Exhibit 1.01
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CONFLICT MINERALS REPORT
Overview of Apple’s Commitment To Responsible Sourcing
Apple is committed to responsible sourcing, and working to ensure that the minerals in its products do not finance armed conflict is an important part of its dedication to operate a responsible supply chain. As of December 31, 2015, after five years of devoted effort, 100% of the identified smelters and refiners in Apple’s supply chain for current products were participating in an independent third party conflict minerals audit (“Third Party Audit”) program. Apple believes that this effort has driven awareness and improved sourcing practices across a wide base of smelters and refiners that supply the industry well beyond Apple.
While this is an important milestone, and may be viewed by some companies as grounds to declare themselves “conflict free,” Apple does not believe that Third Party Audit program participation alone is sufficient to label products “conflict free.” Apple believes it has more work to do. In 2016, Apple is turning its attention to two key areas: enhancing due diligence in the gold supply chain and helping improve local incident reporting and issue resolution.
Apple plans to continue to review in detail credible reports of incidents in the Democratic Republic of the Congo (the “DRC”) and adjoining countries (collectively, the “Region”) that may potentially connect to Apple’s supply chain and confirm the transparent reporting and resolution of any incidents related to armed groups where these incidents may reasonably relate to its supply chain. Additionally, Apple intends to further its efforts to drive smelters and refiners to comply with Third Party Audits, and Apple will continue to remove from its supply chain those smelters or refiners that do not comply.
Apple recognizes that it will take the contributions of many different stakeholders to effect lasting change in the minerals sector of the Region. Accordingly, Apple will continue its efforts to partner with like-minded companies, directly engage with key non-government and government organizations, and work with Third Party Audit program facilitators to drive improvements aimed at the ultimate objective of protecting human rights in the Region.
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Details of Apple’s Approach to Responsible Sourcing
Foundational Due Diligence: Third Party Audit Program Participation
Apple believes that foundational conflict minerals due diligence necessitates having all smelters and refiners in Apple’s supply chain participating in a Third Party Audit program. Third Party Audits typically involve an examination of individual purchasing transactions on a sample basis to assess the reasonableness and effectiveness of conflict mineral sourcing practices at the particular smelter or refiner.
Currently there exist a number of different Third Party Audit programs. Apple principally supports the work of the Conflict Free Sourcing Initiative (the “CFSI”). Apple has served in leadership roles supporting the CFSI’s Third Party Audit program—the Conflict Free Smelter Program (the “CFSP”). Apple also supports the efforts of other Third Party Audit programs, such as those carried out by the London Bullion Market Association (the “LBMA”), the Responsible Jewellery Council and ITRI through its Tin Supply Chain Initiative (“iTSCi”), to be better aligned with the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.
Apple believes that Third Party Audits play a significant role in providing assurances that smelters and refiners have due diligence systems in place to ensure that their operations and sourcing do not support conflict in the Region. To expand the number of smelters and refiners participating in a Third Party Audit program, Apple representatives have worked directly on the ground with smelters and refiners since 2011 to assist them with the audit process, and Apple representatives also have provided due diligence assistance to many smelters and refiners.
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Further Due Diligence: Incident Review and Resolution
As part of its reasonable due diligence, Apple takes additional steps beyond the foundational due diligence embodied by Third Party Audit programs for smelters and refiners. These steps include detailed review of credible reports of incidents which may potentially connect to Apple’s supply chain, and confirming that incidents related to armed groups which may reasonably relate to Apple’s supply chain are transparently reported and addressed.
Apple reviewed more than 700 iTSCi reports for 2015 relating to incidents, potentially associated with mine sites connected to various smelters in Apple’s supply chain. These smelters also support many other companies in the electronics industry. Based on its review, Apple found that in a few cases individuals associated or potentially associated with armed groups, in particular the police in the DRC and the DRC national army, were alleged to be involved in incidents linked to smelters in Apple’s supply chain. While, to date, Apple does not have reason to believe that these incidents resulted in associated specified minerals being included in Apple’s products, Apple remains concerned about a number of reported incidents. Accordingly, Apple is actively engaged with appropriate stakeholders to better understand incident reports and how they are addressed and, in the case of three specific incidents, continues to actively investigate the follow-up actions that have been taken to address these incidents.
Driving Measurable Progress for the Collective Good
In response to concerns raised that gold, columbite-tantalite (coltan), cassiterite, wolframite, tantalum, tin, and tungsten (collectively, the “Subject Minerals”) from the Region were supporting conflict by armed groups, Apple determined to expand its smelter and refiner base participating in Third Party Audit programs rather than simply ban minerals from the Region in its supply chain. Apple’s decision was intended in part to increase the number of such participating smelters and refiners across the industry, not only in Apple’s supply chain. What began with 109 identified non-compliant smelters and refiners at the end of 2010, turned into significant, measurable progress over a few short years.
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By the end of 2013, 44% of smelters and refiners were participating in a Third Party Audit program. While this was more than double the number of participating smelters and refiners at the end of 2012, it was still a long way from Apple’s goal of 100% smelter and refiner participation. In order to achieve this goal, Apple increased the pressure each year. In 2014, Apple began publishing the names, countries and compliance status of smelters and refiners in its supply chain. Beginning in 2014, Apple also launched supply chain wide campaigns that established strict deadlines for smelters and refiners to demonstrate their commitment to undergo a Third Party Audit or be removed from Apple’s supply chain.
Leveraging Expertise to Drive Desired Outcomes
Knowing that sustainable responsible sourcing cannot be achieved by pressure alone, Apple began offering assistance and support to smelters and refiners, as well as suppliers. Since 2011, Apple representatives and subject matter experts have met in the field with smelters and refiners to encourage participation and offer audit preparation assistance (see Annex I: 2015 Due Diligence Measures Performed, point 2, for 2015 details). And in an effort to strengthen alignment with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, including the related supplements on tantalum, tin, tungsten, and gold (the “OECD Due Diligence Guidance”), in 2015 Apple notified smelters and refiners of identified risks and requested they report on and respond to those risks.
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Apple has also been conducting spot audits since 2013 to assess suppliers’ understanding of due diligence requirements. In order to better support suppliers having to change sourcing or push smelters or refiners to become compliant, in 2015 Apple provided in-person training to 58 suppliers not yet meeting Apple’s requirements and developed a web-based training tool. Relevant training materials have been made available to partners outside of Apple’s supply chain in order to be further developed for use industry-wide. Apple believes that making these materials available will strengthen supplier due diligence across the industry.
The combination of training, public reporting and a ticking clock drove the number from 82 smelters and refiners participating in a Third Party Audit program by the end of 2013 to 242 participating smelters and refiners by the end of 2015. Of these 242 participating smelters and refiners, 86% had already completed a Third Party Audit by the end of 2015, while the other 14% were in the process of undergoing such a Third Party Audit as of December 31, 2015.
Still, some smelters and refiners chose not to take advantage of Apple’s assistance programs, while others refused to take part in any Third Party Audit entirely. Neither pressure nor incentives for help were enough to persuade them to comply. Accordingly, Apple directed the removal of 35 smelters and refiners not willing to participate in a Third Party Audit, and as of December 31, 2015, these 35 smelters and refiners are no longer reported in Apple’s supply chain. In addition, Apple has notified its suppliers that it has recently required the removal of another refiner from its supply chain for its failure to satisfy requirements in connection with its Third Party Audit and its subsequent delisting by the LBMA after December 31, 2015. Apple has had no choice but to remove these smelters and refiners from its supply chain, as Apple views compliance as non-negotiable.
Going to Greater Lengths on the Ground
In 2015, Apple personnel spent hundreds of hours in the Region, to better understand the challenges of conducting effective due diligence in high-risk areas. Based on this work, Apple is focusing further attention on two key areas: allegations of illicit trade of gold and local incident reporting in existing traceability systems.
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The focus on gold was chosen because of the low number of gold mine sites participating in a traceability program, and a high concentration of armed groups purportedly involved in the gold trade. Accordingly, Apple initiated an independent third party investigation of its gold supply chain, and, as part of this investigation, uncovered specific allegations of, among other things, smuggling of gold that could be associated with armed groups (see Annex I for further details). Though still unsubstantiated, Apple continues to investigate such allegations in order to determine their veracity. Where necessary, Apple will consider and address, if reasonably practical, the situation, to the extent it relates to Apple’s supply chain.
Considering reports from numerous groups and organizations related to traceability gaps, stolen minerals, and fraudulent use of tags, Apple has focused on local incident reporting to determine if local systems are effectively able to capture and remediate incidents when they arise, and if any incidents of concern may be associated with Apple’s supply chain. Apple’s review identified incidents of varying nature and concern, including, among others, incidents involving theft of, and/or fraud in connection with, tags and minerals and military and police levies or payments at or near mine sites. As of the date of this report, not all 2015 incidents have been publicly reported, fully traced to minerals associated with smelters, resolved or remediated. Notwithstanding these limitations, Apple has sought to confirm that every relevant identified incident was followed up including, where appropriate, by applicable local authorities.
Based on the reports reviewed by Apple and additional information provided by iTSCi, Apple has received confirmation that three incidents linked to smelters reported in Apple’s supply chain have occurred in which individuals identified as members or potential members of organizations within the meaning of “armed groups,” as defined in Item 1.01(d)(2) of Form SD, in particular the police in the DRC and the DRC national army, were alleged to be involved. Each incident appears to have involved no more than a few individuals in isolated theft, illegal tax or similar criminal activity, potentially for personal gain, and, based on information received to date, the alleged perpetrators have been sanctioned or the specific incident has otherwise received some level of official redress by the local authorities. Apple continues to actively investigate the follow-up actions that have been taken to address these incidents. However, with respect to these three incidents, Apple has not, to date, been able to determine whether specific minerals were included in Apple’s products. The challenges with tracking specific mineral quantities through the supply chain currently prevent the traceability of any specific mineral shipment through the entire manufacturing process.
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Apple believes there is little doubt that there is a need to enhance gold trading due diligence, to increase local stakeholder involvement, and to ensure that Third Party Audit programs reinforce requirements for smelter and refiners to be aware of and follow-up on the resolution of incidents. Accordingly, Apple has taken initial steps to address identified deficiencies and incidents by contributing to Partnership Africa Canada to develop responsible gold traceability programs and channels for legally traded artisanal gold. Additionally, Apple has funded the first comprehensive due diligence training that brought together more than 60 DRC government and civil society actors from multiple territories to deepen their understanding of the incident reporting process. Apple also has funded the development of training materials to clarify the iTSCi incident reporting process.
To better understand how due diligence programs impact changes on the ground, Apple and its consultants also reviewed various program reports, including those from relevant government and non-governmental reporting organizations. Apple found that the lack of consistency in data across programs hampered the opportunity to assess the impacts of in-region initiatives. As a result, Apple is working with partners to learn how better data coordination may be achieved, and intends to take further steps to develop comparable metrics that can assess the impact of responsible sourcing initiatives in the Region.
Recognizing that creating sustainable change on the ground in the Region will take the efforts of many actors, Apple has provided financial support for several in-region programs. Apple intends to continue working collaboratively to push those systems designed to ensure smelters and refiners are sourcing responsibly to become consistently accurate and secure and yield the high standards of transparency and accountability that Apple demands. The broader change that needs to occur will only be possible with continued strategic collaboration across law enforcement, governments, non-governmental organizations and multiple industries.
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Risk Mitigation and Future Due Diligence Measures
Apple designed its due diligence measures to conform to OECD Due Diligence Guidance. Apple’s supply chain mapping and due diligence activities have highlighted specific improvements Apple intends to pursue not only to advance its own due diligence measures but also to mitigate and address systemic risks:
• | Continuing to pressure smelters and refiners to participate in Third Party Audit programs and work with iTSCi to improve capabilities of reporting and addressing risks in the supply chain; |
• | Continuing to work with its suppliers to help them better understand and fully satisfy Apple’s Subject Minerals requirements; |
• | Continuing to engage with Third Party Audit programs to support OECD Due Diligence Guidance to better align and address gaps in the systems, processes and protocols for audit programs; |
• | Continuing to encourage improved monitoring, transparent reporting (including the ongoing development of incident classification and follow-up expectations), and alignment both in the iTSCi system and through additional in-region programs and stakeholders to contribute to a more lasting impact in the mineral supply chain and governance of the Region; and |
• | Accelerating enforcement and reporting through partnerships with government and non-government organizations as well as companies and other actors similarly committed to driving sustainable change in the Region. |
Determination
Based on the information provided by Apple’s suppliers and its own due diligence efforts through December 31, 2015 (see Annex I), Apple believes that the facilities that may have been used to process the Subject Minerals in Apple’s products include the smelters and refiners listed in Annex II below.
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Through the smelter and refiner identification and validation process, Apple has identified a total of 284 smelters and refiners as potential sources of Subject Minerals that, initially, were believed to have been in its supply chain at some point during 2015 (see Annex II). Of this group, 242 smelters and refiners were determined to be in Apple’s supply chain as of December 31, 2015. Of the remaining 42, Apple determined that seven smelters and refiners were found to be inoperative during 2015 and the remaining 35 reported smelters and refiners were actively removed from Apple’s supply chain at the request of Apple. Of these 35 removed smelters and refiners, 24 had been reported in previous Apple Conflict Minerals Reports and the remaining were newly identified and reported to Apple in 2015. While mineral stock from removed smelters and refiners may remain in Apple’s supply chain, Apple has no reason to believe that any of the foregoing 42 smelters and refiners were sourcing minerals from the Region.
Apple’s reasonable country of origin inquiry is based on Third Party Audit information and, to the extent that country of origin information has not been audited, additional information collected by it and others. To the extent reasonably possible, Apple has documented the country of origin of identified smelters and refiners based on information received through the CFSP, surveys of smelters and refiners, and/or third party reviews of publicly available information. However, some country of origin information has not been audited by a third party because, among other reasons, applicable smelters and refiners have gone out of operation before completing a Third Party Audit, smelters and refiners have not gone through a Third Party Audit, or the Third Party Audit does not yet include reporting of country of origin information. Therefore, Apple does not have sufficient information to conclusively determine the countries of origin of the Subject Minerals in all of its products; however, based on the information provided by Apple’s suppliers, smelters, and refiners, as well as from the CFSP and other sources, Apple believes that the Subject Minerals contained in its products originate from the countries listed in Annex III below, as well as from recycled and scrap sources.
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Of all of the smelters and refiners of Subject Minerals identified for 2015, Apple found no reasonable basis for concluding that any such smelter or refiner sourced Subject Minerals that directly or indirectly finance or benefit armed groups. The 29 smelters and refiners known to be sourcing from the DRC or an adjoining country all completed a Third Party Audit.* Of these 29 smelters and refiners, 23 have undergone a Third Party Audit requiring the review of the smelter or refiner’s traceability of Subject Minerals and the smelter or refiner’s country of origin information in addition to a validation of its due diligence systems. The remaining six were audited with respect to their due diligence systems and Apple expects them, as part of their next Third Party Audit, to have their country of origin information audited.
About this Report
This report has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1 to December 31, 2015.
This report relates to the process undertaken for Apple products that were manufactured, or contracted to be manufactured, during 2015 and that contain Subject Minerals.
These products are Apple’s iPhone®, iPad®, Mac®, iPod®, Apple TV®, Apple Watch®, Beats® products, displays, and Apple accessories. Third party products that Apple retails but that it does not manufacture or contract to manufacture are outside of the scope of this report. The smelters and refiners identified in this report include smelters and refiners producing service or spare parts contract manufactured in 2015 for use in connection with the subsequent service of previously sold products, including products serviced in subsequent years using those parts. This report does not include smelters and/or refiners of tantalum, tin, tungsten, and gold included in end-of-life service parts for products that Apple no longer manufactures or contracts to manufacture.
* | The foregoing does not include smelters and refiners indirectly sourcing from the DRC or adjoining countries by acquiring Subject Minerals from these 29 smelters and refiners. |
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This report’s use of the terms “smelters” and “refiners” refers to the facilities processing primary Subject Minerals to retail purity. Apple suppliers have in some cases reported smelters and refiners that Apple believes are not operational or may have been misidentified as smelters and refiners. As a result, Apple continues to conduct independent research on smelters and refiners and to work with suppliers throughout its supply chain to re-validate, improve, and refine their reported information, taking into account supply chain fluctuations and other changes in status or scope and relationships over time. “Identified” smelters and refiners are those that (i) have been reported in supplier surveys, (ii) Apple believes are currently operational, were operational at some point during the applicable year or, while inoperative, were capable of re-engagement with minimal delay or effort, and (iii) otherwise meet the definition of a smelter or refiner. As part of its reasonable country of origin inquiry, Apple concluded that several processing facilities are using only recycled material. Facilities that process only secondary materials (i.e., scrap or recycled material) are excluded from the scope of this report, except where the entity has undergone a Third Party Audit and is otherwise identified in Annex II.
Participating smelters and refiners are those that have agreed to participate in, or have been found compliant with, the CFSP or cross-recognized independent third party conflict minerals audit programs confirming their conflict mineral sourcing practices. Such programs may also include audits of traceability requirements, conformity with OECD Due Diligence Guidance, management systems, and/or risk assessments. Cross-recognized independent third party conflict minerals audit programs include the LBMA’s Responsible Gold Program and the Responsible Jewellery Council Chain-of-Custody Certification. Throughout this report the audits by these programs are included in references to “Third Party Audit” programs.
This report includes forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, that involve risks and uncertainties. Forward-looking statements provide current expectations of future events based on certain assumptions and include any statement that does not directly relate to any historical or current fact. Forward-looking statements can also be identified by words such as “expects,” “plans,” “intends,” “will,” “may,” and similar terms. Forward-looking statements are not guarantees of future performance. Apple assumes no obligation to revise or update any forward-looking statements for any reason, except as required by law. Subsequent events may affect Apple’s future determinations under Rule 13p-1.
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ANNEX I
Design of Due Diligence
Apple designed its due diligence measures to conform to the OECD Due Diligence Guidance.
2015 Due Diligence Measures Performed:
1. | Apple required relevant suppliers to source from smelters and refiners that have participated in an independent Third Party Audit program. As such, Apple identified smelters and refiners that did not meet this requirement and informed relevant suppliers of these smelters and refiners. |
2. | Apple provided audit preparation assistance and remediation support to certain individual smelters and refiners, by assessing, improving or correcting their current due diligence practices and documentation to the industry standard required to pass an independent Third Party Audit. |
3. | In order to determine whether reported smelters and refiners, identified as potentially sourcing Subject Minerals from the DRC or adjoining countries, may be associated with armed groups: |
• | Apple compared information provided by the CFSP against other publicly available information. This publicly available information included investigation reports from non-governmental organizations and international organizations that have conducted investigations on individuals and companies associated with armed groups. |
• | Apple reviewed the public regional bi-annual iTSCi incident reports that were still open at the beginning of 2015. This review concluded that there were reports of relevant incidents involving armed groups and smelters and refiners potentially in Apple’s supply chain. This finding triggered further review of iTSCi incident reports and iTSCi member reports opened in January – December of 2015 to identify which reports related to armed group interference in the mineral supply chain, whether these incidents had been followed-up and remediated, and whether the incidents could be linked to smelters and refiners in Apple’s supply chain. |
4. | In response to the delisting of the Al Kaloti Jewelers Factory Limited (“Al Kaloti”) in April 2015, from the Dubai Good Delivery list, Apple commissioned a third party consultant to conduct an independent investigation on potential links between Al Kaloti and refiners that have been reported in Apple’s supply chain. The objective of the investigation was to identify whether reported gold refiners may be associated with armed groups. The initial investigation was completed in September 2015, and further follow up is ongoing. |
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ANNEX II
Smelters And Refiners Reported In Apple’s Supply Chain As Of December 31, 2015.
Smelters or refiners that complete a Third Party Audit will be approved for Apple’s supply chain; otherwise, such smelters and refiners will be removed from Apple’s supply chain.
Subject | Facility Name of Smelter of Refiner | Country location of Smelter or Refiner | ||||
1 | Gold | Aida Chemical Industries Co., Ltd.* | Japan | |||
2 | Gold | Allgemeine Gold-und Silberscheideanstalt AG | Germany | |||
3 | Gold | Almalyk Mining and Metallurgical Complex | Uzbekistan | |||
4 | Gold | AngloGold Ashanti Córrego do Sítio Mineraçäo | Brazil | |||
5 | Gold | Argor-Heraeus S.A. | Switzerland | |||
6 | Gold | Asahi Pretec Corp. | Japan | |||
7 | Gold | Asahi Refining Canada, Ltd. | Canada | |||
8 | Gold | Asahi Refining USA, Inc. | United States | |||
9 | Gold | Asaka Riken Co., Ltd.* | Japan | |||
10 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | |||
11 | Gold | Aurubis AG | Germany | |||
12 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | |||
13 | Gold | Boliden AB | Sweden | |||
14 | Gold | C. Hafner GmbH + Co. KG | Germany | |||
15 | Gold | CCR Refinery – Glencore Canada Corp. | Canada | |||
16 | Gold | Cendres + Métaux S.A. | Switzerland | |||
17 | Gold | Chimet S.p.A. | Italy | |||
18 | Gold | Daejin Indus Co., Ltd. | Republic of Korea | |||
19 | Gold | Doduco GmbH | Germany | |||
20 | Gold | Dowa | Japan |
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21 | Gold | DSC (Do Sung Corp.) | Republic of Korea | |||
22 | Gold | ECO-System Recycling Co., Ltd.* | Japan | |||
23 | Gold | Elemetal Refining, LLC | United States | |||
24 | Gold | Faggi Enrico S.p.A. | Italy | |||
25 | Gold | Great Wall Precious Metals Co., LTD. of CBPM | China | |||
26 | Gold | Heimerle + Meule GmbH* | Germany | |||
27 | Gold | Heraeus Ltd. Hong Kong | China | |||
28 | Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | |||
29 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | |||
30 | Gold | Ishifuku Metal Industry Co., Ltd. | Japan | |||
31 | Gold | Istanbul Gold Refinery | Turkey | |||
32 | Gold | Japan Mint | Japan | |||
33 | Gold | Jiangxi Copper Co., Ltd. | China | |||
34 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russia | |||
35 | Gold | JSC UralElectromed | Russia | |||
36 | Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | |||
37 | Gold | Kazzinc | Kazakhstan | |||
38 | Gold | Kennecott Utah Copper, LLC | United States | |||
39 | Gold | Kojima Chemicals Co., Ltd. | Japan | |||
40 | Gold | Kyrgyzaltyn JSC | Kyrgyzstan | |||
41 | Gold | L’ azurde Co. For Jewelry** | Saudi Arabia | |||
42 | Gold | LS-NIKKO Copper, Inc. | Republic of Korea | |||
43 | Gold | Materion | United States | |||
44 | Gold | Matsuda Sangyo Co., Ltd. | Japan | |||
45 | Gold | Metalor Technologies (Hong Kong), Ltd. | China | |||
46 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | |||
47 | Gold | Metalor Technologies (Suzhou) Ltd. | China |
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48 | Gold | Metalor Technologies S.A. | Switzerland | |||
49 | Gold | Metalor USA Refining Corp. | United States | |||
50 | Gold | Metalúrgica Met-Mex Peñoles S.A. de C.V. | Mexico | |||
51 | Gold | Mitsubishi Materials Corp. | Japan | |||
52 | Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | |||
53 | Gold | MMTC-PAMP India Pvt., Ltd. | India | |||
54 | Gold | Moscow Special Alloys Processing Plant | Russia | |||
55 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | |||
56 | Gold | Navoi Mining and Metallurgy Combinat | Uzbekistan | |||
57 | Gold | Nihon Material Co., Ltd. | Japan | |||
58 | Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Austria | |||
59 | Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | |||
60 | Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Russia | |||
61 | Gold | OJSC Novosibirsk Refinery | Russia | |||
62 | Gold | PAMP S.A. | Switzerland | |||
63 | Gold | Prioksky Plant of Non-Ferrous Metals | Russia | |||
64 | Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | |||
65 | Gold | PX Précinox S.A. | Switzerland | |||
66 | Gold | Rand Refinery (Pty) Ltd. | South Africa | |||
67 | Gold | Republic Metals Corp. | United States | |||
68 | Gold | Royal Canadian Mint | Canada | |||
69 | Gold | Samduck Precious Metals | Republic of Korea | |||
70 | Gold | Schone Edelmetaal B.V. | Netherlands | |||
71 | Gold | SEMPSA Joyería Platería S.A. | Spain | |||
72 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | |||
73 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | |||
74 | Gold | Singway Technology Co., Ltd. | Taiwan |
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75 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russia | |||
76 | Gold | Solar Applied Materials Technology Corp. | Taiwan | |||
77 | Gold | Sumitomo Metal Mining Co., Ltd. | Japan | |||
78 | Gold | T.C.A. S.p.A | Italy | |||
79 | Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | |||
80 | Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | |||
81 | Gold | Tokuriki Honten Co., Ltd. | Japan | |||
82 | Gold | Torecom | Republic of Korea | |||
83 | Gold | Umicore Brasil Ltda. | Brazil | |||
84 | Gold | Umicore Precious Metals Thailand | Thailand | |||
85 | Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | |||
86 | Gold | United Precious Metal Refining, Inc.* | United States | |||
87 | Gold | Valcambi S.A. | Switzerland | |||
88 | Gold | Western Australian Mint trading as The Perth Mint | Australia | |||
89 | Gold | Yamamoto Precious Metal Co., Ltd.* | Japan | |||
90 | Gold | Yokohama Metal Co., Ltd.** | Japan | |||
91 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corp. | China | |||
92 | Gold | Zijin Mining Group Co., Ltd. Gold Refinery | China | |||
93 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | |||
94 | Tantalum | Conghua Tantalum and Niobium Smeltry | China | |||
95 | Tantalum | D Block Metals, LLC* | United States | |||
96 | Tantalum | Duoluoshan | China | |||
97 | Tantalum | Exotech, Inc. | United States | |||
98 | Tantalum | F&X Electro-Materials, Ltd. | China | |||
99 | Tantalum | FIR Metals & Resource Ltd. | China | |||
100 | Tantalum | Global Advanced Metals Aizu | Japan |
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101 | Tantalum | Global Advanced Metals Boyertown | United States | |||
102 | Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | |||
103 | Tantalum | H.C. Starck Co., Ltd.* | Thailand | |||
104 | Tantalum | H.C. Starck GmbH Goslar | Germany | |||
105 | Tantalum | H.C. Starck GmbH Laufenburg | Germany | |||
106 | Tantalum | H.C. Starck Hermsdorf GmbH | Germany | |||
107 | Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany | |||
108 | Tantalum | H.C. Starck, Inc. | United States | |||
109 | Tantalum | H.C. Starck, Ltd. | Japan | |||
110 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | |||
111 | Tantalum | Hi-Temp Specialty Metals, Inc.* | United States | |||
112 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | |||
113 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | |||
114 | Tantalum | JiuJiang Tanbre Co., Ltd. | China | |||
115 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | |||
116 | Tantalum | Kemet Blue Metals | Mexico | |||
117 | Tantalum | KEMET Blue Powder | United States | |||
118 | Tantalum | King-Tan Tantalum Industry, Ltd. | China | |||
119 | Tantalum | LSM Brasil S.A. | Brazil | |||
120 | Tantalum | Metallurgical Products India Pvt., Ltd. | India | |||
121 | Tantalum | Mineração Taboca S.A. | Brazil | |||
122 | Tantalum | Mitsui Mining & Smelting* | Japan | |||
123 | Tantalum | Molycorp Silmet A.S. | Estonia | |||
124 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | |||
125 | Tantalum | Plansee SE Liezen | Austria | |||
126 | Tantalum | Plansee SE Reutte | Austria | |||
127 | Tantalum | QuantumClean* | United States | |||
128 | Tantalum | Resind Indústria e Comércio, Ltda. | Brazil |
Apple Inc. | 2015 Conflict Minerals Report | A-6
129 | Tantalum | RFH Tantalum Smeltry Co., Ltd. | China | |||
130 | Tantalum | Solikamsk Magnesium Works OAO | Russia | |||
131 | Tantalum | Taki Chemicals | Japan | |||
132 | Tantalum | Telex Metals | United States | |||
133 | Tantalum | Tranzact, Inc.* | United States | |||
134 | Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | |||
135 | Tantalum | XinXing Haorong Electronic Material Co., Ltd. | China | |||
136 | Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China | |||
137 | Tantalum | Zhuzhou Cement Carbide | China | |||
138 | Tin | Alpha | United States | |||
139 | Tin | An Vinh Joint Stock Mineral Processing Co. | Vietnam | |||
140 | Tin | China Tin Group Co., Ltd. | China | |||
141 | Tin | Cooperativa Metalurgica de Rondônia Ltda. | Brazil | |||
142 | Tin | CV Ayi Jaya | Indonesia | |||
143 | Tin | CV Gita Pesona | Indonesia | |||
144 | Tin | CV Serumpun Sebalai | Indonesia | |||
145 | Tin | CV United Smelting | Indonesia | |||
146 | Tin | CV Venus Inti Perkasa | Indonesia | |||
147 | Tin | Dowa | Japan | |||
148 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Co. | Vietnam | |||
149 | Tin | Elmet S.L.U. (Metallo Group)* | Spain | |||
150 | Tin | EM Vinto | Bolivia | |||
151 | Tin | Feinhütte Halsbrücke GmbH | Germany | |||
152 | Tin | Fenix Metals | Poland | |||
153 | Tin | Gejiu Kai Meng Industry and Trade LLC | China | |||
154 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | |||
155 | Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China | |||
156 | Tin | Magnu’s Minerais Metais e Ligas, Ltda. | Brazil |
Apple Inc. | 2015 Conflict Minerals Report | A-7
157 | Tin | Malaysia Smelting Corp. (MSC) | Malaysia | |||
158 | Tin | Melt Metais e Ligas S.A. | Brazil | |||
159 | Tin | Metallic Resources, Inc. | United States | |||
160 | Tin | Metallo-Chimique N.V. | Belgium | |||
161 | Tin | Mineração Taboca S.A. | Brazil | |||
162 | Tin | Minsur | Peru | |||
163 | Tin | Mitsubishi Materials Corp.* | Japan | |||
164 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Co. | Vietnam | |||
165 | Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | Thailand | |||
166 | Tin | O.M. Manufacturing Philippines, Inc.* | Philippines | |||
167 | Tin | Operaciones Metalurgical S.A. | Bolivia | |||
168 | Tin | PT Aries Kencana Sejahtera | Indonesia | |||
169 | Tin | PT Artha Cipta Langgeng | Indonesia | |||
170 | Tin | PT ATD Makmur Mandiri Jaya | Indonesia | |||
171 | Tin | PT Babel Inti Perkasa | Indonesia | |||
172 | Tin | PT Bangka Prima Tin | Indonesia | |||
173 | Tin | PT Bangka Tin Industry | Indonesia | |||
174 | Tin | PT Belitung Industri Sejahtera | Indonesia | |||
175 | Tin | PT BilliTin Makmur Lestari | Indonesia | |||
176 | Tin | PT Bukit Timah | Indonesia | |||
177 | Tin | PT Cipta Persada Mulia | Indonesia | |||
178 | Tin | PT DS Jaya Abadi | Indonesia | |||
179 | Tin | PT Eunindo Usaha Mandiri | Indonesia | |||
180 | Tin | PT Inti Stania Prima | Indonesia | |||
181 | Tin | PT Justindo | Indonesia | |||
182 | Tin | PT Mitra Stania Prima | Indonesia | |||
183 | Tin | PT Panca Mega Persada | Indonesia | |||
184 | Tin | PT Prima Timah Utama | Indonesia |
Apple Inc. | 2015 Conflict Minerals Report | A-8
185 | Tin | PT Sariwiguna Binasentosa | Indonesia | |||
186 | Tin | PT Stanindo Inti Perkasa | Indonesia | |||
187 | Tin | PT Sumber Jaya Indah | Indonesia | |||
188 | Tin | PT Timah (Persero) Tbk Kundur | Indonesia | |||
189 | Tin | PT Timah (Persero) Tbk Mentok | Indonesia | |||
190 | Tin | PT Tinindo Inter Nusa | Indonesia | |||
191 | Tin | PT Wahana Parkit Jaya | Indonesia | |||
192 | Tin | PT Refined Bangka Tin** | Indonesia | |||
193 | Tin | Resind Indústria e Comércio, Ltda. | Brazil | |||
194 | Tin | Rui Da Hung | Taiwan | |||
195 | Tin | Soft Metais, Ltda. | Brazil | |||
196 | Tin | Thaisarco | Thailand | |||
197 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Co. | Vietnam | |||
198 | Tin | VQB Mineral and Trading Group JSC | Vietnam | |||
199 | Tin | White Solder Metalurgia e Mineração, Ltda. | Brazil | |||
200 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | |||
201 | Tin | Yunnan Tin Co., Ltd.** | China | |||
202 | Tungsten | A.L.M.T. Tungsten Corp. | Japan | |||
203 | Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | |||
204 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | |||
205 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | |||
206 | Tungsten | Dayu Weiliang Tungsten Co., Ltd. | China | |||
207 | Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | China | |||
208 | Tungsten | FuJian JinXin Tungsten Co., Ltd. | China | |||
209 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | |||
210 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | |||
211 | Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China |
Apple Inc. | 2015 Conflict Minerals Report | A-9
212 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | |||
213 | Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China | |||
214 | Tungsten | Global Tungsten & Powders Corp. | United States | |||
215 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | |||
216 | Tungsten | H.C. Starck GmbH | Germany | |||
217 | Tungsten | H.C. Starck Smelting GmbH & Co. KG* | Germany | |||
218 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | |||
219 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | |||
220 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | China | |||
221 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | |||
222 | Tungsten | Hydrometallurg, JSC | Russia | |||
223 | Tungsten | Japan New Metals Co., Ltd. | Japan | |||
224 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | |||
225 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | |||
226 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | |||
227 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | |||
228 | Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China | |||
229 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | |||
230 | Tungsten | Kennametal Fallon | United States | |||
231 | Tungsten | Kennametal Huntsville | United States | |||
232 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | |||
233 | Tungsten | Niagara Refining LLC | United States | |||
234 | Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Vietnam | |||
235 | Tungsten | Pobedit, JSC* | Russia | |||
236 | Tungsten | Sanher Tungsten Vietnam Co., Ltd. | Vietnam | |||
237 | Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam |
Apple Inc. | 2015 Conflict Minerals Report | A-10
238 | Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Vietnam | |||
239 | Tungsten | Wolfram Bergbau und Hütten AG | Austria | |||
240 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | |||
241 | Tungsten | Xiamen Tungsten Co., Ltd. | China | |||
242 | Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China |
Smelters And Refiners Identified In Apple’s Supply Chain During 2015 But Subsequently Determined to Be Inoperative Or Removed Prior to December 31, 2015.
Some smelters or refiners that are no longer reported in Apple’s supply chain may currently be participating in a Third Party Audit.
Subject | Facility Name of Smelter or Refiner | Country location of Smelter or Refiner | ||||
1 | Gold | Advanced Chemical Co. | United States | |||
2 | Gold | Caridad | Mexico | |||
3 | Gold | Daye Non-Ferrous Metals Mining Ltd. | China | |||
4 | Gold | Gansu Seemine Material High-Tech Co., Ltd. | China | |||
5 | Gold | Guangdong Jinding Gold Ltd. | China | |||
6 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | |||
7 | Gold | Hunan Chenzhou Mining Group Co., Ltd. | China | |||
8 | Gold | Hwasung CJ Co., Ltd. | Republic of Korea | |||
9 | Gold | KGHM Polska Miedź Spółka Akcyjna | Poland | |||
10 | Gold | Korea Metal Co., Ltd. | Republic of Korea | |||
11 | Gold | Lingbao Gold Co., Ltd. | China | |||
12 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | |||
13 | Gold | Luoyang Zijin Yinhui Metal Smelting Co., Ltd. | China | |||
14 | Gold | Morris and Watson | New Zealand | |||
15 | Gold | OJSC Kolyma Refinery | Russia |
Apple Inc. | 2015 Conflict Minerals Report | A-11
16 | Gold | Penglai Penggang Gold Industry Co., Ltd. | China | |||
17 | Gold | Sabin Metal Corp. | United States | |||
18 | Gold | Samwon Metals Corp. | Republic of Korea | |||
19 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | |||
20 | Gold | Tongling Nonferrous Metals Group Holdings Co., Ltd. | China | |||
21 | Gold | Wieland Edelmetalle GmbH | Germany | |||
22 | Gold | Yantai Guoda Safina High-Advanced Refining Co. Ltd. | China | |||
23 | Gold | Yunnan Copper Industry Co., Ltd. | China | |||
24 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | |||
25 | Tin | CNMC (Guangxi) PGMA Co., Ltd. | China | |||
26 | Tin | Estanho de Rondônia S.A. | Brazil | |||
27 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | |||
28 | Tin | Gejiu Zi-Li | China | |||
29 | Tin | Huichang Jinshunda Tin Co., Ltd. | China | |||
30 | Tin | Linwu Xianggui Smelter Co. | China | |||
31 | Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | China | |||
32 | Tin | PT Alam Lestari Kencana | Indonesia | |||
33 | Tin | PT Bangka Kudai Tin | Indonesia | |||
34 | Tin | PT Bangka Putra Karya | Indonesia | |||
35 | Tin | PT Bangka Timah Utama Sejahtera | Indonesia | |||
36 | Tin | PT Karimun Mining** | Indonesia | |||
37 | Tin | PT Seirama Tin Investment | Indonesia | |||
38 | Tin | PT Timah Nusantara | Indonesia | |||
39 | Tin | PT Tirus Putra Mandiri | Indonesia | |||
40 | Tin | PT Tommy Utama** | Indonesia | |||
41 | Tungsten | Ganxian Shirui New Material Co., Ltd. | China | |||
42 | Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | China |
Apple Inc. | 2015 Conflict Minerals Report | A-12
* | The smelter/refiner is believed to process Subject Minerals solely from recycled or scrap sources. It is listed alongside smelters and refiners in this Annex to highlight its efforts to complete a Third Party Audit. Other smelters and refiners determined to be processing Subject Minerals solely from recycled or scrap sources, which have not undergone a Third Party Audit or which are not seeking to participate in a Third Party Audit, are not listed. |
** | The smelter/refiner has changed its compliance or operational status since December 31, 2015. |
Note: Smelter and refiner facility names originate from information provided by the LBMA and/or the CFSP.
Apple Inc. | 2015 Conflict Minerals Report | A-13
ANNEX III
Argentina
Australia
Austria
Azerbaijan
Belgium
Bolivia
Botswana
Brazil
Burkina Faso
Burundi*
Cambodia
Canada
Chile
China
Colombia
Côte D’Ivoire
Czech Republic
Democratic Republic of the Congo*
Djibouti
Dominican Republic
Ecuador
Egypt
Estonia
Ethiopia
Finland
France
Germany
Ghana
Guinea
Guyana
Hungary
India
Indonesia
Ireland
Israel
Japan
Kazakhstan
Kenya
Kyrgyz Republic
Laos
Liberia
Luxembourg
Madagascar
Malaysia
Mali
Mauritania
Mauritius
Mongolia
Mozambique
Myanmar
Namibia
Netherlands
Nigeria
Peru
Poland
Portugal
Republic of Korea
Russia
Rwanda*
Sierra Leone
Singapore
Slovakia
South Africa
Spain
Suriname
Sweden
Switzerland
Taiwan
Tanzania*
Thailand
United Kingdom
United States
Uzbekistan
Vietnam
Zambia*
Zimbabwe
* | The DRC or Adjoining Countries |
Apple Inc. | 2015 Conflict Minerals Report | A-14