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.
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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. |
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| ● | 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. |
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| ● | 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.
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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. |
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| ● | 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.
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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) |
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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) |
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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) |
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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) |
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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