Exhibit 1.02
INTERNATIONAL BUSINESS MACHINES CORPORATION
Conflict Minerals Report
For the reporting period from January 1, 2013 to December 31, 2013
This Conflict Minerals Report (the “Report”) of International Business Machines Corporation (the “Company” or “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, 2013 to December 31, 2013 (the “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, which are collectively referred to in this Report as the “Conflict Minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. The “Covered 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. As described in this Report, Conflict Minerals are necessary to the functionality or production of certain products that the Company’s operations manufacture or contract to manufacture.
Description of the Company’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 the Company; and (iii) for which the manufacture was completed during the Reporting Period. These products, which are referred to in this Report collectively as the “Covered Products,” include the following product categories that are manufactured or contracted to be manufactured by the Company’s Systems and Technology Group:
(1) Systems: a range of general purpose and integrated systems designed and optimized for specific business, public and scientific computing needs. These systems—System z, Power Systems and System x—are typically the core technology in data centers that provide required infrastructure for business and institutions.
(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 disk and tape storage systems and software, including Flash storage and solutions.
(3) Microelectronics: semiconductor design and manufacturing primarily for use in the Company’s systems and storage products, as well as delivering semiconductors and related services to external clients.
The Company is not a direct purchaser of ore or unrefined minerals and is several tiers “downstream” from the smelters or refiners (the “SORs”) of such minerals. SORs are at the point in the supply chain where ores, concentrates and/or scrap material are converted to a metal. IBM, like many downstream companies, is positioned in the supply chain between SORs and consumers and generally does not have direct business relationships with SORs or visibility to the extraction and movement of Conflict Minerals between SORs and upstream entities, increasing the difficulty of determining the origin of the Conflict Minerals in the Covered Products and, as a result, the Company’s reliance on industry processes and information from its suppliers.
Due Diligence Process
The Company has conducted a good faith reasonable country of origin inquiry regarding the Conflict Minerals. This good faith reasonable country of origin inquiry was reasonably 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. The Company also exercised due diligence on the source and chain of custody of the Conflict Minerals. The Company’s due diligence measures for all of its Conflict Minerals have been designed to conform in all material respects to the framework in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas, including the related supplements pertaining to downstream companies.
Under IBM’s Conflict Minerals standard, which was created and released in August 2011, IBM’s suppliers and, in turn, their suppliers are expected to adhere to the Electronic Industry Citizenship Coalition (“EICC”) code of conduct and only source minerals from responsible sources. The standard also reflects the Company’s desire to participate in industry initiatives and to create and deploy supply chain verification processes that confirm that the minerals in the Company’s supply chain come from responsible sources. This standard has been communicated to the Company’s upstream suppliers and posted on its website at www.ibm.com/conflictminerals.
The Company’s due diligence design reflects the principles of IBM’s Conflict Minerals standard and that IBM is a downstream company. The Company’s reasonable country of origin inquiry and due diligence process, including its efforts to determine the mine or location of origin with the greatest possible specificity, leveraged multiple industry processes and tools, and centered on the EICC’s Conflict-Free Smelter Program (“CFSP”), an initiative in which an independent third party audits SOR procurement and tolling activities and determines if the SOR demonstrated that all of the Conflict Minerals they processed originated from “conflict free” sources. The program aims to enable companies to source conflict-free minerals and consists of a review at the SORs site(s) to evaluate company policies and implementation, and a complete material analysis aimed at demonstrating that the sources of all Conflict Minerals procured by the SOR site are conflict free.
Specifically, to determine the origin of any Conflict Minerals used in the Covered Products, the Company undertook the following actions:
· Identified in-scope direct suppliers to IBM for its Covered Products;
· Conveyed conflict minerals information to these suppliers from the IBM Global Procurement and EICC websites;
· Surveyed the direct in-scope suppliers, representing approximately 90% of the Company’s global production expenditures associated with Systems, Storage, and Microelectronics, using the EICC/GeSI Conflict Minerals Reporting Template (“CMRT”) to identify their SORs;
· Compared the SORs identified by suppliers to the CFSP list of compliant smelters to ascertain the “conflict free” status of the SORs in the Company’s supply chain; and
· Assessed country of origin information derived from the CFSP to ascertain whether any Conflict Minerals in the Covered Products originated in the Covered Countries.
Based on the information that was provided by the Company’s suppliers and otherwise obtained through the due diligence process described above, the Company believes that, to the extent reasonably determinable by the Company, the facilities that were used to process the Conflict Minerals contained in the Covered Products are listed in Appendix A. Furthermore, based on the information obtained pursuant to the due diligence process described above, the Company has reasonably determined that the countries of origin of the Conflict Minerals in the Covered Products are those listed in Appendix A.
Reporting Period Determination
After exercising the due diligence described above, the Company was unable to determine whether or not all of the Covered Products qualify as “DRC conflict free,” as defined under the Rule.
Conflict Mineral Risk Mitigation
The Company 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 Company’s products finance or benefit armed groups in the Covered Countries:
· 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 sourced minerals in the extended supply chain;
· Continue to contribute to and remain aware of developments in conflict minerals due diligence processes through continued participation in the Conflict Free
Sourcing Initiative (“CFSI”) and apply that knowledge to the Company’s Conflict Minerals risk assessment and mitigation process;
· Work in concert with CFSI members and 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;
· Support Conflict Minerals Reporting Templates through review, feedback and validation of IBM supplier responses using the most current smelter information; and
· Influence upstream sourcing practices to encourage the usage of CFSP compliant SORs.
Appendix A
Table 1: List of Facilities Processing Tantalum for Covered Products
|
|
|
| CFSP Status |
| Covered Products | ||
Conflict Mineral |
| SOR |
| (December 31, 2013) |
| Systems & Storage |
| Microelectronics |
Tantalum |
| Conghua Tantalum and Niobium Smeltry |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Duoluoshan |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Exotech Inc. |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| F&X |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| Gannon & Scott |
| Unknown |
| X |
|
|
Tantalum |
| Global Advanced Metals |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| H.C. Starck GmbH |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| Hi-Temp |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| JiuJiang JinXin Nonferrous Metals Co. Ltd. |
| Unknown |
| X |
|
|
Tantalum |
| JiuJiang Tanbre Co. Ltd. |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Kemet Blue Powder |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| King-Tan Tantalum Industry Ltd |
| Unknown |
| X |
|
|
Tantalum |
| LMS Brasil S.A. |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Mettalurgical Products India Pvt. Ltd. (MPIL) |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Mitsui Mining & Smelting |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| Ningxia Orient Tantalum Industry Co., Ltd. |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| Plansee |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| RFH |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Solikamsk Metal Works |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Taki Chemicals |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Tantalite Resources |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Telex |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Tantalum |
| Ulba |
| CFSP Compliant Tantalum Smelter |
| X |
| X |
Tantalum |
| Zhuzhou Cement Carbide |
| CFSP Compliant Tantalum Smelter |
| X |
|
|
Mineral sources for CFSP Compliant SORs include: Recycled and scrap, level 1,2 and 3 countries
See Table 5 for definition of Level 1, 2 and 3 countries
Table 2: List of Facilities Processing Tungsten for Covered Products
|
|
|
| CFSP Status |
| Covered Products | ||
Conflict Mineral |
| SOR |
| (December 31, 2013) |
| Systems & Storage |
| Microelectronics |
Tungsten |
| A.L.M.T. Corp. |
| Unknown |
| X |
| X |
Tungsten |
| ATI Tungsten Materials |
| Unknown |
| X |
| X |
Tungsten |
| Chaozhou Xianglu Tungsten Industry Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| China Minmetals Nonferrous Metals Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Chongyi Zhangyuan Tungsten Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Dayu Weiliang Tungsten Co., Ltd. |
| Unknown |
| X |
| X |
Tungsten |
| Fujian Jinxin Tungsten Co., Ltd. |
| Unknown |
| X |
| X |
Tungsten |
| Ganzhou Grand Sea W & Mo Group Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Global Tungsten & Powders Corp |
| Unknown |
| X |
| X |
Tungsten |
| HC Starck GmbH |
| Unknown |
| X |
| X |
Tungsten |
| Hunan Chenzhou Mining Group Co |
| Unknown |
| X |
| X |
Tungsten |
| Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. |
| Unknown |
| X |
| X |
Tungsten |
| Japan New Metals Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Jiangxi Rare Earth & Rare Metals Tungsten Group Corp |
| Unknown |
| X |
| X |
Tungsten |
| Jiangxi Tungsten Industry Group Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Kennametal Inc. |
| Unknown |
| X |
| X |
Tungsten |
| Tejing (Vietnam) Tungsten Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Wolfram Bergbau und Hütten AG |
| Unknown |
| X |
| X |
Tungsten |
| Wolfram Company CJSC |
| Unknown |
| X |
| X |
Tungsten |
| Xiamen Tungsten Co Ltd |
| Unknown |
| X |
| X |
Tungsten |
| Zhuzhou Cemented Carbide Group Co Ltd |
| Unknown |
| X |
| X |
No CFSP listed Tungsten SORs in 2013. CFSP mineral source information not available
Table 3: List of Facilities Processing Tin for Covered Products
|
|
|
| CFSP Status |
| Covered Products | ||
Conflict Mineral |
| SOR |
| (December 31, 2013) |
| Systems & Storage |
| Microelectronics |
Tin |
| CNMC (Guangxi) PGMA Co. Ltd. |
| Unknown |
| X |
| X |
Tin |
| Cookson |
| Unknown |
| X |
| X |
Tin |
| Cooper Santa |
| Unknown |
| X |
| X |
Tin |
| CV Duta Putra Bangka |
| Unknown |
| X |
| X |
Tin |
| CV JusTindo |
| Unknown |
| X |
| X |
Tin |
| CV Makmur Jaya |
| Unknown |
| X |
| X |
Tin |
| CV Nurjanah |
| Unknown |
| X |
| X |
Tin |
| CV Serumpun Sebalai |
| Unknown |
| X |
| X |
Tin |
| CV United Smelting |
| Unknown |
| X |
| X |
Tin |
| EM Vinto |
| Unknown |
| X |
| X |
Tin |
| Fenix Metals |
| Unknown |
| X |
| X |
Tin |
| Geiju Non-Ferrous Metal Processing Co. Ltd. |
| CFSP Compliant Tin Smelter |
| X |
| X |
Tin |
| Gejiu Zi-Li |
| Unknown |
| X |
| X |
Tin |
| Huichang Jinshunda Tin Co. Ltd |
| Unknown |
| X |
| X |
Tin |
| Jiangxi Nanshan |
| Unknown |
| X |
| X |
Tin |
| Kai Unita Trade Limited Liability Company |
| Unknown |
| X |
|
|
Tin |
| Linwu Xianggui Smelter Co |
| Unknown |
| X |
| X |
Tin |
| Liuzhou China Tin |
| Unknown |
| X |
| X |
Tin |
| Malaysia Smelting Corporation (MSC) |
| CFSP Compliant Tin Smelter |
| X |
| X |
Tin |
| Metallo Chimique |
| Unknown |
| X |
| X |
Tin |
| Mineração Taboca S.A. |
| Unknown |
| X |
| X |
Tin |
| Minmetals Ganzhou Tin Co. Ltd. |
| Unknown |
| X |
| X |
Tin |
| Minsur |
| CFSP Compliant Tin Smelter |
| X |
| X |
Tin |
| Mitsubishi Materials Corporation |
| Unknown |
| X |
| X |
Tin |
| Novosibirsk Integrated Tin Works |
| Unknown |
| X |
| X |
Tin |
| OMSA |
| CFSP Compliant Tin Smelter |
| X |
| X |
Tin |
| PT Alam Lestari Kencana |
| Unknown |
| X |
| X |
Tin |
| PT Artha Cipta Langgeng |
| Unknown |
| X |
| X |
Tin |
| PT Babel Inti Perkasa |
| Unknown |
| X |
| X |
Tin |
| PT Babel Surya Alam Lestari |
| Unknown |
| X |
| X |
Tin |
| PT Bangka Kudai Tin |
| Unknown |
| X |
| X |
Tin |
| PT Bangka Putra Karya |
| Unknown |
| X |
| X |
Tin |
| PT Bangka Timah Utama Sejahtera |
| Unknown |
| X |
| X |
Tin |
| PT Belitung Industri Sejahtera |
| Unknown |
| X |
| X |
Tin |
| PT BilliTin Makmur Lestari |
| Unknown |
| X |
| X |
Tin |
| PT Bukit Timah |
| CFSP Compliant Tin Smelter |
| X |
| X |
Tin |
| PT DS Jaya Abadi |
| Unknown |
| X |
| X |
Tin |
| PT Eunindo Usaha Mandiri |
| Unknown |
| X |
| X |
Tin |
| PT Fang Di MulTindo |
| Unknown |
| X |
| X |
Tin |
| PT HP Metals Indonesia |
| Unknown |
| X |
| X |
Tin |
| PT Koba Tin |
| Unknown |
| X |
| X |
Tin |
| PT Mitra Stania Prima |
| Unknown |
| X |
| X |
Tin |
| CV Prima Timah Utama |
| Unknown |
| X |
|
|
Tin |
| PT Refined Banka Tin |
| Unknown |
| X |
| X |
Tin |
| PT Sariwiguna Binasentosa |
| Unknown |
| X |
| X |
Tin |
| PT Stanindo Inti Perkasa |
| Unknown |
| X |
| X |
Tin |
| PT Sumber Jaya Indah |
| Unknown |
| X |
| X |
Tin |
| PT Tambang Timah |
| Unknown |
| X |
| X |
Tin |
| PT Timah |
| Unknown |
| X |
| X |
Tin |
| PT Timah Nusantara |
| Unknown |
| X |
| X |
Tin |
| PT Tinindo Inter Nusa |
| Unknown |
| X |
| X |
Tin |
| PT Tommy Utama |
| Unknown |
| X |
|
|
Tin |
| PT Yinchendo Mining Industry |
| Unknown |
| X |
|
|
Tin |
| Soft Metais LTDA |
| Unknown |
| X |
|
|
Tin |
| Thaisarco |
| CFSP Compliant Tin Smelter |
| X |
| X |
Tin |
| White Solder Metalurgia |
| Unknown |
| X |
| X |
Tin |
| Yunnan Chengfeng |
| Unknown |
| X |
| X |
Tin |
| Yunnan Tin Company Limited |
| CFSP Compliant Tin Smelter |
| X |
| X |
Mineral sources for CFSP Compliant SORs include: Level 1,2 and 3 countries
See Table 5 for definition of Level 1, 2 and 3 countries
Table 4: List of Facilities Processing Gold for Covered Products
|
|
|
| CFSP Status |
| Covered Products | ||
Conflict Mineral |
| SOR |
| (December 31, 2013) |
| Systems & Storage |
| Microelectronics |
Gold |
| Aida Chemical Industries Co. Ltd. |
| Unknown |
| X |
| X |
Gold |
| Allgemeine Gold- und Silberscheideanstalt A.G. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Almalyk Mining and Metallurgical Complex (AMMC) |
| Unknown |
| X |
|
|
Gold |
| AngloGold Ashanti Mineração Ltda |
| CFSP Compliant Gold Refiner |
| X |
|
|
Gold |
| Argor-Heraeus SA |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Asahi Pretec Corporation |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Asaka Riken Co Ltd |
| Unknown |
| X |
| X |
Gold |
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
| Unknown |
| X |
|
|
Gold |
| Aurubis AG |
| Unknown |
| X |
|
|
Gold |
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
| Unknown |
| X |
|
|
Gold |
| Boliden AB |
| Unknown |
| X |
|
|
Gold |
| Caridad |
| Unknown |
| X |
| X |
Gold |
| Cendres & Métaux SA |
| Unknown |
| X |
|
|
Gold |
| Central Bank of the DPR of Korea |
| Unknown |
| X |
|
|
Gold |
| Chimet SpA |
| Unknown |
| X |
|
|
Gold |
| Chugai Mining |
| Unknown |
| X |
| X |
Gold |
| Daejin Indus Co. Ltd |
| Unknown |
| X |
| X |
Gold |
| DaeryongENC |
| Unknown |
| X |
| X |
Gold |
| Do Sung Corporation |
| Unknown |
| X |
| X |
Gold |
| Dowa |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| FSE Novosibirsk Refinery |
| Unknown |
| X |
|
|
Gold |
| Heimerle + Meule GmbH |
| Unknown |
| X |
| X |
Gold |
| Heraeus Ltd Hong Kong |
| Unknown |
| X |
| X |
Gold |
| Heraeus Precious Metals GmbH & Co. KG |
| Unknown |
| X |
| X |
Gold |
| Hwasung CJ Co. Ltd |
| Unknown |
| X |
|
|
Gold |
| Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited |
| Unknown |
| X |
|
|
Gold |
| Ishifuku Metal Industry Co., Ltd. |
| Unknown |
| X |
| X |
Gold |
| Istanbul Gold Refinery |
| CFSP Compliant Gold Refiner |
| X |
|
|
Gold |
| Japan Mint |
| Unknown |
| X |
|
|
Gold |
| Jiangxi Copper Company Limited |
| Unknown |
| X |
|
|
Gold |
| Johnson Matthey Inc |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Johnson Matthey Limited |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
| Unknown |
| X |
|
|
Gold |
| JSC Uralectromed |
| Unknown |
| X |
|
|
Gold |
| JX Nippon Mining & Metals Co., Ltd |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Kazzinc Ltd |
| Unknown |
| X |
|
|
Gold |
| Kennecott Utah Copper |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Kojima Chemicals Co. Ltd |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Korea Metal Co. Ltd |
| Unknown |
| X |
| X |
Gold |
| Kyrgyzaltyn JSC |
| Unknown |
| X |
|
|
Gold |
| L’ azurde Company For Jewelry |
| Unknown |
| X |
|
|
Gold |
| LS-Nikko Copper Inc |
| Unknown |
| X |
| X |
Gold |
| Materion |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Matsuda Sangyo Co. Ltd |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Metalor Technologies (Hong Kong) Ltd |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Metalor Technologies SA |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Metalor USA Refining Corporation |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Met-Mex Peñoles, S.A. |
| Unknown |
| X |
|
|
Gold |
| Mitsubishi Materials Corporation |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Mitsui Mining and Smelting Co., Ltd. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Moscow Special Alloys Processing Plant |
| Unknown |
| X |
|
|
Gold |
| Nadir Metal Rafineri San. Ve Tic. A.Ş. |
| Unknown |
| X |
|
|
Gold |
| Navoi Mining and Metallurgical Combinat |
| Unknown |
| X |
| X |
Gold |
| Nihon Material Co. LTD |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Ohio Precious Metals LLC. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) |
| Unknown |
| X |
|
|
Gold |
| OJSC Kolyma Refinery |
| Unknown |
| X |
|
|
Gold |
| PAMP SA |
| CFSP Compliant Gold Refiner |
| X |
|
|
Gold |
| Prioksky Plant of Non-Ferrous Metals |
| Unknown |
| X |
|
|
Gold |
| PT Aneka Tambang (Persero) Tbk |
| Unknown |
| X |
|
|
Gold |
| PX Précinox SA |
| Unknown |
| X |
|
|
Gold |
| Rand Refinery (Pty) Ltd |
| Unknown |
| X |
|
|
Gold |
| Royal Canadian Mint |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Sabin Metal Corp. |
| Unknown |
| X |
| X |
Gold |
| SAMWON METALS Corp. |
| Unknown |
| X |
| X |
Gold |
| Schone Edelmetaal |
| Unknown |
| X |
|
|
Gold |
| SEMPSA Joyeria Plateria SA |
| Unknown |
| X |
|
|
Gold |
| Shandong Zhaojin Gold & Silver Refinery Co. Ltd |
| Unknown |
| X |
| X |
Gold |
| So Accurate Group, Inc. |
| Unknown |
| X |
|
|
Gold |
| SOE Shyolkovsky Factory of Secondary Precious Metals |
| Unknown |
| X |
|
|
Gold |
| Solar Applied Materials Technology Corp. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Sumitomo Metal Mining Co. Ltd. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Tanaka Kikinzoku Kogyo K.K. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| The Great Wall Gold and Silver Refinery of China |
| Unknown |
| X |
|
|
Gold |
| The Refinery of Shandong Gold Mining Co. Ltd |
| Unknown |
| X |
| X |
Gold |
| Tokuriki Honten Co. Ltd |
| Unknown |
| X |
| X |
Gold |
| Torecom |
| Unknown |
| X |
| X |
Gold |
| Umicore Brasil Ltda |
| Unknown |
| X |
|
|
Gold |
| Umicore SA Business Unit Precious Metals Refining |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| United Precious Metal Refining, Inc. |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Valcambi SA |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Western Australian Mint trading as The Perth Mint |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Xstrata Canada Corporation |
| CFSP Compliant Gold Refiner |
| X |
| X |
Gold |
| Yokohama Metal Co Ltd |
| Unknown |
| X |
| X |
Gold |
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
| Unknown |
| X |
| X |
Gold |
| Zijin Mining Group Co. Ltd |
| Unknown |
| X |
|
|
Mineral sources for CFSP compliant SORs include: Level 1 countries
See Table 5 for definition of Level 1 countries
Table 5: Mineral Source Definitions from CFSP Audit Protocols
Level 1 - Countries not identified as conflict regions or plausible areas of smuggling or export from these regions of conflict minerals:
Argentina, Australia, Austria, Belgium, Brazil, Chile, China, Colombia, Côte d’Ivoire, Czech Republic, Djibuti, Egypt, Estonia, Ethiopia, France, Germany, Guyana, India, Indonesia, Ireland, Israel, Japan, Lao People’s Democratic Republic, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Netherlands, Nigeria, Peru, Plurinational State of Bolivia, Portugal, Republic of Korea, Russian Federation, Sierra Leone, Singapore, Suriname, Switzerland, Thailand, United Kingdom of Great Britain and Nothern Ireland, United States of America, Zimbabwe
Level 2 - Known or plausible countries for the smuggling, export out of region or transit of conflict minerals:
Kenya, Mozambique, South Africa
Level 3 - The Democratic Republic of Congo and its nine adjoining countries:
Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Uganda, United Republic of Tanzania, Zambia
