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May 27, 2022 4:28 PM EDT

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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.)

 

ONE NEW ORCHARD ROAD

ARMONK, NEW YORK

 

 

10504

(Address of principal executive offices)   (Zip Code)

 

FRANK SEDLARCIK
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:

 

xRule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021.

 

 

 

 

 

 

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, 2021 to December 31, 2021.

 

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

 

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/ Ric Lewis   May 27, 2022  
Name: Ric Lewis   Date  
Title: Senior Vice President, IBM Infrastructure      

 

3

 

 

 

Exhibit 1.01

 

INTERNATIONAL BUSINESS MACHINES CORPORATION

Conflict Minerals Report

For the reporting period from January 1, 2021 through December 31, 2021

 

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, 2021 through December 31, 2021 (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 Responsible Minerals Program

 

IBM’s Responsible Minerals Program, which includes IBM’s Conflict Minerals Initiative and Cobalt Initiative, is run by full-time, 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 in support of products listed in this report. IBM is highly committed to source tin, tantalum, tungsten, and gold (3TG) and other minerals responsibly. In support of its established goals, IBM continued development and growth of the Responsible Sourcing Blockchain Network (RSBN), Responsible Minerals supply chain education, smelter or refiner (SOR) outreach, and collaboration with other companies.

 

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. IBM products include the following categories that were manufactured or contracted to be manufactured by IBM in 2021:

 

Servers: the portfolio includes IBM zSystems, the premiere transaction processing Mainframe platform with leading security, resilience, and scale, using z/OS operating software system as well as LinuxONE, and Power Systems, a high-performance line of servers, designed and engineered for big data, and AI-enabled workload, which are optimized for hybrid cloud and Linux.

 

Storage Systems: a broad range of storage hardware and software-defined offerings, including Z-attach and distributed flash, tape solutions, software-defined storage controllers, data protection software, and network-attach storage.

 

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).

 

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 IBM 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 upholds a high standard of due diligence to meet legal requirements and internationally accepted standards, with the ultimate goal of establishing and maintaining a responsible supply chain for 3TG. IBM aligns its Responsible Minerals Policy with the Organisation for Economic Co-operation and Development (OECD) Guidance for Conflict-Affected and High-Risk Areas (CAHRAs). As 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 focus minerals are sourced responsibly. RMAP, LBMA, RJC CoC, and TI-CMC are recognized by industry as third-party validation schemes. Independently, IBM also conducts further due diligence on SORs only processing 3TG recycled scrap as a part of our sustainability commitment.

 

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

 

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 3TG Program.

The IBM Responsible Minerals team reports to IBM’s Chief Procurement Officer and this Report is reviewed by IBM’s Senior Vice President of IBM Systems. During the year, we reported to IBM’s Global Procurement management on topics such as CMRT collection efforts, in-scope supplier conflict-free progress, SOR risk mitigation, and driving identified SORs toward RMAP, LBMA, RJC CoC, or TI-CMC engagement.

Implemented IBM Responsible Minerals Policy to include 3TG from the Covered Countries and CAHRAs. This policy outlines IBM’s dedication to ethical and responsible minerals sourcing due diligence consistent with the OECD Guidance. This policy also emphasizes IBM’s expectations with its hardware suppliers for sourcing minerals responsibly. Our policy is publicly available and can be found at https://www.ibm.com/procurement/responsibleminerals

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.

Included Responsible Minerals requirements in standard contract templates: All IBM’s hardware suppliers are required to sign a contract agreement to only source minerals responsibly, in alignment with IBM’s Responsible Minerals Policy.

 

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

Used RMI Compliant Smelter Sourcing Information and other research to ascertain whether any Conflict Minerals in IBM 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.

Collaborated and/or supported suppliers within multiple layers of the supply chain to trace the high-risk SORs

 

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

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. Acceptance was given to SORs meeting IBM’s requirements of being a refiner of 100% recycled 3TG material.

IBM requested suppliers to promptly transition from SORs that had not been validated conformant by a recognized third-party assessment scheme.

Extended Responsible Minerals support beyond first tier suppliers. We continued one-on-one training and joint outreach for new suppliers or personnel.

Collaborated with companies across the supply chain and/or industry groups to establish an ethical and responsible minerals sourcing supply chain.

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

Implemented Responsible Sourcing Blockchain Network (RSBN) to improve 3TG and other minerals’ supply chain transparency, traceability, and accountability. IBM expects that RSBN will eventually contribute to the improvement of living conditions and economic diversity of mining communities.

 

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

Supported RMI initiatives through participation in RMI workgroups.

Transitioned from SORs that refused to participate or did not complete corrective action plans relating to RMAP re-audits.

Since its inception, supported RMI’s RMAP accreditation of SORs engaged in Responsible 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 400 members in RMI, the network of accredited SORs has grown considerably allowing for downstream companies to utilize greater percentages of third-party verified 3TG.

Single point of contact for select SORs, without accredited designation, acting 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 teleconferences with SORs 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.

 

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 2020 Conflict Minerals Report on IBM’s Responsible Minerals website https://www.ibm.com/procurement/responsibleminerals

Included Conflict Minerals progress in IBM’s annual Corporate Responsibility Report.

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

 

Reporting Period Determination and Findings

 

Based on the information obtained through the due diligence process described herein, IBM believes SORs that may be used to process the Conflict Minerals contained in IBM products are listed in Appendix A. The list identifies SORs present at year end 2021. Further, as listed in Appendix B, IBM has reasonably determined the potential countries of origin of the Conflict Minerals in IBM products.

 

The following chart illustrates the composition of 266 SORs in IBM’s supply chain that (as of December 31) were conformant or actively participating in a third-party scheme or were processing 100% recycled scrap.

 

 

 

 

 

IBM’s progress in this area since 2013 is illustrated below and reflects that, at year-end 2021, for the third consecutive period, 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 100% recycled 3TG).

 

Note that for 2013 and 2014, IBM considered conflict-free SORs to be only those conformant with RMAP. From 2015 onward, SORs that were active in a recognized third-party validation scheme (RMAP, LBMA, RJC, and TI-CMC) were added to the conformant category. In 2019 and beyond, the conformant category further includes SORs determined to source 3TG from outside Covered Countries or solely from recycled or scrap sources.

 

 

 

IBM Requirement for Suppliers to be Conflict Free

 

During 2021, 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. 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 Procurement executives monthly along with IBM’s progress toward attaining 100% conformant status. IBM has received CMRTs from 100% of our in-scope suppliers, containing over 99% reporting of the extended supply chain.

 

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 IBM 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 and avoid inclusion of non-validated 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.

 

 

 

As an ardent supporter of Environmental and Social stewardship, IBM continues to grow usage of 3TG SORs processing 100% recycled scrap.

 

Work with RMI members and IBM in-scope suppliers to gain SOR’s commitment for their continued engagement with an RMAP assessment or another recognized validation scheme.

 

Pursue resolution for any future identified SORs in IBM’s supply chain that are not currently validated conformant to one of the recognized assessment schemes.

 

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 versus company-level CMRTs, as company-level CMRTs may include SORs not used in the supply chain for IBM products; use of product-specific CMRTs by in-scope direct suppliers enables IBM to have a more precise list of SORs used in IBM products.

 

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. Eliminate use of any nonconformant SORs prior to introduction of the product to the marketplace.

 

Utilize RSBN to improve the end-to-end supply chain in support of IBM’s Responsible Minerals Policy.

 

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.

 

 

 

Appendix A

 

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

 

SOR Status (as of December 31, 2021):

 

§“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 Smelter: Smelter Name Status
Tantalum AMG Brasil Conformant (RMAP)
Tantalum Changsha South Tantalum Niobium Co., Ltd. Conformant (RMAP)
Tantalum D Block Metals, LLC Conformant (RMAP)
Tantalum Exotech Inc. Conformant (RMAP)
Tantalum F&X Electro-Materials Ltd. Conformant (RMAP)
Tantalum FIR Metals & Resource Ltd. Conformant (RMAP)
Tantalum Global Advanced Metals Aizu Conformant (RMAP)
Tantalum Global Advanced Metals Boyertown Conformant (RMAP)
Tantalum H.C. Starck Hermsdorf GmbH Conformant (RMAP)
Tantalum H.C. Starck Inc. Conformant (RMAP)
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. Conformant (RMAP)
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd. Conformant (RMAP)
Tantalum Jiangxi Tuohong New Raw Material Conformant (RMAP)
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. Conformant (RMAP)
Tantalum Jiujiang Tanbre Co., Ltd. Conformant (RMAP)
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd. Conformant (RMAP)
Tantalum KEMET de Mexico Conformant (RMAP)
Tantalum Metallurgical Products India Pvt., Ltd. Conformant (RMAP)
Tantalum Mineracao Taboca S.A. Conformant (RMAP)
Tantalum Mitsui Mining and Smelting Co., Ltd. Conformant (RMAP)
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. Conformant (RMAP)
Tantalum NPM Silmet AS Conformant (RMAP)
Tantalum QuantumClean Conformant (RMAP)
Tantalum Resind Industria e Comercio Ltda. Conformant (RMAP)
Tantalum RFH Yancheng Jinye New Material Technology Co., Ltd. Conformant (RMAP)

 

 

 

Appendix A (Continued)

 

Metal Smelter: Smelter Name Status
Tantalum Solikamsk Magnesium Works OAO Conformant (RMAP)
Tantalum Taki Chemical Co., Ltd. Conformant (RMAP)
Tantalum TANIOBIS Co., Ltd. Conformant (RMAP)
Tantalum TANIOBIS GmbH Conformant (RMAP)
Tantalum TANIOBIS Japan Co., Ltd. Conformant (RMAP)
Tantalum TANIOBIS Smelting GmbH & Co. KG Conformant (RMAP)
Tantalum Telex Metals Conformant (RMAP)
Tantalum Ulba Metallurgical Plant JSC Conformant (RMAP)
Tantalum Ximei Resources (Guangdong) LIMITED Conformant (RMAP)
Tantalum XinXing HaoRong Electronic Material Co., Ltd. Conformant (RMAP)
Tantalum Yanling Jincheng Tantalum & Niobium Co., Ltd. Conformant (RMAP)
Tin Alpha Conformant (RMAP)
Tin Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. Conformant (RMAP)
Tin Chifeng Dajingzi Tin Industry Co., Ltd. Conformant (RMAP)
Tin China Tin Group Co., Ltd. Conformant (RMAP)
Tin CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda Active
Tin CRM Synergies Active
Tin CV Venus Inti Perkasa Active
Tin Dongguan CiEXPO Environmental Engineering Co., Ltd. Recycled Scrap (IBM)
Tin Dowa Conformant (RMAP)
Tin EM Vinto Conformant (RMAP)
Tin Estanho de Rondonia S.A. Active
Tin Fabrica Auricchio Industria e Comercio Ltda. Conformant (RMAP)
Tin Fenix Metals Conformant (RMAP)
Tin Gejiu Kai Meng Industry and Trade LLC Conformant (RMAP)
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd. Conformant (RMAP)
Tin Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. Conformant (RMAP)
Tin Gejiu Zili Mining And Metallurgy Co., Ltd. Conformant (RMAP)
Tin Guangdong Hanhe Non-Ferrous Metal Co., Ltd. Conformant (RMAP)
Tin HuiChang Hill Tin Industry Co., Ltd. Conformant (RMAP)
Tin Jiangxi New Nanshan Technology Ltd. Conformant (RMAP)
Tin Luna Smelter, Ltd. Conformant (RMAP)
Tin Ma'anshan Weitai Tin Co., Ltd. Conformant (RMAP)
Tin Magnu's Minerais Metais e Ligas Ltda. Conformant (RMAP)
Tin Malaysia Smelting Corporation (MSC) Conformant (RMAP)
Tin Melt Metais e Ligas S.A. Conformant (RMAP)
Tin Metallic Resources, Inc. Conformant (RMAP)
Tin Metallo Belgium N.V. Conformant (RMAP)
Tin Metallo Spain S.L.U. Conformant (RMAP)

 

 

 

Appendix A (Continued)

 

Metal Smelter: Smelter Name Status
Tin Mineracao Taboca S.A. Conformant (RMAP)
Tin Minsur Conformant (RMAP)
Tin Mitsubishi Materials Corporation Conformant (RMAP)
Tin Modeltech Sdn Bhd Recycled Scrap (IBM)
Tin Novosibirsk Processing Plant Ltd. Active
Tin O.M. Manufacturing (Thailand) Co., Ltd. Conformant (RMAP)
Tin O.M. Manufacturing Philippines, Inc. Conformant (RMAP)
Tin Operaciones Metalurgicas S.A. Conformant (RMAP)
Tin PT Artha Cipta Langgeng Conformant (RMAP)
Tin PT ATD Makmur Mandiri Jaya Conformant (RMAP)
Tin PT Babel Inti Perkasa Conformant (RMAP)
Tin PT Babel Surya Alam Lestari Conformant (RMAP)
Tin PT Bangka Serumpun Conformant (RMAP)
Tin PT Bukit Timah Active
Tin PT Cipta Persada Mulia Conformant (RMAP)
Tin PT Masbro Alam Stania Active
Tin PT Menara Cipta Mulia Conformant (RMAP)
Tin PT Mitra Stania Prima Conformant (RMAP)
Tin PT Mitra Sukses Globalindo Active
Tin PT Prima Timah Utama Conformant (RMAP)
Tin PT Rajawali Rimba Perkasa Conformant (RMAP)
Tin PT Refined Bangka Tin Conformant (RMAP)
Tin PT Sariwiguna Binasentosa Conformant (RMAP)
Tin PT Stanindo Inti Perkasa Conformant (RMAP)
Tin PT Sukses Inti Makmur Active
Tin PT Timah Nusantara Active
Tin PT Timah Tbk Kundur Conformant (RMAP)
Tin PT Timah Tbk Mentok Conformant (RMAP)
Tin PT Tinindo Inter Nusa Conformant (RMAP)
Tin Resind Industria e Comercio Ltda. Conformant (RMAP)
Tin Rui Da Hung Conformant (RMAP)
Tin Soft Metais Ltda. Conformant (RMAP)
Tin Super Ligas Active
Tin Thai Nguyen Mining and Metallurgy Co., Ltd. Conformant (RMAP)
Tin Thaisarco Conformant (RMAP)
Tin Tin Smelting Branch of Yunnan Tin Co., Ltd. Active
Tin Tin Technology & Refining Conformant (RMAP)
Tin White Solder Metalurgia e Mineracao Ltda. Conformant (RMAP)
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. Conformant (RMAP)
Tin Yunnan Yunfan Non-ferrous Metals Co., Ltd. Conformant (RMAP)
Tungsten A.L.M.T. Corp. Conformant (RMAP, TI-CMC)

 

 

 

Appendix A (Continued)

 

Metal Smelter: Smelter Name Status
Tungsten ACL Metais Eireli Conformant (RMAP)
Tungsten Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. Active
Tungsten Asia Tungsten Products Vietnam Ltd. Conformant (RMAP)
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten China Molybdenum Tungsten Co., Ltd. Active
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Cronimet Brasil Ltda Conformant (RMAP)
Tungsten Fujian Ganmin RareMetal Co., Ltd. Conformant (RMAP)
Tungsten Fujian Xinlu Tungsten Conformant (RMAP, TI-CMC)
Tungsten Ganzhou Haichuang Tungsten Co., Ltd. Conformant (RMAP)
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. Conformant (RMAP)
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Global Tungsten & Powders Corp. Conformant (RMAP, TI-CMC)
Tungsten Guangdong Xianglu Tungsten Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten H.C. Starck Tungsten GmbH Conformant (RMAP, TI-CMC)
Tungsten Hunan Chenzhou Mining Co., Ltd. Conformant (RMAP)
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Hydrometallurg, JSC Conformant (RMAP, TI-CMC)
Tungsten Japan New Metals Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd. Active
Tungsten JSC "Kirovgrad Hard Alloys Plant" Conformant (RMAP, TI-CMC)
Tungsten Kennametal Fallon Conformant (RMAP, TI-CMC)
Tungsten Kennametal Huntsville Conformant (RMAP, TI-CMC)
Tungsten KGETS Co., Ltd. Conformant (RMAP)
Tungsten Lianyou Metals Co., Ltd. Conformant (RMAP)
Tungsten Malipo Haiyu Tungsten Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Masan High-Tech Materials Conformant (RMAP)
Tungsten Moliren Ltd. Conformant (RMAP, TI-CMC)
Tungsten Niagara Refining LLC Conformant (RMAP, TI-CMC)
Tungsten NPP Tyazhmetprom LLC Active
Tungsten OOO “Technolom” 1 Active
Tungsten OOO “Technolom” 2 Active
Tungsten Philippine Chuangxin Industrial Co., Inc. Conformant (RMAP)
Tungsten TANIOBIS Smelting GmbH & Co. KG Conformant (RMAP, TI-CMC)

 

10 

 

 

Appendix A (Continued)

 

Metal Smelter: Smelter Name Status
Tungsten Unecha Refractory metals plant Conformant (RMAP)
Tungsten Wolfram Bergbau und Hutten AG Conformant (RMAP, TI-CMC)
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Xiamen Tungsten Co., Ltd. Conformant (RMAP, TI-CMC)
Tungsten Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. Conformant (RMAP, TI-CMC)
Gold 8853 S.p.A. Conformant (RJC)
Gold Advanced Chemical Company Conformant (RMAP)
Gold Agosi AG Conformant (RMAP)
Gold Aida Chemical Industries Co., Ltd. Conformant (RMAP)
Gold Al Etihad Gold Refinery DMCC Conformant (RMAP)
Gold Alexy Metals Active
Gold Almalyk Mining and Metallurgical Complex (AMMC) Conformant (LBMA)
Gold AngloGold Ashanti Corrego do Sitio Mineracao Conformant (LBMA)
Gold Argor-Heraeus S.A. Conformant (LBMA, RJC)
Gold Asahi Pretec Corp. Conformant (LBMA)
Gold Asahi Refining Canada Ltd. Conformant (LBMA)
Gold Asahi Refining USA Inc. Conformant (LBMA)
Gold Asaka Riken Co., Ltd. Conformant (RMAP)
Gold Augmont Enterprises Private Limited Active
Gold Aurubis AG Conformant (LBMA)
Gold Bangalore Refinery Conformant (RMAP)
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) Conformant (LBMA)
Gold Boliden AB Conformant (LBMA)
Gold C. Hafner GmbH + Co. KG Conformant (LBMA, RJC)
Gold C.I Metales Procesados Industriales SAS Active
Gold CCR Refinery - Glencore Canada Corporation Conformant (LBMA)
Gold Cendres + Metaux S.A. Conformant (RJC)
Gold Chimet S.p.A. Conformant (LBMA)
Gold Chugai Mining Conformant (RMAP)
Gold Daye Non-Ferrous Metals Mining Ltd. Conformant (LBMA)
Gold DODUCO Contacts and Refining GmbH Conformant (RMAP)
Gold Dowa Conformant (RMAP)
Gold DSC (Do Sung Corporation) Conformant (RMAP)
Gold Eco-System Recycling Co., Ltd. East Plant Conformant (RMAP)
Gold Eco-System Recycling Co., Ltd. North Plant Conformant (RMAP)
Gold Eco-System Recycling Co., Ltd. West Plant Conformant (RMAP)
Gold Emirates Gold DMCC Conformant (RMAP)
Gold Geib Refining Corporation Conformant (RMAP)
Gold GGC Gujrat Gold Centre Pvt. Ltd. Active
Gold Gold Refinery of Zijin Mining Group Co., Ltd. Conformant (LBMA)
Gold Great Wall Precious Metals Co., Ltd. of CBPM Conformant (LBMA)

 

11 

 

 

Appendix A (Continued)

 

Metal Smelter: Smelter Name Status
Gold Heimerle + Meule GmbH Conformant (LBMA)
Gold Heraeus Germany GmbH Co. KG Conformant (LBMA)
Gold Heraeus Metals Hong Kong Ltd. Conformant (LBMA, RJC)
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. Conformant (LBMA)
Gold Ishifuku Metal Industry Co., Ltd. Conformant (LBMA)
Gold Istanbul Gold Refinery Conformant (LBMA)
Gold Italpreziosi Conformant (LBMA, RJC)
Gold Japan Mint Conformant (LBMA)
Gold Jiangxi Copper Co., Ltd. Conformant (LBMA)
Gold JSC Novosibirsk Refinery Conformant (LBMA)
Gold JSC Uralelectromed Conformant (LBMA)
Gold JX Nippon Mining & Metals Co., Ltd. Conformant (LBMA)
Gold Kazzinc Conformant (LBMA)
Gold Kennecott Utah Copper LLC Conformant (LBMA)
Gold KGHM Polska Miedz Spolka Akcyjna Conformant (LBMA)
Gold Kojima Chemicals Co., Ltd. Conformant (RMAP)
Gold Korea Zinc Co., Ltd. Conformant (RMAP)
Gold L'Orfebre S.A. Conformant (RMAP)
Gold LS-NIKKO Copper Inc. Conformant (LBMA)
Gold LT Metal Ltd. Conformant (RMAP)
Gold Marsam Metals Conformant (RMAP)
Gold Materion Conformant (RMAP)
Gold Matsuda Sangyo Co., Ltd. Conformant (LBMA)
Gold Metal Concentrators SA (Pty) Ltd. Conformant (RJC)
Gold Metalor Technologies (Hong Kong) Ltd. Conformant (LBMA, RJC)
Gold Metalor Technologies (Singapore) Pte., Ltd. Conformant (LBMA, RJC)
Gold Metalor Technologies (Suzhou) Ltd. Conformant (LBMA, RJC)
Gold Metalor Technologies S.A. Conformant (LBMA, RJC)
Gold Metalor USA Refining Corporation Conformant (LBMA, RJC)
Gold Metalurgica Met-Mex Penoles S.A. De C.V. Conformant (LBMA)
Gold Mitsubishi Materials Corporation Conformant (LBMA)
Gold Mitsui Mining and Smelting Co., Ltd. Conformant (LBMA)
Gold MMTC-PAMP India Pvt., Ltd. Conformant (LBMA)
Gold Modeltech Sdn Bhd Recycled Scrap (IBM)
Gold Moscow Special Alloys Processing Plant Conformant (LBMA)
Gold Nadir Metal Rafineri San. Ve Tic. A.S. Conformant (LBMA)
Gold Navoi Mining and Metallurgical Combinat Conformant (LBMA)
Gold NH Recytech Company Conformant (RMAP)
Gold Nihon Material Co., Ltd. Conformant (LBMA)
Gold Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH Conformant (RJC)

 

12 

 

 

Appendix A (Continued)

 

Metal Smelter: Smelter Name Status
Gold Ohura Precious Metal Industry Co., Ltd. Conformant (RMAP)
Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) Conformant (LBMA)
Gold PAMP S.A. Conformant (LBMA)
Gold Planta Recuperadora de Metales SpA Conformant (RMAP)
Gold Prioksky Plant of Non-Ferrous Metals Conformant (LBMA)
Gold PT Aneka Tambang (Persero) Tbk Conformant (LBMA)
Gold PX Precinox S.A. Conformant (LBMA)
Gold Rand Refinery (Pty) Ltd. Conformant (LBMA)
Gold Remondis PMR B.V. Conformant (RMAP)
Gold Royal Canadian Mint Conformant (LBMA)
Gold SAAMP Conformant (RJC)
Gold Safimet S.p.A Conformant (RJC)
Gold SAFINA A.S. Conformant (RMAP)
Gold Samduck Precious Metals Conformant (RMAP)
Gold Sancus ZFS (L’Orfebre, SA) Active
Gold SAXONIA Edelmetalle GmbH Conformant (RMAP)
Gold SEMPSA Joyeria Plateria S.A. Conformant (LBMA, RJC)
Gold Shandong Gold Smelting Co., Ltd. Conformant (LBMA)
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd. Conformant (LBMA)
Gold Sichuan Tianze Precious Metals Co., Ltd. Conformant (LBMA)
Gold Singway Technology Co., Ltd. Conformant (RMAP)
Gold SOE Shyolkovsky Factory of Secondary Precious Metals Conformant (LBMA)
Gold Solar Applied Materials Technology Corp. Conformant (LBMA)
Gold Sumitomo Metal Mining Co., Ltd. Conformant (LBMA)
Gold SungEel HiMetal Co., Ltd. Conformant (RMAP)
Gold T.C.A S.p.A Conformant (LBMA)
Gold Tanaka Kikinzoku Kogyo K.K. Conformant (LBMA)
Gold Tokuriki Honten Co., Ltd. Conformant (LBMA)
Gold TOO Tau-Ken-Altyn Conformant (LBMA)
Gold Torecom Conformant (RMAP)
Gold Umicore Precious Metals Thailand Conformant (RJC)
Gold Umicore S.A. Business Unit Precious Metals Refining Conformant (LBMA)
Gold United Precious Metal Refining, Inc. Conformant (RMAP)
Gold Valcambi S.A. Conformant (LBMA, RJC)
Gold WEEERefining Active
Gold Western Australian Mint (T/a The Perth Mint) Conformant (LBMA)
Gold WIELAND Edelmetalle GmbH Conformant (RJC)
Gold Yamakin Co., Ltd. Conformant (RMAP)
Gold Yokohama Metal Co., Ltd. Conformant (RMAP)
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation Conformant (LBMA)

 

13 

 

 

Appendix B

 

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

(Based on RMI, LBMA, RJC, and TI-CMC accreditation source data)

 

IBM RCOI Data 2021

Country of Origin

(Alphabetical List) - From

RMAP, LBMA, RJC, and

TI-CMC due diligence

Material Origin

Country of Origin

(Alphabetical List) - From

RMAP, LBMA, RJC, and

TI-CMC due diligence

Material Origin
Andorra Recycled Scrap Cuba* Mined Ores
Angola Recycled Scrap Curacao Recycled Scrap
Antigua and Barbuda Recycled Scrap Cyprus Mined Ores & Recycled Scrap
Argentina Mined Ores & Recycled Scrap Czechia Recycled Scrap
Armenia Mined Ores & Recycled Scrap Denmark Recycled Scrap
Australia Mined Ores & Recycled Scrap Dominican Republic Mined Ores & Recycled Scrap
Austria Mined Ores & Recycled Scrap Ecuador Mined Ores & Recycled Scrap
Azerbaijan Mined Ores Egypt Recycled Scrap
Bahamas Recycled Scrap El Salvador Recycled Scrap
Bahrain Recycled Scrap Eritrea Mined Ores
Bangladesh Recycled Scrap Estonia Recycled Scrap
Barbados Recycled Scrap Ethiopia Mined Ores
Belarus Recycled Scrap Fiji Mined Ores
Belgium Mined Ores & Recycled Scrap Finland Mined Ores & Recycled Scrap
Benin Mined Ores & Recycled Scrap France Mined Ores & Recycled Scrap
Bolivia (Plurinational State of) Mined Ores & Recycled Scrap Gabon Recycled Scrap
Bosnia & Herzegovina Recycled Scrap Georgia Mined Ores & Recycled Scrap
Botswana Mined Ores Germany Mined Ores & Recycled Scrap
Brazil Mined Ores & Recycled Scrap Ghana Mined Ores & Recycled Scrap
Bulgaria Mined Ores & Recycled Scrap Greece Mined Ores & Recycled Scrap
Burkina Faso Mined Ores & Recycled Scrap Grenada Recycled Scrap
Burundi Mined Ores Guatemala Mined Ores & Recycled Scrap
Cameroon Recycled Scrap Guernsey Recycled Scrap
Canada Mined Ores & Recycled Scrap Guinea Mined Ores & Recycled Scrap
Cayman Islands Recycled Scrap Guyana Mined Ores
Chile Mined Ores & Recycled Scrap Haiti Recycled Scrap
China Mined Ores & Recycled Scrap Honduras Mined Ores & Recycled Scrap
Colombia Mined Ores & Recycled Scrap Hong Kong Recycled Scrap
Congo, Democratic Republic of the Mined Ores & Recycled Scrap Hungary Recycled Scrap
Costa Rica Mined Ores & Recycled Scrap Iceland Recycled Scrap
Cote d'Ivoire Mined Ores & Recycled Scrap India Mined Ores & Recycled Scrap
Croatia Recycled Scrap Indonesia Mined Ores & Recycled Scrap
Ireland Recycled Scrap Netherlands Recycled Scrap

 

14 

 

 

Appendix B (Continued)

 

IBM RCOI Data 2021

Country of Origin

(Alphabetical List) - From

RMAP, LBMA, RJC, and

TI-CMC due diligence

Material Origin

Country of Origin

(Alphabetical List) - From

RMAP, LBMA, RJC, and

TI-CMC due diligence

Material Origin
Israel Recycled Scrap New Zealand Mined Ores & Recycled Scrap
Italy Recycled Scrap Nicaragua Mined Ores
Japan Mined Ores & Recycled Scrap Nigeria Mined Ores & Recycled Scrap
Jordan Mined Ores & Recycled Scrap Norway Mined Ores & Recycled Scrap
Kazakhstan Mined Ores & Recycled Scrap Oman Mined Ores
Kenya Mined Ores & Recycled Scrap Pakistan Recycled Scrap
Krygyzstan Mined Ores Panama Recycled Scrap
Kuwait Recycled Scrap Papua New Guinea Mined Ores & Recycled Scrap
Kyrgyzstan Recycled Scrap Peru Mined Ores & Recycled Scrap
Laos Mined Ores & Recycled Scrap Philippines Mined Ores & Recycled Scrap
Latvia Recycled Scrap Poland Recycled Scrap
Lebanon Recycled Scrap Portugal Mined Ores & Recycled Scrap
Liberia Mined Ores Puerto Rico Mined Ores & Recycled Scrap
Libya Recycled Scrap Qatar Recycled Scrap
Liechtenstein Recycled Scrap Romania Recycled Scrap
Lithuania Recycled Scrap Russian Federation Mined Ores & Recycled Scrap
Luxembourg Recycled Scrap Rwanda Mined Ores
Macau Recycled Scrap Saint Kitts and Nevis Recycled Scrap
Madagascar Mined Ores San Marino Recycled Scrap
Malaysia Mined Ores & Recycled Scrap Saudi Arabia Mined Ores & Recycled Scrap
Mali Mined Ores Senegal Mined Ores & Recycled Scrap
Malta Recycled Scrap Serbia Mined Ores & Recycled Scrap
Mauritania Mined Ores Sierra Leone Mined Ores
Mexico Mined Ores & Recycled Scrap Singapore Recycled Scrap
Monaco Recycled Scrap Sint Maarten Recycled Scrap
Mongolia Mined Ores Slovakia Mined Ores & Recycled Scrap
Montenegro Mined Ores Solomon Islands Mined Ores
Morocco Mined Ores & Recycled Scrap South Africa Mined Ores & Recycled Scrap
Mozambique Mined Ores South Korea Mined Ores & Recycled Scrap
Myanmar Mined Ores Spain Mined Ores & Recycled Scrap
Namibia Mined Ores Sri Lanka Recycled Scrap
St Lucia Recycled Scrap Turks and Caicos Recycled Scrap
St Vincent and Grenadines Recycled Scrap Uganda Mined Ores
Sudan* Mined Ores & Recycled Scrap Ukraine Recycled Scrap
Suriname Mined Ores & Recycled Scrap United Arab Emirates Recycled Scrap
Swaziland Mined Ores & Recycled Scrap United Kingdom Mined Ores & Recycled Scrap

 

15 

 

 

Appendix B (Continued)

 

IBM RCOI Data 2021

Country of Origin

(Alphabetical List) - From

RMAP, LBMA, RJC, and

TI-CMC due diligence

Material Origin

Country of Origin

(Alphabetical List) - From

RMAP, LBMA, RJC, and

TI-CMC due diligence

Material Origin
Sweden Mined Ores & Recycled Scrap United States of America Mined Ores & Recycled Scrap
Switzerland Recycled Scrap Uruguay Mined Ores & Recycled Scrap
Taiwan Mined Ores & Recycled Scrap Uzbekistan Mined Ores & Recycled Scrap
Tajikistan Mined Ores & Recycled Scrap Venezuela* Mined Ores & Recycled Scrap
Tanzania Mined Ores & Recycled Scrap Vietnam Mined Ores & Recycled Scrap
Thailand Mined Ores & Recycled Scrap Virgin Islands Recycled Scrap
Togo Recycled Scrap Yemen Recycled Scrap
Trinidad and Tobago Recycled Scrap Zambia Mined Ores
Tunisia Recycled Scrap Zimbabwe Mined Ores & Recycled Scrap
Turkey Mined Ores & Recycled Scrap    

 

* RMI and other accreditation source data identified Cuba, 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 

 



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