda.

 

Brazil

 

Conformant

Tin

 

Thai Nguyen Mining and Metallurgy Co., Ltd.

 

Vietnam

 

Conformant

Tin

 

Thaisarco

 

Thailand

 

Conformant

Tin

 

Tin Technology & Refining

 

United States

 

Conformant

Tin

 

White Solder Metalurgia e Mineracao Ltda.

 

Brazil

 

Conformant

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

 

Conformant

Tin

 

Yunnan Tin Company Limited

 

China

 

Conformant

Tin

 

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

 

China

 

Conformant

 

10


 

Metal

 

Name of SOR

 

Country

 

SOR Status

Tungsten

 

A.L.M.T. Corp.

 

Japan

 

Conformant

Tungsten

 

ACL Metais Eireli

 

Brazil

 

Conformant

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Vietnam

 

Conformant

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

 

Conformant

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Ganzhou Haichuang Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

 

Conformant

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

 

Conformant

Tungsten

 

Global Tungsten & Powders Corp.

 

United States

 

Conformant

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

H.C. Starck Smelting GmbH & Co. KG

 

Germany

 

Conformant

Tungsten

 

H.C. Starck Tungsten GmbH

 

Germany

 

Conformant

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

Conformant

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

 

Conformant

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

 

Conformant

Tungsten

 

Hunan Litian Tungsten Industry Co., Ltd.

 

China

 

Conformant

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

 

Conformant

Tungsten

 

Japan New Metals Co., Ltd.

 

Japan

 

Conformant

Tungsten

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

China

 

Conformant

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

 

China

 

Conformant

Tungsten

 

Jiangxi Xianglu Tungsten Co., Ltd.

 

China

 

Active

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

 

Conformant

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Kennametal Fallon

 

United States

 

Conformant

Tungsten

 

Kennametal Huntsville

 

United States

 

Conformant

Tungsten

 

KGETS Co., Ltd.

 

South Korea

 

Conformant

Tungsten

 

Lianyou Metals Co., Ltd.

 

Taiwan

 

Conformant

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Masan Tungsten Chemical LLC

 

Vietnam

 

Conformant

 

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Metal

 

Name of SOR

 

Country

 

SOR Status

Tungsten

 

Moliren Ltd.

 

Russian Federation

 

Conformant

Tungsten

 

Niagara Refining LLC

 

United States

 

Conformant

Tungsten

 

Philippine Chuangxin Industrial Co., Inc.

 

Philippines

 

Conformant

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Vietnam

 

Conformant

Tungsten

 

Unecha Refractory metals plant

 

Russian Federation

 

Conformant

Tungsten

 

Wolfram Bergbau und Hutten AG

 

Austria

 

Conformant

Tungsten

 

Woltech Korea Co., Ltd.

 

South Korea

 

Conformant

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

China

 

Conformant

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

China

 

Conformant

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

China

 

Conformant

Gold

 

8853 S.p.A.

 

Italy

 

Conformant

Gold

 

Advanced Chemical Company

 

United States

 

Conformant

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

 

Conformant

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

 

Conformant

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

 

Conformant

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

 

Conformant

Gold

 

AngloGold Ashanti Corrego do Sitio Mineracao

 

Brazil

 

Conformant

Gold

 

Argor-Heraeus S.A.

 

Switzerland

 

Conformant

Gold

 

Asahi Pretec Corp.

 

Japan

 

Conformant

Gold

 

Asahi Refining Canada Ltd.

 

Canada

 

Conformant

Gold

 

Asahi Refining USA Inc.

 

United States

 

Conformant

Gold

 

Asaka Riken Co., Ltd.

 

Japan

 

Conformant

Gold

 

AU Traders and Refiners

 

South Africa

 

Conformant

Gold

 

Aurubis AG

 

Germany

 

Conformant

Gold

 

Bangalore Refinery

 

India

 

Conformant

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Philippines

 

Conformant

Gold

 

Boliden AB

 

Sweden

 

Conformant

Gold

 

C. Hafner GmbH + Co. KG

 

Germany

 

Conformant

Gold

 

CCR Refinery - Glencore Canada Corporation

 

Canada

 

Conformant

 

12


 

Metal

 

Name of SOR

 

Country

 

SOR Status

Gold

 

Cendres + Metaux S.A.

 

Switzerland

 

Conformant

Gold

 

Chimet S.p.A.

 

Italy

 

Conformant

Gold

 

Chugai Mining

 

Japan

 

Conformant

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

 

Conformant

Gold

 

DODUCO Contacts and Refining GmbH

 

Germany

 

Conformant

Gold

 

Dowa

 

Japan

 

Conformant

Gold

 

DS PRETECH Co., Ltd.

 

South Korea

 

Conformant

Gold

 

DSC (Do Sung Corporation)

 

South Korea

 

Conformant

Gold

 

Eco-System Recycling Co., Ltd. East Plant

 

Japan

 

Conformant

Gold

 

Eco-System Recycling Co., Ltd. North Plant

 

Japan

 

Conformant

Gold

 

Eco-System Recycling Co., Ltd. West Plant

 

Japan

 

Conformant

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

 

Conformant

Gold

 

Geib Refining Corporation

 

United States

 

Conformant

Gold

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

China

 

Conformant

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

 

Conformant

Gold

 

Heimerle + Meule GmbH

 

Germany

 

Conformant

Gold

 

Heraeus Metals Hong Kong Ltd.

 

China

 

Conformant

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

 

Conformant

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

 

China

 

Conformant

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

 

Conformant

Gold

 

Istanbul Gold Refinery

 

Turkey

 

Conformant

Gold

 

Italpreziosi

 

Italy

 

Conformant

Gold

 

Japan Mint

 

Japan

 

Conformant

Gold

 

Jiangxi Copper Co., Ltd.

 

China

 

Conformant

Gold

 

JSC Uralelectromed

 

Russian Federation

 

Conformant

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

 

Conformant

Gold

 

Kazzinc

 

Kazakhstan

 

Conformant

Gold

 

Kennecott Utah Copper LLC

 

United States

 

Conformant

Gold

 

KGHM Polska Miedz Spolka Akcyjna

 

Poland

 

Conformant

Gold

 

Kojima Chemicals Co., Ltd.

 

Japan

 

Conformant

Gold

 

Korea Zinc Co., Ltd.

 

South Korea

 

Conformant

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

 

Conformant

Gold

 

L’Orfebre S.A.

 

Andorra

 

Conformant

 

13


 

Metal

 

Name of SOR

 

Country

 

SOR Status

Gold

 

LS-NIKKO Copper Inc.

 

South Korea

 

Conformant

Gold

 

LT Metal Ltd.

 

South Korea

 

Conformant

Gold

 

Marsam Metals

 

Brazil

 

Conformant

Gold

 

Materion

 

United States

 

Conformant

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

 

Conformant

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

China

 

Conformant

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

Singapore

 

Conformant

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

China

 

Conformant

Gold

 

Metalor Technologies S.A.

 

Switzerland

 

Conformant

Gold

 

Metalor USA Refining Corporation

 

United States

 

Conformant

Gold

 

Metalurgica Met-Mex Penoles S.A. De C.V.

 

Mexico

 

Conformant

Gold

 

Mitsubishi Materials Corporation

 

Japan

 

Conformant

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

Conformant

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

India

 

Conformant

Gold

 

Modeltech Sdn Bhd

 

Malaysia

 

Recycled Scrap

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

 

Conformant

Gold

 

Nadir Metal Rafineri San. Ve Tic. A.S.

 

Turkey

 

Conformant

Gold

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

 

Conformant

Gold

 

NH Recytech Company

 

South Korea

 

Recycled Scrap

Gold

 

Nihon Material Co., Ltd.

 

Japan

 

Conformant

Gold

 

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

 

Conformant

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

 

Conformant

Gold

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

Russian Federation

 

Conformant

Gold

 

OJSC Novosibirsk Refinery

 

Russian Federation

 

Conformant

Gold

 

PAMP S.A.

 

Switzerland

 

Conformant

Gold

 

Planta Recuperadora de Metales SpA

 

Chile

 

Conformant

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

 

Conformant

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

 

Conformant

Gold

 

PX Precinox S.A.

 

Switzerland

 

Conformant

Gold

 

Rand Refinery (Pty) Ltd.

 

South Africa

 

Conformant

Gold

 

Remondis PMR B.V.

 

Netherlands

 

Conformant

Gold

 

Royal Canadian Mint

 

Canada

 

Conformant

Gold

 

SAAMP

 

France

 

Conformant

Gold

 

Safimet S.p.A

 

Italy

 

Conformant

Gold

 

SAFINA A.S.

 

Czech Republic

 

Active

 

14


 

Metal

 

Name of SOR

 

Country

 

SOR Status

Gold

 

Samduck Precious Metals

 

South Korea

 

Conformant

Gold

 

SAXONIA Edelmetalle GmbH

 

Germany

 

Conformant

Gold

 

SEMPSA Joyeria Plateria S.A.

 

Spain

 

Conformant

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

 

Conformant

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

 

Conformant

Gold

 

Singway Technology Co., Ltd.

 

Taiwan

 

Conformant

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

 

Conformant

Gold

 

Solar Applied Materials Technology Corp.

 

Taiwan

 

Conformant

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

 

Conformant

Gold

 

SungEel HiMetal Co., Ltd.

 

South Korea

 

Conformant

Gold

 

T.C.A S.p.A

 

Italy

 

Conformant

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

 

Conformant

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

China

 

Conformant

Gold

 

Tokuriki Honten Co., Ltd.

 

Japan

 

Conformant

Gold

 

TOO Tau-Ken-Altyn

 

Kazakhstan

 

Conformant

Gold

 

Torecom

 

South Korea

 

Conformant

Gold

 

Umicore Brasil Ltda.

 

Brazil

 

Conformant

Gold

 

Umicore Precious Metals Thailand

 

Thailand

 

Conformant

Gold

 

Umicore S.A. Business Unit Precious Metals Refining

 

Belgium

 

Conformant

Gold

 

United Precious Metal Refining, Inc.

 

United States

 

Conformant

Gold

 

Valcambi S.A.

 

Switzerland

 

Conformant

Gold

 

Western Australian Mint (T/a The Perth Mint)

 

Australia

 

Conformant

Gold

 

Wieland Edelmetalle GmbH

 

Germany

 

Conformant

Gold

 

Yamakin Co., Ltd.

 

Japan

 

Conformant

Gold

 

Yokohama Metal Co., Ltd.

 

Japan

 

Conformant

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

 

Conformant

 

15


 

Appendix B

 

Potential Countries of Origin for Conflict Minerals associated with the SORs listed in Appendix A

(Based on RMI and other accreditation source data)*

 

Argentina

France

Macau

Serbia

Armenia

Gambia

Madagascar

Sierra Leone

Australia

Georgia

Malaysia

Singapore

Austria

Germany

Mali

Slovakia

Azerbaijan

Ghana

Malta

Slovenia

Belgium

Greece

Mauritania

Solomon Islands

Benin

Guatemala

Mauritius

South Africa

Bolivia

Guinea

Mexico

South Korea

Botswana

Guyana

Monaco

Spain

Brazil

Honduras

Mongolia

Suriname

Brunei

Hong Kong

Morocco

Swaziland

Bulgaria

Hungary

Namibia

Sweden

Burkina Faso

Iceland

Netherlands

Switzerland

Cameroon

India

New Caledonia

Taiwan

Canada

Indonesia

New Zealand

Tajikistan

Chile

Ireland

Nicaragua

Tanzania

China

Israel

Niger

Thailand

Colombia

Italy

Norway

Togo

Croatia

Ivory Coast

Pakistan

Trinidad and Tobago

Cyprus

Japan

Panama

Tunisia

Czech Republic

Jordan

Papua New Guinea

Turkey

Democratic Republic of the Congo

Kazakhstan

Paraguay

Uganda

Denmark

Kenya

Peru

Ukraine

Dominican Republic

Kuwait

Philippines

United Arab Emirates

Ecuador

Kyrgyzstan

Poland

United Kingdom

Egypt

Laos

Portugal

United States of America

El Salvador

Latvia

Romania

Uruguay

Eritrea

Lebanon

Russian Federation

Vietnam

Estonia

Liberia

Rwanda

Zambia

Ethiopia

Liechtenstein

San Marino

Zimbabwe

Fiji

Lithuania

Saudi Arabia

 

Finland

Luxembourg

Senegal

 

 


*In addition, RMI and other accreditation source data identified Cuba, Iran, Sudan and Venezuela as potential countries of origin for Conflict Minerals associated with the SORs listed in Appendix A. IBM has no affirmative knowledge that minerals from these countries are incorporated into finished products furnished to IBM. To the extent that minerals from these countries were used, they would have been substantially transformed outside of the United States in a third country by a non-U.S. person before being incorporated into production of certain products that IBM manufactures or contracts to manufacture.

 

16