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Form SD INTERNATIONAL BUSINESS

May 27, 2016 4:46 PM EDT

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

 

Specialized Disclosure Report

 

INTERNATIONAL BUSINESS MACHINES CORPORATION

(Exact name of registrant as specified in its charter)

 

NEW YORK

 

1-2360

 

13-0871985

(State or other jurisdiction of
incorporation or organization)

 

(Commission File Number)

 

(IRS Employer
Identification No.)

 

ARMONK, NEW YORK

 

10504

(Address of principal executive offices)

 

(Zip Code)

 

CHRISTINA M. MONTGOMERY
VICE PRESIDENT, ASSISTANT GENERAL COUNSEL AND SECRETARY
(914) 499-1900

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.

 

 

 



 

Section 1 — Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Conflict Minerals Disclosure

 

This Form SD of International Business Machines Corporation (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2015 to December 31, 2015.

 

A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is publicly available at www.ibm.com/conflictminerals.

 

Item 1.02 Exhibit

 

As specified in Section 2, Item 2.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this report.

 

Section 2 — Exhibits

 

Item 2.01 Exhibit

 

The following exhibit is filed as part of this report.

 

Exhibit Number

 

Description

Exhibit 1.01

 

Conflict Minerals Report of International Business Machines Corporation

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

 

INTERNATIONAL BUSINESS MACHINES CORPORATION

 

 

/s/ Thomas W. Rosamilia

 

May 27, 2016

Name: Thomas W. Rosamilia

 

Date

Title: Senior Vice President, IBM Systems

 

 

 

3


Exhibit 1.01

 

INTERNATIONAL BUSINESS MACHINES CORPORATION

Conflict Minerals Report

For the reporting period from January 1, 2015 to December 31, 2015

 

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, 2015 through December 31, 2015 (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). The specified countries for the purposes of the Rule and this Report are 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). 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 Program team members report 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 source 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 2015:

 

1



 

(1) Servers:  a range of high-performing systems designed to address capacity, security, speed, and compute power needs for businesses, organizations and technical computing applications. The portfolio includes z Systems, a trusted enterprise platform for integrating data, transactions and insight, and Power Systems, a system designed from the ground up for big data, optimized for scale-out cloud and Linux, and delivering open innovation with OpenPOWER.

 

(2) Storage:  data storage products and solutions that allow clients to retain and manage rapidly growing, complex volumes of digital information. 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.

 

(3) Microelectronics:  in 2014, IBM announced a definitive agreement to divest its Microelectronics business and manufacturing operations. This transaction closed in 2015. Because IBM manufactured semiconductors for a portion of the Reporting Period prior to the divestiture, the supply chain supporting the Microelectronics business is included in this Report. Prior to the closing of the transaction, Microelectronics included semiconductor design and manufacturing primarily for use in IBM’s systems and storage products, as well as delivering semiconductors and related services to external clients.

 

Reasonable Country of Origin Inquiry

 

IBM conducted a good faith reasonable country of origin inquiry (RCOI) regarding the Conflict Minerals. This good faith RCOI was designed to determine whether any of the Conflict Minerals originated in the 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 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.

 

2



 

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 RCOI and due diligence process utilized the Conflict Free Sourcing Initiative (CFSI) Conflict Minerals Reporting Template (CMRT), including the CFSI’s Conflict-Free Smelter Program (CFSP), and the London Bullion Market Association (LBMA). The CFSP and the LBMA use independent third-party audits to identify SORs that have systems in place to assure sourcing of only conflict-free materials.

 

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

 

1. Maintained a strong company management system.

 

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

 

·                  Posted IBM’s Conflict Minerals Standard on IBM’s Conflict Minerals-dedicated public website, www.ibm.com/conflictminerals.

 

·                  Conveyed Conflict Minerals information to in-scope direct suppliers from the IBM Global Procurement and CFSI websites.

 

·                  Provided an online grievance mechanism for internal and external parties to confidentially report concerns regarding Conflict Minerals to IBM’s Ombudsman.

 

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

 

·                  Used revised purchasing contract template requiring suppliers’ products to contain conflict-free sources for any Conflict Minerals.

 

2. Continued to identify and assess risks in the supply chain.

 

·                  Requested IBM’s in-scope direct suppliers to identify SORs and related Conflict Minerals information through the use of the CMRT.

 

·                  Gathered CMRTs from in-scope direct suppliers and reviewed the information provided in the CMRTs against IBM’s validation criteria.

 

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

 

·                  Analyzed the CMRTs for completeness and accuracy, and, when appropriate, communicated errors and actions required to suppliers.

 

·                  Used CFSI Compliant Smelter Sourcing Information and third-party research to ascertain whether any Conflict Minerals in the Covered Products may have originated in the Covered Countries.

 

·                  Compared SORs identified by the in-scope direct suppliers against CFSI information to determine valid SORs and their CFSP status; also checked LBMA status.

 

·                  Engaged a third-party consultant to research SORs sourcing Conflict Minerals from Covered Countries.

 

·                  Worked with CFSI to gather additional facts regarding these SORs’ sources and to help drive the SORs into the CFSP.

 

3



 

3. Designed and implemented a strategy to respond to identified risks.

 

·                  Reported to IBM’s Global Procurement management on topics such as progress of CMRT collection, in-scope direct supplier conflict-free action plans, smelter risk mitigation, and progress of driving identified SORs toward CFSP listing.

 

·                  Identified SORs of concern and undertook mitigation actions.

 

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

 

·                  Participated in 12 SOR site visits to China, Indonesia and the US with other CFSI members to discuss matters regarding CFSP, such as participation and smelter operations.

 

·                  Presented material on the CFSP, including the benefits of CFSP participation, at the 2015 China Gold Forum in Shandong, China.

 

·                  Contacted select SORs without a conflict-free designation to encourage their participation in CFSP or other independent third-party audit program.

 

4. Supported the implementation of independent third-party audits of supply chain due diligence.

 

·                  Supported CFSI initiatives through participation in CFSI workgroups.

 

·                  Worked in concert with CFSI to enhance SOR outreach to drive CFSP participation.

 

5. Reported on supply chain due diligence.

 

·                  Pursuant to the Rule, filed Form SD and IBM’s 2014 Conflict Minerals Report.

 

·                  Published the 2014 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 that was provided by IBM’s in-scope direct suppliers, and otherwise 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, from information provided by the CFSP and otherwise obtained through due diligence, the potential countries of origin of the Conflict Minerals in the Covered Products.

 

For calendar year 2015, IBM requested CMRTs from 205 in-scope direct suppliers and have received responses from 100% of those suppliers. To provide a measure of overall progress of the program, the following table illustrates the change in the percentage of 2015 SORs in the upstream IBM supply chain assessed as conflict free using the CFSP and LBMA status (as of April 15, 2016).

 

4



 

Conflict
Mineral

 

2014
Assessed
Conflict-
Free SORs
vs. Total
SORs
identified
in IBM
CMRT

 

2014
Assessed
Conflict-
Free SOR
Percentage

 

2015
Assessed
Conflict-
Free SORs
vs. Total
SORs
identified
in IBM
CMRT

 

2015
Assessed
Conflict-
Free SOR
Percentage

 

2015 SORs
Participating
in a
Recognized
Conflict-
Free Audit
Program

 

2015 SORs
Participating
in a
Recognized
Conflict-
Free Audit
Program
Percentage

 

Tantalum

 

43 of 45

 

96

%

45 of 45

 

100

%

45 of 45

 

100

%

Tin

 

22 of 68

 

32

%

59 of 81

 

73

%

71 of 81

 

88

%

Tungsten

 

9 of 39

 

23

%

29 of 43

 

67

%

41 of 43

 

95

%

Gold

 

56 of 112

 

50

%

83 of 126

 

66

%

98 of 126

 

78

%

Total

 

130 of 264

 

49

%

216 of 295

 

73

%

255 of 295

 

86

%

 

Conflict-Free Action Plans

 

In 2015, IBM launched an initiative to have all in-scope direct suppliers document their plans to achieve a conflict-free supply chain. In-scope direct suppliers with CMRTs containing smelters that were not progressing toward or not already conflict free were required to create conflict-free action plans addressing the critical steps to become conflict free and remain conflict free. Supplier action plans are reviewed by IBM and accepted or returned to suppliers for rework.

 

IBM’s Next Steps to Mitigate Conflict Minerals Risk

 

IBM expects to take the following steps, among others, to improve its due diligence measures and to further mitigate the risk that the necessary Conflict Minerals contained in the Covered Products finance or benefit armed groups in the Covered Countries:

 

·                  By participating in the CFSI, contribute to the continued development of collaborative tools and resources for companies to use to help assess their supply chains and avoid inclusion of Conflict Minerals in the extended supply chain.

 

·                  Remain aware of developments in Conflict Minerals due diligence processes by participation in the CFSI and apply that knowledge to IBM’s Conflict Minerals risk assessment and mitigation actions.

 

·                  Work in concert with CFSI members and in-scope direct suppliers to contact SORs to better understand their sourcing circumstances and gain their commitment to a CFSP assessment or another recognized validation scheme.

 

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

 

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·                  Improve CMRT response completeness from in-scope direct suppliers through IBM’s review and feedback to suppliers using the most current smelter information.

·                  Drive in-scope direct suppliers to provide product-specific CMRTs instead of company-level CMRTs, as company-level CMRTs may include SORs not used in the supply chain for Covered Products; use of product-specific CMRTs by in-scope direct suppliers will enable IBM to have a more precise list of SORs used in the Covered Products.

 

·                  Continue to influence upstream sourcing practices to require the usage of CFSP-compliant SORs, including the use of conflict-free contract clauses.

 

IBM’s Support of CFSI

 

As outlined in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, the internationally recognized standard on which IBM’s due diligence is based, we support an industry initiative that audits the due diligence activities of SORs. That industry initiative is the Electronic Industry Citizenship Coalition and GeSI’s Conflict-Free Sourcing Initiative. The RCOI data on which we relied for certain statements in this Report was obtained through our membership in the CFSI. IBM is an active contributor to CFSI through our participation in various working groups. IBM’s member ID:  MIBM.

 

6



 

Appendix A

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

 

SOR Status:  “CFSP Listed” or “LBMA Listed” indicates that the SOR is publically listed on the CFSP or LBMA web sites and considered conflict-free for 2015. “Active” indicates that the SOR is in process for CFSP or LBMA assessment. “Unknown” indicates that the SOR is not a current participant in either process.

 

Metal

 

Name of SOR

 

Country Location
of SOR

 

SOR Status
(as of Apr 15,
2016)

Gold

 

Advanced Chemical Company

 

United States

 

Active

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

 

Unknown

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

 

CFSP Listed

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

 

LBMA Listed

Gold

 

AngloGold Ashanti Córrego do Sítio Mineração

 

Brazil

 

CFSP Listed

Gold

 

Argor-Heraeus SA

 

Switzerland

 

CFSP Listed

Gold

 

Asahi Pretec Corporation

 

Japan

 

CFSP Listed

Gold

 

Asahi Refining Canada Limited

 

Canada

 

CFSP Listed

Gold

 

Asahi Refining USA Inc.

 

United States

 

CFSP Listed

Gold

 

Asaka Riken Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

 

Unknown

Gold

 

AURA-II

 

United States

 

Unknown

Gold

 

Aurubis AG

 

Germany

 

CFSP Listed

Gold

 

Bangalore Refinery

 

India

 

Unknown

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Philippines

 

CFSP Listed

Gold

 

Boliden AB

 

Sweden

 

CFSP Listed

Gold

 

C. Hafner GmbH + Co. KG

 

Germany

 

CFSP Listed

Gold

 

Caridad

 

Mexico

 

Unknown

Gold

 

CCR Refinery - Glencore Canada Corporation

 

Canada

 

CFSP Listed

Gold

 

Cendres + Métaux SA

 

Switzerland

 

Active

Gold

 

Chimet S.p.A.

 

Italy

 

CFSP Listed

Gold

 

Chugai Mining

 

Japan

 

Unknown

Gold

 

Daejin Indus Co., Ltd.

 

Korea, Republic Of

 

Active

 

7



 

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

 

LBMA Listed

Gold

 

DODUCO GmbH

 

Germany

 

CFSP Listed

Gold

 

Dowa

 

Japan

 

CFSP Listed

Gold

 

DSC (Do Sung Corporation)

 

Korea, Republic Of

 

Active

Gold

 

Eco-System Recycling Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Elemetal Refining, LLC

 

United States

 

CFSP Listed

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

 

CFSP Listed

Gold

 

Faggi Enrico S.p.A.

 

Italy

 

Active

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

China

 

Unknown

Gold

 

Geib Refining Corporation

 

United States

 

Active

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

 

Active

Gold

 

Guangdong Jinding Gold Limited

 

China

 

Unknown

Gold

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

China

 

Unknown

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

 

Unknown

Gold

 

Heimerle + Meule GmbH

 

Germany

 

CFSP Listed

Gold

 

Heraeus Ltd. Hong Kong

 

China

 

CFSP Listed

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

 

CFSP Listed

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

Unknown

Gold

 

Hwasung CJ Co., Ltd.

 

Korea, Republic Of

 

Unknown

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

China

 

LBMA Listed

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Istanbul Gold Refinery

 

Turkey

 

CFSP Listed

Gold

 

Japan Mint

 

Japan

 

CFSP Listed

Gold

 

Jiangxi Copper Company Limited

 

China

 

CFSP Listed

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

Russian Federation

 

CFSP Listed

Gold

 

JSC Uralelectromed

 

Russian Federation

 

CFSP Listed

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Kazakhmys Smelting LLC

 

Kazakhstan

 

Unknown

Gold

 

Kazzinc

 

Kazakhstan

 

CFSP Listed

Gold

 

Kennecott Utah Copper LLC

 

United States

 

CFSP Listed

 

8



 

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

Poland

 

Active

Gold

 

Kojima Chemicals Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Korea Metal Co., Ltd.*

 

Korea, Republic Of

 

Unknown

Gold

 

Korea Zinc Co. Ltd.

 

Korea, Republic Of

 

Active

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

 

Active

Gold

 

L’ azurde Company For Jewelry

 

Saudi Arabia

 

Unknown

Gold

 

Lingbao Gold Company Limited

 

China

 

Unknown

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

China

 

Unknown

Gold

 

LS-NIKKO Copper Inc.

 

Korea, Republic Of

 

CFSP Listed

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

 

Unknown

Gold

 

Materion

 

United States

 

CFSP Listed

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

China

 

CFSP Listed

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

Singapore

 

CFSP Listed

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

China

 

Active

Gold

 

Metalor Technologies SA

 

Switzerland

 

CFSP Listed

Gold

 

Metalor USA Refining Corporation

 

United States

 

CFSP Listed

Gold

 

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

 

Mexico

 

CFSP Listed

Gold

 

Mitsubishi Materials Corporation

 

Japan

 

CFSP Listed

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

India

 

CFSP Listed

Gold

 

Morris and Watson

 

New Zealand

 

Unknown

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

 

CFSP Listed

Gold

 

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

 

Turkey

 

CFSP Listed

Gold

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

 

LBMA Listed

Gold

 

Nihon Material Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

 

CFSP Listed

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

 

CFSP Listed

 

9



 

Gold

 

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

 

Russian Federation

 

CFSP Listed

Gold

 

OJSC Kolyma Refinery*

 

Russian Federation

 

Unknown

Gold

 

OJSC Novosibirsk Refinery

 

Russian Federation

 

CFSP Listed

Gold

 

PAMP SA

 

Switzerland

 

CFSP Listed

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

 

Unknown

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

 

CFSP Listed

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

 

CFSP Listed

Gold

 

PX Précinox SA

 

Switzerland

 

CFSP Listed

Gold

 

Rand Refinery (Pty) Ltd.

 

South Africa

 

CFSP Listed

Gold

 

Remondis Argentia B.V.

 

Netherlands

 

Unknown

Gold

 

Republic Metals Corporation

 

United States

 

CFSP Listed

Gold

 

Royal Canadian Mint

 

Canada

 

CFSP Listed

Gold

 

Sabin Metal Corp.

 

United States

 

Unknown

Gold

 

Samduck Precious Metals

 

Korea, Republic Of

 

Active

Gold

 

SAMWON Metals Corp.

 

Korea, Republic Of

 

Unknown

Gold

 

SAXONIA Edelmetalle GmbH

 

Germany

 

Active

Gold

 

Schone Edelmetaal B.V.

 

Netherlands

 

CFSP Listed

Gold

 

SEMPSA Joyería Platería SA

 

Spain

 

CFSP Listed

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

 

Unknown

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

 

CFSP Listed

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

 

CFSP Listed

Gold

 

Singway Technology Co., Ltd.

 

Taiwan

 

CFSP Listed

Gold

 

So Accurate Group, Inc.

 

United States

 

Unknown

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

 

CFSP Listed

Gold

 

Solar Applied Materials Technology Corp.

 

Taiwan

 

CFSP Listed

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

T.C.A S.p.A

 

Italy

 

CFSP Listed

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

 

CFSP Listed

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

China

 

CFSP Listed

Gold

 

Tokuriki Honten Co., Ltd.

 

Japan

 

CFSP Listed

 

10



 

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

 

Unknown

Gold

 

Torecom

 

Korea, Republic Of

 

Active

Gold

 

Umicore Brasil Ltda.

 

Brazil

 

CFSP Listed

Gold

 

Umicore Precious Metals Thailand

 

Thailand

 

CFSP Listed

Gold

 

Umicore SA Business Unit Precious Metals Refining

 

Belgium

 

CFSP Listed

Gold

 

United Precious Metal Refining, Inc.

 

United States

 

CFSP Listed

Gold

 

Valcambi SA

 

Switzerland

 

CFSP Listed

Gold

 

Western Australian Mint trading as The Perth Mint

 

Australia

 

CFSP Listed

Gold

 

WIELAND Edelmetalle GmbH

 

Germany

 

Active

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Yokohama Metal Co., Ltd.

 

Japan

 

CFSP Listed

Gold

 

Yunnan Copper Industry Co., Ltd.

 

China

 

Unknown

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

 

CFSP Listed

Gold

 

Zijin Mining Group Co., Ltd. Gold Refinery

 

China

 

CFSP Listed

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

China

 

CFSP Listed

Tantalum

 

D Block Metals, LLC

 

United States

 

CFSP Listed

Tantalum

 

Duoluoshan

 

China

 

CFSP Listed

Tantalum

 

Exotech Inc.

 

United States

 

CFSP Listed

Tantalum

 

F&X Electro-Materials Ltd.

 

China

 

CFSP Listed

Tantalum

 

FIR Metals & Resource Ltd.

 

China

 

CFSP Listed

Tantalum

 

Global Advanced Metals Aizu

 

Japan

 

CFSP Listed

Tantalum

 

Global Advanced Metals Boyertown

 

United States

 

CFSP Listed

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

H.C. Starck Co., Ltd.

 

Thailand

 

CFSP Listed

Tantalum

 

H.C. Starck GmbH Goslar

 

Germany

 

CFSP Listed

Tantalum

 

H.C. Starck GmbH Laufenburg

 

Germany

 

CFSP Listed

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

Germany

 

CFSP Listed

Tantalum

 

H.C. Starck Inc.

 

United States

 

CFSP Listed

Tantalum

 

H.C. Starck Ltd.

 

Japan

 

CFSP Listed

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

 

CFSP Listed

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

United States

 

CFSP Listed

 

11



 

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

KEMET Blue Metals

 

Mexico

 

CFSP Listed

Tantalum

 

KEMET Blue Powder

 

United States

 

CFSP Listed

Tantalum

 

King-Tan Tantalum Industry Ltd.

 

China

 

CFSP Listed

Tantalum

 

LSM Brasil S.A.

 

Brazil

 

CFSP Listed

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

India

 

CFSP Listed

Tantalum

 

Mineração Taboca S.A.

 

Brazil

 

CFSP Listed

Tantalum

 

Mitsui Mining & Smelting

 

Japan

 

CFSP Listed

Tantalum

 

Molycorp Silmet A.S.

 

Estonia

 

CFSP Listed

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Plansee SE Liezen

 

Austria

 

CFSP Listed

Tantalum

 

Plansee SE Reutte

 

Austria

 

CFSP Listed

Tantalum

 

QuantumClean

 

United States

 

CFSP Listed

Tantalum

 

Resind Indústria e Comércio Ltda.

 

Brazil

 

CFSP Listed

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

 

CFSP Listed

Tantalum

 

Taki Chemicals

 

Japan

 

CFSP Listed

Tantalum

 

Telex Metals

 

United States

 

CFSP Listed

Tantalum

 

Tranzact, Inc.

 

United States

 

CFSP Listed

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

 

CFSP Listed

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

China

 

CFSP Listed

Tantalum

 

Zhuzhou Cemented Carbide

 

China

 

CFSP Listed

Tin

 

Alpha

 

United States

 

CFSP Listed

Tin

 

An Thai Minerals Company Limited

 

Vietnam

 

Active

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Vietnam

 

Active

Tin

 

China Tin Group Co., Ltd.

 

China

 

CFSP Listed

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

China

 

Unknown

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

Brazil

 

CFSP Listed

Tin

 

CV Ayi Jaya

 

Indonesia

 

CFSP Listed

Tin

 

CV Dua Sekawan

 

Indonesia

 

Active

Tin

 

CV Gita Pesona

 

Indonesia

 

CFSP Listed

 

12



 

Tin

 

CV Serumpun Sebalai

 

Indonesia

 

CFSP Listed

Tin

 

CV United Smelting

 

Indonesia

 

CFSP Listed

Tin

 

CV Venus Inti Perkasa

 

Indonesia

 

CFSP Listed

Tin

 

Dowa

 

Japan

 

CFSP Listed

Tin

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

 

Vietnam

 

Active

Tin

 

Elmet S.L.U. (Metallo Group)

 

Spain

 

CFSP Listed

Tin

 

EM Vinto

 

Bolivia

 

CFSP Listed

Tin

 

Estanho de Rondônia S.A.

 

Brazil

 

Unknown

Tin

 

Feinhütte Halsbrücke GmbH

 

Germany

 

Active

Tin

 

Fenix Metals

 

Poland

 

CFSP Listed

Tin

 

Gejiu Jinye Mineral Company

 

China

 

Active

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

 

Active

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

 

CFSP Listed

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

 

Unknown

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

 

Unknown

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

China

 

Unknown

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

China

 

CFSP Listed

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

China

 

Unknown

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

Brazil

 

CFSP Listed

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

 

CFSP Listed

Tin

 

Melt Metais e Ligas S/A

 

Brazil

 

CFSP Listed

Tin

 

Metallic Resources, Inc.

 

United States

 

CFSP Listed

Tin

 

Metallo-Chimique N.V.

 

Belgium

 

CFSP Listed

Tin

 

Mineração Taboca S.A.

 

Brazil

 

CFSP Listed

Tin

 

Minsur

 

Peru

 

CFSP Listed

Tin

 

Mitsubishi Materials Corporation

 

Japan

 

CFSP Listed

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

China

 

Unknown

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Vietnam

 

Active

Tin

 

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

 

Thailand

 

CFSP Listed

Tin

 

O.M. Manufacturing Philippines, Inc.

 

Philippines

 

CFSP Listed

Tin

 

Operaciones Metalurgical S.A.

 

Bolivia

 

CFSP Listed

 

13



 

Tin

 

Phoenix Metal Ltd.*

 

Rwanda

 

Active

Tin

 

PT Aries Kencana Sejahtera

 

Indonesia

 

CFSP Listed

Tin

 

PT Artha Cipta Langgeng

 

Indonesia

 

CFSP Listed

Tin

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

 

CFSP Listed

Tin

 

PT Babel Inti Perkasa

 

Indonesia

 

CFSP Listed

Tin

 

PT Bangka Prima Tin

 

Indonesia

 

CFSP Listed

Tin

 

PT Bangka Putra Karya*

 

Indonesia

 

Unknown

Tin

 

PT Bangka Tin Industry

 

Indonesia

 

CFSP Listed

Tin

 

PT Belitung Industri Sejahtera

 

Indonesia

 

CFSP Listed

Tin

 

PT BilliTin Makmur Lestari

 

Indonesia

 

CFSP Listed

Tin

 

PT Bukit Timah

 

Indonesia

 

CFSP Listed

Tin

 

PT Cipta Persada Mulia

 

Indonesia

 

CFSP Listed

Tin

 

PT DS Jaya Abadi

 

Indonesia

 

CFSP Listed

Tin

 

PT Eunindo Usaha Mandiri

 

Indonesia

 

CFSP Listed

Tin

 

PT Inti Stania Prima

 

Indonesia

 

CFSP Listed

Tin

 

PT Justindo

 

Indonesia

 

CFSP Listed

Tin

 

PT Karimun Mining

 

Indonesia

 

Active

Tin

 

PT Mitra Stania Prima

 

Indonesia

 

CFSP Listed

Tin

 

PT Panca Mega Persada

 

Indonesia

 

CFSP Listed

Tin

 

PT Prima Timah Utama

 

Indonesia

 

CFSP Listed

Tin

 

PT Refined Bangka Tin

 

Indonesia

 

CFSP Listed

Tin

 

PT Sariwiguna Binasentosa

 

Indonesia

 

CFSP Listed

Tin

 

PT Seirama Tin Investment*

 

Indonesia

 

Unknown

Tin

 

PT Stanindo Inti Perkasa

 

Indonesia

 

CFSP Listed

Tin

 

PT Sukses Inti Makmur

 

Indonesia

 

CFSP Listed

Tin

 

PT Sumber Jaya Indah

 

Indonesia

 

CFSP Listed

Tin

 

PT Timah (Persero) Tbk Kundur

 

Indonesia

 

CFSP Listed

Tin

 

PT Timah (Persero) Tbk Mentok

 

Indonesia

 

CFSP Listed

Tin

 

PT Tinindo Inter Nusa

 

Indonesia

 

CFSP Listed

Tin

 

PT Tirus Putra Mandiri

 

Indonesia

 

Unknown

Tin

 

PT Tommy Utama

 

Indonesia

 

CFSP Listed

Tin

 

PT Wahana Perkit Jaya

 

Indonesia

 

CFSP Listed

Tin

 

Resind Indústria e Comércio Ltda.

 

Brazil

 

CFSP Listed

Tin

 

Rui Da Hung

 

Taiwan

 

CFSP Listed

Tin

 

Soft Metais Ltda.

 

Brazil

 

CFSP Listed

Tin

 

Thaisarco

 

Thailand

 

CFSP Listed

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Vietnam

 

Active

Tin

 

VQB Mineral and Trading Group JSC

 

Vietnam

 

CFSP Listed

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

Brazil

 

CFSP Listed

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

 

Active

 

14



 

Tin

 

Yunnan Tin Group (Holding) Company Limited

 

China

 

CFSP Listed

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

Japan

 

CFSP Listed

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Vietnam

 

CFSP Listed

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

China

 

Active

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

China

 

Active

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

 

China

 

Unknown

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

China

 

Active

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Global Tungsten & Powders Corp.

 

United States

 

CFSP Listed

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

H.C. Starck GmbH

 

Germany

 

CFSP Listed

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

 

CFSP Listed

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

 

Active

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

 

China

 

Active

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

 

CFSP Listed

Tungsten

 

Japan New Metals Co., Ltd.

 

Japan

 

CFSP Listed

Tungsten

 

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

 

China

 

Active

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

 

China

 

Unknown

 

15



 

Tungsten

 

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

 

China

 

Active

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

 

Active

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

China

 

Active

Tungsten

 

Kennametal Fallon

 

United States

 

Active

Tungsten

 

Kennametal Huntsville

 

United States

 

CFSP Listed

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Niagara Refining LLC

 

United States

 

CFSP Listed

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

Vietnam

 

CFSP Listed

Tungsten

 

Pobedit, JSC

 

Russian Federation

 

Active

Tungsten

 

Sanher Tungsten Vietnam Co., Ltd.

 

Vietnam

 

Active

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Vietnam

 

CFSP Listed

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

Vietnam

 

CFSP Listed

Tungsten

 

Wolfram Bergbau und Hütten AG

 

Austria

 

CFSP Listed

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

 

CFSP Listed

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

China

 

CFSP Listed

 


*IBM believes the SOR is no longer in operation as of December 31, 2015; for purposes of calendar year 2015 reporting the SOR is included in this appendix.

 

16



 

Appendix B

 

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

 

Angola

 

Madagascar

Australia

 

Malaysia

Austria

 

Mongolia

Belgium

 

Mozambique

Bolivia

 

Myanmar

Brazil

 

Namibia

Burundi

 

Netherlands

Cambodia

 

New Zealand

Canada

 

Nigeria

Central African Republic

 

Peru

Chile

 

Poland

China

 

Portugal

Colombia

 

Republic of Congo

Côte D’Ivoire

 

Russia

Czech Republic

 

Rwanda

Djibouti

 

Sierra Leone

Egypt

 

Singapore

Estonia

 

Slovakia

Ethiopia

 

South Africa

France

 

South Korea

Germany

 

Spain

Ghana

 

Suriname

Guyana

 

Switzerland

Hungary

 

Taiwan

India

 

Tanzania

Indonesia

 

Thailand

Ireland

 

Uganda

Israel

 

United Kingdom

Japan

 

United States of America

Kazakhstan

 

Uzbekistan

Kenya

 

Vietnam

Kyrgyz Republic

 

Zambia

Laos

 

Zimbabwe

Luxembourg

 

 

 

17




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