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EX-1.01 2 cmr.txt EXHIBIT 1.01 UNISYS CORPORATION CONFLICT MINERALS REPORT REPORTING YEAR: 2014 COMPANY OVERVIEW Unisys Corporation ("Unisys") is a global information technology ("IT") company. Unisys provides a portfolio of IT services, software, and technology. Unisys operates in two business segments -- Services and Technology. In its Technology segment, Unisys designs and develops servers, software and related products. Unisys has determined that certain of its products were likely to contain conflict minerals in 2014, as that term is defined by Rule 13p-1 under the Securities Exchange Act, due to the anticipated presence of such minerals in parts obtained from suppliers, either contract manufacturers or original equipment manufacturers ("OEM"), or from utilization of conflict minerals in manufacturing processes employed by Unisys suppliers. Supplier parts obtained by Unisys are utilized in the assembly of Unisys enterprise servers and other electronic equipment. Unisys is not a vertically integrated manufacturer and instead focuses on systems integration through the purchase of higher level assemblies and OEM products. Unisys is therefore several levels removed from the actual mining of conflict minerals. Unisys does not make purchases of raw ore or unrefined conflict minerals and makes no purchases in the Democratic Republic of the Congo or an adjoining country (collectively, the "DRC"). Unisys has a Conflict Minerals Policy that is available on its website at www.unisys.com under "About Unisys" in "Social Responsibility -- Conflict Minerals." REASONABLE COUNTRY OF ORIGIN INQUIRY Unisys conducted a reasonable country of origin inquiry ("RCOI") to determine which parts utilized by Unisys during 2014 contained conflict minerals and whether such conflict minerals originated in the DRC. Unisys contacted each of its suppliers and asked them to provide information on (1) the conflict minerals contained in each of the parts supplied by that supplier and (2) the source of the conflict minerals, including smelter/refinery information and location of mines. Each supplier was asked to complete the Conflict Minerals Reporting Template (the "Reporting Template") developed by the Electronic Industry Citizenship Coalition Global e-Sustainability Initiative (the "EICC- GeSI"). Of the 32 suppliers identified as supplying Unisys with product that may contain conflict minerals in 2014, 25 suppliers responded with conflict minerals data. Based on those responses, Unisys determined that conflict minerals present in certain of its products, as well as conflict minerals utilized in the production of certain supplier parts, may have originated in the DRC and were not from scrap or recycled sources. Therefore, in accordance with Rule 13p-1 under the Securities Exchange Act, Unisys proceeded to engage in due diligence regarding the sources and chain of custody of its conflict minerals. DUE DILIGENCE - STANDARD UTILIZED Unisys designed its due diligence framework to conform in all material respects with the framework provided by The Organization for Economic Co- operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, an internationally-recognized due diligence framework. DUE DILIGENCE - PROCESS The Unisys due diligence process included: 1. Requesting that each supplier of parts potentially containing conflict minerals complete and return to Unisys the Reporting Template. The Reporting Template provided a standardized method for Unisys use in the collection of representations, statements and data from Unisys suppliers relative to the presence, use, source and chain of custody of conflict minerals in supplier parts that are incorporated in Unisys products for sale to end- use customers. 2. Requesting that each supplier of parts potentially containing conflict minerals identify on the Reporting Template those smelters that it uses to process parts provided to Unisys by making reference to the EICC-GeSI's Smelter Reference List, which is a compilation of names and locations of known smelters and refiners, provided by Unisys. 3. Comparing the smelters identified in the responses by suppliers who completed the Reporting Template against the list of smelter facilities that have been identified as "conflict free" by the EICC-GeSI's Conflict-Free Sourcing Initiative ("CFSI"). CFSI is a voluntary program whereby an independent third party evaluates smelter procurement activities to determine whether a smelter has sufficiently demonstrated that all materials processed by that smelter originated from sources that do not directly or indirectly finance or benefit armed groups in the DRC. Each supplier response on the Reporting Template was evaluated and, where possible, validated to determine sufficiency, accuracy or completeness of its response. For each supplier response, Unisys subsequently assessed whether the conflict minerals identified, or those conflict minerals that may not have been identified, were consistent with the nature and characteristics of the supplied part. For each supplier response that was insufficient, potentially inaccurate or incomplete, Unisys contacted that supplier for follow up, sometimes contacting certain suppliers on multiple occasions. When a supplier's response on the Reporting Template stated that conflict minerals were sourced from the DRC and identified the smelter involved, Unisys endeavored to verify whether the smelter referenced by the supplier was identified on the CFSI list. If a supplier stated that conflict minerals in its product were not sourced from the DRC, but did not substantiate that information, Unisys proceeded to verify that supplier response. Typically, verification involved a more detailed review of the supplier's smelter response and, where possible, discussion with the supplier. If a supplier's response could not be validated through details provided to Unisys with regard to the smelter and/or smelters involved, then Unisys engaged in its own internet searches in order to attempt to verify the status of such identified smelters. If Unisys independent research could not determine the status of a smelter, then the supplier response in question was determined to be uncertain or unknown relative to the question of sourcing of raw material and was reflected as such in its Reporting Template Summary. DUE DILIGENCE - RESULTS As of March 10, 2015, of the 255 smelters identified in responses on the Reporting Template submitted to Unisys by its suppliers, 132 smelters were CFSI compliant, 30 smelters were active in the process of obtaining CFSI compliance, and 93 smelters were not identified as participating in the CFSI smelter verification process. Unisys RCOI and due diligence processes reveal that there is no evidence of conflict minerals sourcing from the DRC for 230 of the 255 smelters that may be associated with conflict minerals utilized in Unisys products or in third party manufacturing processes utilized to manufacture Unisys products. Of the remaining 25 smelters for which there is evidence that conflict minerals may have been sourced from the DRC, 22 of those smelters are CFSI compliant. Unisys RCOI and due diligence processes have identified 3 smelters that were not participating in the CFSI smelter verification process as of March 10, 2015 that may have sourced conflict minerals from the DRC that were used in Unisys products in 2014. Although Unisys due diligence efforts determined that 252 of 255 smelters that may be associated with Unisys products during 2014 were not sourcing conflict minerals from the DRC or were not supporting armed conflict in the DRC, Unisys is unable to precisely determine the status of 3 of those smelters. As such, Unisys due diligence found that Unisys products containing or utilizing conflict minerals during 2014 are DRC conflict undeterminable for purposes of Rule 13p-1 under the Securities Exchange Act. RISK MITIGATION - IMPROVEMENT PROGRAM The steps that Unisys will take in reporting year 2015 to mitigate the risk that Unisys conflict minerals benefit or finance armed groups are as follows: 1. Unisys will continue to work with suppliers who provided incomplete or insufficient information in an effort to obtain complete and accurate information in 2015; 2. Unisys will again request information and supporting data from each supplier providing parts to Unisys that are subject to 2015 reporting requirements by utilizing the Reporting Template and will pursue a completed template response that identifies material down to the smelter and mine; 3. Unisys will again follow its due diligence process to review and validate supplier responses that are obtained in support of Unisys 2015 conflict minerals reporting; 4. Unisys will continue to provide its Conflict Minerals Policy to suppliers as part of its Reporting Template-based supplier inquiry process for 2015; and 5. Unisys includes in its purchase order standard terms and conditions a clause requiring suppliers to disclose to Unisys the existence and origin of any conflict minerals in any products supplied to Unisys and is adding a similar clause to its agreement templates for incorporation into new agreements. Unisys agreements will continue to be reviewed as they approach renewal, and a similar clause will be added as appropriate. PRODUCT DESCRIPTION AND LIST OF FACILITIES A list of parts used in Unisys enterprise servers and other electronic equipment for which Unisys solicited supplier information regarding conflict mineral content or conflict mineral use in production is attached as Exhibit A. A list of facilities that, to the extent known, processed the necessary conflict minerals in Unisys products is attached as Exhibit B. CONFLICT MINERALS REPORT EXHIBIT A DESCRIPTION OF UNISYS CORPORATION'S 2014 PRODUCTS (PARTS/SUPPLIES) PRODUCT DESCRIPTION Cables & Harnesses Computer Cabinets & Accessories Computer Products - Servers, Storage, Input/Output & other Peripherals Displays / Monitors Fasteners Flex Circuits Keyboards Labels Memory - Modules, Universal Serial Port (USB) Devices, Flash Cards Molded Plastic Parts Network Switches Power Strips Power Supplies Printed Circuit Assemblies Sheet Metal & Electro-mechanical Assemblies Solder Thermal Transfer Products Universal Serial Port (USB) Security Devices CONFLICT MINERALS REPORT EXHIBIT B FACILITIES THAT, TO THE EXTENT KNOWN, PROCESSED NECESSARY CONFLICT MINERALS IN UNISYS PRODUCTS CONFLICT MINERAL FACILITY NAME LOCATION Gold Advanced Chemical Company UNITED STATES Gold Aida Chemical Industries Co. Ltd. JAPAN Gold Allgemeine Gold-und Silberscheideanstalt A.G. GERMANY Gold Almalyk Mining and Metallurgical Complex UZBEKISTAN (AMMC) Gold AngloGold Ashanti Corrego do Sitio Minercao BRAZIL Gold Argor-Heraeus SA SWITZERLAND Gold Asahi Pretec Corporation JAPAN Gold Asaka Riken Co Ltd JAPAN Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S. TURKEY Gold Aurubis AG GERMANY Gold Bangko Sentral ng Pilipinas PHILIPPINES (Central Bank of the Philippines) Gold Bauer Walser AG GERMANY Gold Boliden AB SWEDEN Gold C. Hafner GmbH + Co. KG GERMANY Gold Caridad MEXICO Gold CCR Refinery - Glencore Canada Corporation CANADA Gold Cendres + Metaux SA SWITZERLAND Gold Chimet S.p.A. ITALY Gold China National Gold Group CORPORATION CHINA Gold Chugai Mining JAPAN Gold Colt Refining UNITED STATES Gold Daejin Indus Co. Ltd KOREA, REPUBLIC OF Gold DaeryongENC KOREA, REPUBLIC OF Gold Daye Non-Ferrous Metals Mining Ltd. CHINA Gold Do Sung Corporation KOREA, REPUBLIC OF Gold Doduco GERMANY Gold Dowa JAPAN Gold Eco-System Recycling Co., Ltd. JAPAN Gold FSE Novosibirsk Refinery RUSSIAN FEDERATION Gold Gansu Seemine Material Hi-Tech Co Ltd CHINA Gold Guangdong Jinding Gold Limited CHINA Gold Hangzhou Fuchunjiang Smelting Co., Ltd. CHINA Gold Heimerle + Meule GmbH GERMANY Gold Heraeus Ltd. Hong Kong HONG KONG Gold Heraeus Precious Metals GmbH & Co. KG GERMANY Gold Hwasung CJ Co. Ltd KOREA, REPUBLIC OF Gold Inner Mongolia Qiankun Gold and Silver CHINA Refinery Share Company Limited Gold Ishifuku Metal Industry Co., Ltd. JAPAN Gold Istanbul Gold Refinery TURKEY Gold Japan Mint JAPAN Gold Jiangxi Copper Company Limited CHINA Gold Johnson Matthey Inc UNITED STATES Gold Johnson Matthey Ltd CANADA Gold JSC Ekaterinburg Non-Ferrous Metal Processing RUSSIAN FEDERATION Plant Gold JSC Uralelectromed RUSSIAN FEDERATION Gold JX Nippon Mining & Metals Co., Ltd. JAPAN Gold Kazzinc Ltd KAZAKHSTAN Gold Kennecott Utah Copper LLC UNITED STATES Gold Kojima Chemicals Co., Ltd JAPAN Gold Korea Metal Co. Ltd KOREA, REPUBLIC OF Gold Kyrgyzaltyn JSC KYRGYZSTAN Gold L' azurde Company For Jewelry SAUDI ARABIA Gold Lingbao Gold Company Limited CHINA Gold Lingbao Jinyuan Tonghui Refinery Co. Ltd. CHINA Gold LS-NIKKO Copper Inc. KOREA, REPUBLIC OF Gold Luoyang Zijin Yinhui Metal Smelt Co Ltd CHINA Gold Materion UNITED STATES Gold Matsuda Sangyo Co., Ltd. JAPAN Gold Metalor Technologies (Hong Kong) Ltd HONG KONG Gold Metalor Technologies (Singapore) Pte. Ltd. SINGAPORE Gold Metalor Technologies SA SWITZERLAND Gold Metalor USA Refining Corporation UNITED STATES Gold Met-Mex Penoles, S.A. MEXICO Gold Mitsubishi Materials Corporation JAPAN Gold Mitsui Mining and Smelting Co., Ltd. JAPAN Gold Moscow Special Alloys Processing Plant RUSSIAN FEDERATION Gold Nadir Metal Rafineri San. Ve Tic. A.S. TURKEY Gold Navoi Mining and Metallurgical Combinat UZBEKISTAN Gold Nihon Material Co. LTD JAPAN Gold Ohio Precious Metals, LLC UNITED STATES Gold Ohura Precious Metal Industry Co., Ltd JAPAN Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous RUSSIAN FEDERATION Metals Plant" (OJSC Krastvetmet) Gold OJSC Kolyma Refinery RUSSIAN FEDERATION Gold PAMP SA SWITZERLAND Gold Penglai Penggang Gold Industry Co Ltd CHINA Gold Prioksky Plant of Non-Ferrous Metals RUSSIAN FEDERATION Gold PT Aneka Tambang (Persero) Tbk INDONESIA Gold PX Precinox SA SWITZERLAND Gold Rand Refinery (Pty) Ltd SOUTH AFRICA Gold Royal Canadian Mint CANADA Gold Sabin Metal Corp. UNITED STATES Gold Samduck Precious Metals KOREA, REPUBLIC OF Gold SAMWON METALS Corp. KOREA, REPUBLIC OF Gold Schone Edelmetaal NETHERLANDS Gold SEMPSA Joyeria Plateria SA SPAIN Gold Shandong Zhaojin Gold & Silver Refinery Co. CHINA Ltd Gold So Accurate Group, Inc. UNITED STATES Gold SOE Shyolkovsky Factory of Secondary Precious RUSSIAN FEDERATION Metals Gold Solar Applied Materials Technology Corp. TAIWAN Gold Sumitomo Metal Mining Co., Ltd. JAPAN Gold Tanaka Kikinzoku Kogyo K.K. JAPAN Gold The Great Wall Gold and Silver Refinery of CHINA China Gold The Refinery of Shandong Gold Mining Co. Ltd CHINA Gold Tokuriki Honten Co., Ltd JAPAN Gold Tongling nonferrous Metals Group Co.,Ltd CHINA Gold Torecom KOREA, REPUBLIC OF Gold Umicore Brasil Ltda BRAZIL Gold Umicore Precious Metals Thailand THAILAND Gold Umicore SA Business Unit Precious Metals BELGIUM Refining Gold United Precious Metal Refining, Inc. UNITED STATES Gold Valcambi SA SWITZERLAND Gold Western Australian Mint trading as The Perth AUSTRALIA Mint Gold YAMAMOTO PRECIOUS METAL CO., LTD. JAPAN Gold Yokohama Metal Co Ltd JAPAN Gold Yunnan Copper Industry Co Ltd CHINA Gold Zhongyuan Gold Smelter of Zhongjin Gold CHINA Corporation Gold Zijin Mining Group Co. Ltd CHINA Tantalum A&M Minerals Limited UNITED STATES Tantalum Changsha South Tantalum Niobium Co., Ltd. CHINA Tantalum Conghua Tantalum and Niobium Smeltry CHINA Tantalum Duoluoshan CHINA Tantalum Exotech Inc. UNITED STATES Tantalum F&X Electro-Materials Ltd. CHINA Tantalum Global Advanced Metals UNITED STATES Tantalum Global Advanced Metals Aizu JAPAN Tantalum Global Advanced Metals Boyertown UNITED STATES Tantalum Guangdong Zhiyuan New Material Co., Ltd. CHINA Tantalum H.C. Starck Co., Ltd. THAILAND Tantalum H.C. Starck GmbH Goslar GERMANY Tantalum H.C. Starck GmbH Laufenburg GERMANY Tantalum H.C. Starck Hermsdorf GmbH GERMANY Tantalum H.C. Starck Inc. UNITED STATES Tantalum H.C. Starck Ltd. JAPAN Tantalum Hengyang King Xing Lifeng New Materials Co., CHINA Ltd. Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. CHINA Tantalum Jiujiang Tanbre Co., Ltd. CHINA Tantalum Jiujiang Zhongao Tantalum & Niobium Co, Ltd CHINA Tantalum KEMET Blue Metals MEXICO Tantalum KEMET Blue Powder UNITED STATES Tantalum King-Tan Tantalum Industry Ltd CHINA Tantalum LSM Brasil S.A. BRAZIL Tantalum Metallurgical Products India (Pvt.) Ltd. INDIA Tantalum Mitsui Mining & Smelting JAPAN Tantalum Molycorp Silmet A.S. ESTONIA Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CHINA Tantalum Plansee AUSTRIA Tantalum Plansee SE Liezen AUSTRIA Tantalum Plansee SE Reutte AUSTRIA Tantalum QuantumClean UNITED STATES Tantalum RFH Tantalum Smeltry Co., Ltd CHINA Tantalum Shanghai Jiangxi Metals Co. Ltd CHINA Tantalum Solikamsk Magnesium Works OAO RUSSIAN FEDERATION Tantalum Taki Chemicals JAPAN Tantalum Tantalite Resources SOUTH AFRICA Tantalum Telex UNITED STATES Tantalum Ulba KAZAKHSTAN Tantalum Yichun Jin Yang Rare Metal Co., Ltd CHINA Tantalum Zhuzhou Cement Carbide CHINA Tin Alpha UNITED STATES Tin China Rare Metal Materials Company CHINA Tin China Tin Group Co., Ltd. CHINA Tin CNMC (Guangxi) PGMA Co. Ltd. CHINA Tin Cooper Santa BRAZIL Tin CV Gita Pesona INDONESIA Tin CV JusTindo INDONESIA Tin CV Makmur Jaya INDONESIA Tin CV Nurjanah INDONESIA Tin CV Serumpun Sebalai INDONESIA Tin CV United Smelting INDONESIA Tin EM Vinto BOLIVIA Tin Estanho de Rondonia S.A. BRAZIL Tin Fenix Metals POLAND Tin Gejiu Kai Meng Industry and Trade LLC CHINA Tin Gejiu Non-Ferrous Metal Processing Co. Ltd. CHINA Tin Gejiu Zi-Li CHINA Tin Huichang Jinshunda Tin Co. Ltd CHINA Tin Jiangxi Nanshan CHINA Tin Linwu Xianggui Smelter Co CHINA Tin Magnu's Minerais Metais e Ligas LTDA BRAZIL Tin Malaysia Smelting Corporation (MSC) MALAYSIA Tin Melt Metais e Ligas S/A BRAZIL Tin Metallo Chimique BELGIUM Tin Mineracao Taboca S.A. BRAZIL Tin Minmetals Ganzhou Tin Co. Ltd. CHINA Tin Minsur PERU Tin Novosibirsk Integrated Tin Works RUSSIAN FEDERATION Tin O.M. Manufacturing (Thailand) Co., Ltd. THAILAND Tin O.M. Manufacturing Philippines, Inc. PHILIPPINES Tin OMSA BOLIVIA Tin PT Alam Lestari Kencana INDONESIA Tin PT Artha Cipta Langgeng INDONESIA Tin PT ATD Makmur Mandiri Jaya INDONESIA Tin PT Babel Inti Perkasa INDONESIA Tin PT Babel Surya Alam Lestari INDONESIA Tin PT Bangka Kudai Tin INDONESIA Tin PT Bangka Putra Karya INDONESIA Tin PT Bangka Timah Utama Sejahtera INDONESIA Tin PT Bangka Tin Industry INDONESIA Tin PT Belitung Industri Sejahtera INDONESIA Tin PT BilliTin Makmur Lestari INDONESIA Tin PT Bukit Timah INDONESIA Tin PT Eunindo Usaha Mandiri INDONESIA Tin PT Fang Di MulTindo INDONESIA Tin PT HP Metals Indonesia INDONESIA Tin PT Inti Stania Prima INDONESIA Tin PT Karimun Mining INDONESIA Tin PT Koba Tin INDONESIA Tin PT Mitra Stania Prima INDONESIA Tin PT Panca Mega Persada INDONESIA Tin PT Pelat Timah Nusantara Tbk INDONESIA Tin PT Prima Timah Utama INDONESIA Tin PT REFINED BANGKA TIN INDONESIA Tin PT Sariwiguna Binasentosa INDONESIA Tin PT Seirama Tin investment INDONESIA Tin PT Stanindo Inti Perkasa INDONESIA Tin PT Sumber Jaya Indah INDONESIA Tin PT Supra Sukses Trinusa INDONESIA Tin PT Tambang Timah INDONESIA Tin PT Timah (Persero), Tbk INDONESIA Tin PT Tinindo Inter Nusa INDONESIA Tin PT Tommy Utama INDONESIA Tin PT Yinchendo Mining Industry INDONESIA Tin PT.HANJAYA PERKASA METALS INDONESIA Tin Rui Da Hung TAIWAN Tin Soft Metais, Ltda. BRAZIL Tin Thaisarco THAILAND Tin White Solder Metalurgia e Mineracao Ltda. BRAZIL Tin Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. CHINA Tin Yunnan Tin Company, Ltd. CHINA Tungsten A.L.M.T. Corp. JAPAN Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. CHINA Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CHINA Tungsten Dayu Weiliang Tungsten Co., Ltd. CHINA Tungsten Fujian Jinxin Tungsten Co., Ltd. CHINA Tungsten Ganxian Shirui New Material Co., Ltd. CHINA Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. CHINA Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CHINA Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd. CHINA Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CHINA Tungsten Global Tungsten & Powders Corp. UNITED STATES Tungsten Guangdong Xianglu Tungsten Co., Ltd. CHINA Tungsten H.C. Starck GmbH GERMANY Tungsten H.C. Starck Smelting GmbH & Co.KG GERMANY Tungsten HC Starck GmbH GERMANY Tungsten Hunan Chenzhou Mining Group Co., Ltd. CHINA Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. CHINA Tungsten Japan New Metals Co., Ltd. JAPAN Tungsten Jiangwu H.C. Starck Tungsten Products Co., CHINA Ltd. Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CHINA Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals CHINA Co., Ltd. Tungsten Jiangxi Richsea New Materials Co., Ltd. CHINA Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & CHINA Chemical Co., Ltd. Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CHINA Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. CHINA Tungsten Kennametal Fallon UNITED STATES Tungsten Malipo Haiyu Tungsten Co., Ltd. CHINA Tungsten Nui Phao H.C. Starck Tungsten Chemicals VIET NAM Manufacturing LLC Tungsten Sanher Tungsten Vietnam Co., Ltd. VIET NAM Tungsten Tejing (Vietnam) Tungsten Co., Ltd. VIET NAM Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd VIET NAM Tungsten Wolfram Bergbau und Hutten AG AUSTRIA Tungsten Wolfram Company CJSC RUSSIAN FEDERATION Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CHINA Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd. CHINA Tungsten Zhuzhou Cemented Carbide Group Co Ltd CHINA