EX-1.02 2 a14-13768_1ex1d02.htm EX-1.02

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.

 

1



 

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.

 

2



 

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

 

3



 

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.

 

4



 

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

 

A-1



 

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

 

A-2



 

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

 

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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

 

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