Apple
APPLE INC (Form: SD, Received: 05/05/2017 06:09:49)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

 

LOGO

Apple Inc.

(Exact name of registrant as specified in its charter)

 

 

 

California   001-36743   94-2404110

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

1 Infinite Loop

Cupertino, California 95014

(Address of principal executive offices) (Zip Code)

D. Bruce Sewell

Senior Vice President,

General Counsel and Secretary

(408) 996-1010

(Name and telephone number, including area code, of the

person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.

 

 

 


Section 1 – Conflict Minerals Disclosure

Items 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit

Conflict Minerals Disclosure

A copy of Apple Inc.’s (“Apple’s”) Conflict Minerals Report for the reporting period January 1, 2016 to December 31, 2016 is provided as Exhibit 1.01 hereto and is publicly available at investor.apple.com/sec.cfm. Apple’s determination and related disclosures relating to materials that may come from recycled and scrap sources are included in Apple’s Conflict Minerals Report and incorporated by reference herein.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report for the reporting period January 1, 2016 to December 31, 2016.

* * * * *

 

2


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

Apple Inc.

 

By:

 

/s/ D. Bruce Sewell

   

Date: May 5, 2017

 

D. Bruce Sewell

   
 

Senior Vice President,

   
 

General Counsel and Secretary

   

 

3


EXHIBIT INDEX

 

Exhibit

Number

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2016 to December 31, 2016.

 

4

Exhibit 1.01

CONFLICT MINERALS REPORT

Overview of Apple’s Commitment to Responsible Sourcing

Apple is committed to responsible sourcing and seeks to ensure that the minerals in its products do not directly or indirectly finance armed conflict or benefit armed groups. As of December 31, 2016—and for the second year in a row—all identified smelters and refiners* in Apple’s supply chain for all current products had participated in an independent third-party conflict minerals audit program for gold, columbite-tantalite (coltan), cassiterite, wolframite, tantalum, tin, and tungsten (collectively, the “Subject Minerals”). Throughout its supply chain, Apple aims to drive industry-leading practices for responsible sourcing, including from high-risk areas such as the Democratic Republic of the Congo and adjoining countries.

Apple urged smelters and refiners to complete the audit process and simultaneously removed those unwilling to participate in an independent third-party conflict minerals audit. Apple goes far beyond legal requirements and has developed a holistic risk assessment tool and made it available industry-wide. Of the 250 identified smelters and refiners of Subject Minerals, 75% have completed this additional risk assessment on issues beyond the scope of current third-party conflict minerals audits. Going forward, Apple plans to continue to encourage smelters and refiners to follow strict guidelines, offering assistance on due diligence requirements, and removing smelters and refiners not willing to comply.

While reaching 100% participation is significant, Apple knows further due diligence measures are needed to improve conditions for people on the ground. To this end, Apple has supported various civil society initiatives in the Democratic Republic of the Congo. Apple also believes that tracking incident reporting is key to supply chain due diligence efforts. In 2016, Apple worked to ensure the review of over 1,300 smelter, refiner, and mine-level reports including human rights and security concerns. Reviewing reports helps suppliers identify and address risks to protect miners and the communities in the supply chain.

As the African Great Lakes Region faces ongoing challenges to secure lasting change, Apple believes that all stakeholders—governments, non-governmental organizations, industries, and local communities—will need to heighten their efforts to implement comprehensive due diligence programs.

 

 

* 250 in total as of December 31, 2016.

 

 

 

 

1


Details of Apple’s Approach to Responsible Sourcing

Apple Foundational Due Diligence

Apple has driven a steady increase in smelters and refiners (hereinafter, collectively, “smelters”) participating in an independent third-party conflict minerals audit (a “Third Party Audit”). In 2015, Apple reached its goal of 100% participation, and again achieved 100% in 2016. As of December 31, 2016, 96% of smelters in Apple’s supply chain had completed their audit and 4% were in the process of completing one. Apple is closely tracking their progress.

 

LOGO

Apple continues to believe Third Party Audits play a significant role in providing assurances that smelters have due diligence systems in place to ensure that their operations and sourcing do not support conflict in the Democratic Republic of the Congo (“DRC”) and adjoining countries. In order to meet the target of 100% participation, Apple continuously works hard to persuade new smelters to join Third Party Audit programs, including assisting many of them in understanding conflict minerals due diligence expectations (see Annex I for further details).

In 2016, 18 new smelters joined a Third Party Audit program and were approved and reported to be in Apple’s supply chain. Apple believes that, among other things, continued pressure on smelters removed from Apple’s supply chain in previous years for not participating in a Third Party Audit led to some smelters joining such programs for the first time in 2016. As a result, those smelters have been reapproved to enter Apple’s supply chain. At the same time, in 2016 Apple directed the removal of 22 smelters not willing to participate in, or complete, a Third Party Audit by Apple’s deadline.

 

 

 

2


Apple regularly receives conflict minerals related data from its suppliers and works to improve the quality of that data. Apple conducts in-person spot audits to verify the accuracy of reported data and to ensure corrective actions are taken where gaps may exist. Based on the findings from these spot audits and other supplier outreach, Apple has developed training for over 500 suppliers and internal teams, which are now in various stages of implementing such training.

In 2016, Apple provided online and/or in-person training to suppliers on due diligence expectations and practices and related reporting in line 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 (“OECD Due Diligence Guidance”). Apple has also spent significant time educating suppliers on how embargoing materials from the DRC and adjoining countries can stymie progress in protecting human rights. In addition, suppliers found to have gaps in management systems, in data management, or in reporting smelters not meeting Apple’s requirements have received tailored support to address their shortfalls.

As part of its reasonable due diligence, in 2016 Apple sought to improve risk identification efforts by smelters. Based on its 2016 review of public smelter reporting, Apple found in certain instances that smelters did not report on all identified risks or provide specific risk responses in all cases. Apple works to go above and beyond what’s required by law to help smelters report, assess, and mitigate risk in their business practices. Accordingly, Apple developed a new tool—the Risk Readiness Assessment (the “RRA”)—to assess comprehensive risks faced by particular smelters. The RRA includes 24 key metrics necessary in appraising holistic risk in the supply chain.

Apple received RRA responses from 75% of the Subject Minerals smelters in its supply chain in 2016. This work indicated that smelters were more aware of their conflict minerals risks than other areas of risk (see Annex I for further details). Apple has used the results from these RRAs to make sure that smelter risk identification, management, and reporting are further in line with the OECD Due Diligence Guidance.

Apple has leveraged its work on conflict minerals and holistic risk assessment into industry-wide tools. As an active member of the Conflict-Free Sourcing Initiative (the “CFSI”), Apple collaborated with the CFSI to incorporate its supplier audit methodology into an industry-wide, downstream audit program. In addition, Apple donated its supplier training content in-kind to the CFSI, and Apple is also donating its RRA methodology and tool through the Electronic Industry Citizenship Coalition. Apple’s aim is to make these resources available for use across a wider base of suppliers.

 

 

 

 

3


Further Due Diligence

Maintaining supply chain accountability is an ongoing challenge when sourcing from conflict regions such as the DRC and adjoining countries. Apple has addressed this challenge by not relying solely on existing sources of information, but instead seeking out new sources within the DRC and adjoining countries. Apple actively seeks to ensure review of mine-level and smelter incident reports potentially related to its supply chain and reported through monitoring systems, non-governmental organizations (“NGOs”), media, and private reports. By looking to both existing and new sources of information, Apple is better able to identify risks as they develop, which Apple believes complements the work of Third Party Audit programs.

Tracking and Addressing Identified Risks

In 2015, Apple began monitoring and reviewing reports generated through the ITRI’s Tin Supply Chain Initiative (“iTSCi”) reporting system, relating to incidents potentially associated with mine sites supplying smelters in the electronics and international supply chain. As reported in Apple’s Conflict Minerals Report for 2015, three of these incidents connected to material linked to smelters reported in Apple’s supply chain involved individuals identified as members or potential members of armed groups. Apple has received assurances that these three incidents ultimately resulted in corrective actions, including sanctions for alleged perpetrators or redress by local authorities.

In 2016, Apple reviewed over 1,300 incidents from iTSCi, local NGOs, and other reports. Through follow-up information provided by iTSCi, NGOs, and the London Bullion Market Association (“LBMA”) to date, Apple has received confirmation that 15 incidents potentially 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, the DRC national army, and a Mai Mai group, were alleged to be involved. As of the filing date of this report, not all 2016 incidents have been publicly reported, fully traced to minerals associated with smelters, resolved, or remediated. Through its ongoing incident review process, Apple continues to review these and other incidents and follow up accordingly.

Notwithstanding limitations on its ability to trace minerals and categorically resolve and remediate incidents, Apple has sought to confirm that each of the 15 incidents was followed up on, including, where appropriate, by applicable local authorities. Each of the incidents appears to have involved a variety of different illicit activities, from theft, robbery, illegal taxation, and bribery, to corruption, fraud, and other criminal activity, potentially for personal gain, based on information received to date. In five of these cases, the alleged perpetrators have been sanctioned or the specific incident has otherwise received some level of official redress by the local authorities. In two cases, security and due diligence were improved near mine sites to prevent future risks, and no further security or diligence concerns appear to have been reported. Of the remaining eight cases, five occurred near the end of 2016, and investigations and corrective actions are still in process with respect to these cases. In one case involving illegal taxation, no corrective actions were specifically taken due to a lack of local stakeholder engagement to resolve the issue, and further actions appear to be needed at the DRC national level to mitigate the risk in the future. Finally, in the two other cases, each involving gold, review by the LBMA is still ongoing with relevant supply chain actors to clarify incident details, supply chain linkage, and appropriate or required corrective actions.

 

 

 

 

4


More generally, Apple continues to be actively engaged with relevant stakeholders to better understand the incident reports and how they are addressed, including, where appropriate, by applicable local authorities. However, with respect to the 15 incidents identified, 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 continue to prevent the traceability of any specific mineral shipment through the entire manufacturing process.

Of the 2016 incidents that were monitored and closed by iTSCi, 20% were addressed through improvements in governance and security, which included arrests and prosecution of perpetrators as well as other actions taken by local authorities, such as steps to reduce corruption. With respect to other 2016 incidents that were monitored and closed, 7% were addressed through human rights or health and safety risk mitigation, including repayment to miners or families for damages. In 3% of closed incidents, mines, companies, or minerals were actually suspended or seized, which demonstrates the extent to which responsible sourcing requirements impact businesses. Moreover, due diligence improvements, covering everything from administrative corrections to changes in company sourcing practices, represented 41% of all 2016 monitored and closed incidents, and such steps demonstrate the continuous improvement occurring along the supply chain.

 

LOGO

 

 

 

 

 

5


In some cases, there may be incidents that are not fully addressed despite ongoing monitoring and resolution efforts. Apple understands that unresolved incidents may be due to a variety of factors, such as the lack of engagement by local authorities, stakeholders, or supply chain actors, or in some cases due to lack of international agreement on the disposal of seized minerals. In the cases where supply chain actors that are linked to issues have not taken recommended actions to reasonably and systematically address identified risks, Apple has been informed that these supply chain actors are warned by relevant stakeholders and ultimately may be suspended by the DRC government or iTSCi program. Apple continues to engage with both iTSCi and local authorities to ensure all risks are addressed. However, follow-up efforts require broader and more systematic engagement by other stakeholders in the supply chain to be fully effective.

Action Toward Risk Prevention and Mitigation

In 2016, Apple further developed a process to identify, categorize, and follow up on alleged incidents potentially connected to smelters in Apple’s supply chain. Apple worked directly with the Responsible Jewellery Council (“RJC”), LBMA, and CFSI to test new and existing OECD-aligned processes for investigating and resolving these alleged incidents. Apple continues to work with third-party grievance channels to clarify processes for following up on these incidents and ensuring, where necessary, responsible corrective actions are taken (see Annex I for further details). Apple intends to work with smelters and third parties to continue developing the necessary practices for resolving any credible incidents in a timely manner. Apple expects these practices to include public reporting on proactive risk identification and reactive risk resolutions.

Apple’s further due diligence also includes supporting various civil society initiatives on the ground. In 2016, Apple supported programs to expand whistleblowing and monitoring networks in several new provinces of the DRC that empower the general public to report conflict or serious human rights issues. Additionally, Apple supported the Public Private Alliance for Responsible Minerals Trade, which has selected International Peace Information Service to test oversight of two major gold trading hubs.

In 2016, Apple continued its commitment to responsible sourcing of artisanal gold. Apple participated in the Responsible Artisanal Gold Solutions Forum (“RAGS”). Through the Partnership Africa Canada’s Just Gold project, and in collaboration with RAGS, Apple is supporting efforts to overcome challenges in exporting responsible artisanal gold from the DRC to a major gold refiner. Separately, Apple has continued to engage gold industry stakeholders, including banking and jewelry industry groups, to encourage strong leadership on responsible sourcing from these key gold users.

Risk Mitigation and Future Due Diligence Measures

Apple will continue to seek responsible sourcing of conflict minerals throughout its supply chain. Without constant improvements to due diligence practices, any strides forward in human rights and better working conditions can evaporate relatively quickly. Apple is committed to not letting that happen. Going forward, in order to improve due diligence and mitigate and address systemic risks in conflict minerals sourcing, Apple intends to:

 

    Continue to seek qualitative improvements in supplier and smelter due diligence of conflict minerals.

 

 

 

 

6


   

Broaden participation rates and depth of smelter risk identification and risk reporting.

 

   

Continue collaborating with various stakeholders for improvement in tracking and addressing incidents and greater accountability in the conflict minerals sector.

 

   

Support smelters and third-party organizations to advance addressing and resolving relevant incidents.

Determination

Based on the information provided by Apple’s suppliers and its own due diligence efforts through December 31, 2016 (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 listed in Annex II. Through the smelter identification and validation process, Apple has identified a total of 311 smelters as potential sources of Subject Minerals that, initially, were believed to have been in its supply chain at some point during 2016 (see Annex II). Of the 311 smelters:

 

   

250 smelters were determined to be in Apple’s Subject Minerals supply chain as of December 31, 2016;

   

15 smelters were subsequently found to be inoperative during 2016; and

   

46 smelters were removed and no longer reported in Apple’s supply chain as of December 31, 2016.

Of the 46 removed smelters:

 

   

24 had been reported and confirmed removed from Apple’s supply chain in previous Apple Conflict Minerals Reports and, following initial supplier reporting of these smelters again in 2016, were re-removed during the year; and

   

22 were newly removed in 2016 at Apple’s request.

Of these 22 newly removed smelters:

 

   

8 had been previously participating and previously reported but subsequently stopped participating in a Third Party Audit program; and

   

14 were newly identified and reported to Apple in 2016.

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 based on information received through the CFSI’s Third Party Audit program—the Conflict-Free Smelter Program (the “CFSP”), the LBMA, surveys of smelters, 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 have gone out of operation before completing a Third Party Audit, smelters have not gone through a Third Party Audit, or the particular Third Party Audit program has not yet required reporting of country of origin information from all smelters. 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 and smelters, as well as from the CFSP, LBMA, and other sources, Apple believes that the Subject Minerals contained in its products originate from the countries listed in Annex III, as well as from recycled and scrap sources.

 

 

 

7


Of all of the smelters of Subject Minerals identified for 2016, Apple found no reasonable basis for concluding that any such smelter sourced Subject Minerals that directly or indirectly finance or benefit armed groups. Of the 35 smelters known to be sourcing from the DRC or an adjoining country, all participated in a Third Party Audit. The foregoing does not include smelters indirectly sourcing from the DRC or adjoining countries by acquiring Subject Minerals from these 35 smelters. Of the 35 smelters:

 

   

33 smelters have undergone a Third Party Audit involving the review of the smelter’s traceability of Subject Minerals, in addition to a validation of its due diligence systems and country of origin information;

   

One smelter was audited with respect to its due diligence systems and Apple has requested that the Third Party Audit program have country of origin information audited by next calendar year; and

   

One smelter did not finish its Third Party Audit, due to intermittent operations throughout the year preventing it from meeting requirements for validation of corrective actions and the completion of the audit process. As a result, Apple required the removal of this smelter from its supply chain until such time as the auditor is able to complete the Third Party Audit.

About This Report

The 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, 2016.

This report relates to the process undertaken for Apple products that were manufactured, or contracted to be manufactured, during 2016 and that contain Subject Minerals.

These products are Apple’s iPhone®, iPad®, Mac®, iPod®, Apple TV®, Apple Watch®, AirPods™, 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 identified in this report include smelters producing service or spare parts contract manufactured in 2016 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 of tantalum, tin, tungsten, and gold included in end-of-life service parts for products that Apple no longer manufactures or contracts to manufacture.

 

 

 

 

8


This report’s use of the term “smelters” refers to the facilities (i.e., a smelter or refiner) processing primary Subject Minerals to retail purity. Apple suppliers have in some cases reported smelters that Apple believes are not operational or may have been misidentified as smelters. As a result, Apple continues to conduct independent research on smelters 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 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. 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 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 minerals 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 RJC’s 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.

 

 

 

 

 

9


ANNEX I†

Design of Due Diligence

Apple designed its due diligence measures to conform to the OECD Due Diligence Guidance.

2016 Due Diligence Measures Performed:

 

  1.

Apple required relevant suppliers to source from smelters that have participated in an independent Third Party Audit program. As such, Apple identified smelters that did not meet this requirement and informed relevant suppliers of these smelters. Apple conducted outreach to smelters not yet participating in a Third Party Audit program, and participating smelters appearing to delay the completion of their Third Party Audits, to request their timely participation and completion of an audit in order to meet this requirement.

 

  2.

Apple encouraged improved monitoring and transparent tracking of incidents, in order to determine whether reported smelters, identified as potentially sourcing Subject Minerals from the DRC or adjoining countries, may be associated with armed groups.

 

  a)

Apple compared information provided by the CFSP against other publicly available information. This publicly available information included investigation reports from NGOs and international organizations that have conducted investigations on individuals and companies associated with armed groups.

 

  b)

Apple provided a methodology from its 2015 iTSCi incident review process and supported the development of a joint incident review process between CFSI and iTSCi in 2016. Apple analyzed CFSI’s review of 2016 iTSCi incidents to identify which reports related to potential armed group interference in applicable mineral supply chains, whether these incidents had been followed up and addressed, and whether the incidents could be linked to smelters in Apple’s tin, tantalum, or tungsten supply chains.

 

  c)

Apple identified and tracked available local NGO reports from the DRC related to mine site incidents to supplement the iTSCi incident collection process and verify coverage of the iTSCi monitoring system. The review identified only six incidents that had not been monitored by iTSCi, and Apple accordingly took steps to make sure that incidents relevant to the iTSCi system were in fact included and followed up by the iTSCi’s incident monitoring process.

 

 

Certain terms used in this Annex are defined in the report.

 

 

 

 

10


  3.

Apple encouraged and made suggestions to Third Party Audit programs to improve their programs and to test and develop new and existing grievance channels.

 

  a)

In 2015, Apple commissioned a third-party consultant to identify whether reported gold refiners may have been associated with armed groups. In 2016, Apple conducted due diligence to further assess the accuracy of allegations presented and, as applicable, to review relevant documentation supportive of specific allegations. Apple has shared and will continue to share results of its investigation with Third Party Audit programs that are certifying the due diligence of such gold refiners to ensure follow-up and resolution through appropriate third-party grievance channels.

 

  b)

In connection with item 2(c) above, Apple followed up on identified incidents from local NGO reports in the gold supply chain through the LBMA to determine what, if any, corrective actions had occurred. LBMA’s investigation into these incidents is still ongoing.

 

  c)

In addition to testing grievance channels, Apple contributed to the OECD process to better align the systems, processes, and protocols of Third Party Audit programs.

 

  4.

Apple conducted a secondary review of OECD Due Diligence Guidance “Step 5” reporting (namely, with respect to reporting annually on supply chain due diligence), on a test basis, by certain smelters in its supply chain to assess the quality of how smelters are reporting and addressing risks. Apple also requested additional smelter reporting on a broader set of risks from all reported smelters through Apple’s own Risk Readiness Assessment.

 

 

 

 

 

11


ANNEX II†

Smelter List

List 1: Smelters reported in Apple’s Supply Chain as of December 31, 2016.

 

#    Subject
Mineral
   Facility Name of Smelter   

Country

Location of

Smelter

       

1

   Gold    Advanced Chemical Co.*    United States
       

2

   Gold    Aida Chemical Industries Co., Ltd.    Japan
       

3

   Gold    Allgemeine Gold-und Silberscheideanstalt AG    Germany
       

4

   Gold    Almalyk Mining and Metallurgical Complex    Uzbekistan
       

5

   Gold    AngloGold Ashanti Córrego do Sítio Mineraçäo    Brazil
       

6

   Gold    Argor-Heraeus S.A.    Switzerland
       

7

   Gold    Asahi Pretec Corp.*    Japan
       

8

   Gold    Asahi Refining Canada Ltd.    Canada
       

9

   Gold    Asahi Refining USA Inc.    United States
       

10

   Gold    Asaka Riken Co., Ltd.*    Japan
       

11

   Gold    AU Traders and Refiners    South Africa
       

12

   Gold    Aurubis AG    Germany
       

13

   Gold    Bangalore Refinery    India
       

14

   Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines
       

15

   Gold    Boliden AB    Sweden
       

16

   Gold    C. Hafner GmbH + Co. KG    Germany
       

17

   Gold    CCR Refinery – Glencore Canada Corp.    Canada
       

18

   Gold    Cendres + Métaux S.A.    Switzerland
       

19

   Gold    Chimet S.p.A.    Italy
       

20

   Gold    Daejin Indus Co., Ltd.**    Republic of Korea

 

Certain terms used in this Annex are defined in the report.

 

 

 

 

12


       

21

  

Gold

  

Daye Non-Ferrous Metals Mining Ltd.

  

China

       

22

  

Gold

  

Doduco GmbH*

  

Germany

       

23

  

Gold

  

Dowa*

  

Japan

       

24

  

Gold

  

DSC (Do Sung Corp.)

  

Republic of Korea

       

25

  

Gold

  

Eco-System Recycling Co., Ltd.*

  

Japan

       

26

  

Gold

  

Elemetal Refining LLC**

  

United States

       

27

  

Gold

  

Emirates Gold DMCC

  

United Arab Emirates

       

28

  

Gold

  

Geib Refining Corp.

  

United States

       

29

  

Gold

  

Great Wall Precious Metals Co., Ltd. of CBPM

  

China

       

30

  

Gold

  

Heimerle + Meule GmbH

  

Germany

       

31

  

Gold

  

Heraeus Ltd. Hong Kong

  

China

       

32

  

Gold

  

Heraeus Precious Metals GmbH  & Co. KG

  

Germany

       

33

  

Gold

  

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

  

China

       

34

  

Gold

  

Ishifuku Metal Industry Co., Ltd.

  

Japan

       

35

  

Gold

  

Istanbul Gold Refinery

  

Turkey

       

36

  

Gold

  

Japan Mint

  

Japan

       

37

  

Gold

  

Jiangxi Copper Co., Ltd.

  

China

       

38

  

Gold

  

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

  

Russia

       

39

  

Gold

  

JSC UralElectromed

  

Russia

       

40

  

Gold

  

JX Nippon Mining  & Metals Co., Ltd.

  

Japan

       

41

  

Gold

  

Kazzinc

  

Kazakhstan

       

42

  

Gold

  

Kennecott Utah Copper LLC

  

United States

       

43

  

Gold

  

KGHM Polska Miedź Spółka Akcyjna

  

Poland

       

44

  

Gold

  

Kojima Chemicals Co., Ltd.*

  

Japan

       

45

  

Gold

  

Kyrgyzaltyn JSC

  

Kyrgyzstan

       

46

  

Gold

  

LS-NIKKO Copper Inc.

  

Republic of Korea

       

47

  

Gold

  

Materion*

  

United States

 

 

 

 

13


       

48

  

Gold

  

Matsuda Sangyo Co., Ltd.

  

Japan

       

49

  

Gold

  

Metalor Technologies (Hong Kong) Ltd.

  

China

       

50

  

Gold

  

Metalor Technologies (Singapore) Pte., Ltd.

  

Singapore

       

51

  

Gold

  

Metalor Technologies (Suzhou) Ltd.

  

China

       

52

  

Gold

  

Metalor Technologies S.A.

  

Switzerland

       

53

  

Gold

  

Metalor USA Refining Corp.

  

United States

       

54

  

Gold

  

Metalúrgica Met-Mex Peñoles S.A. de C.V.

  

Mexico

       

55

  

Gold

  

Mitsubishi Materials Corp.

  

Japan

       

56

  

Gold

  

Mitsui Mining and Smelting Co., Ltd.

  

Japan

       

57

  

Gold

  

MMTC-PAMP India Pvt., Ltd.

  

India

       

58

  

Gold

  

Moscow Special Alloys Processing Plant

  

Russia

       

59

  

Gold

  

Nadir Metal Rafineri San. Ve Tic A.Ş.

  

Turkey

       

60

  

Gold

  

Navoi Mining and Metallurgical Combinat

  

Uzbekistan

       

61

  

Gold

  

Nihon Material Co., Ltd.

  

Japan

       

62

  

Gold

  

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

  

Austria

       

63

  

Gold

  

Ohura Precious Metal Industry Co., Ltd.*

  

Japan

       

64

  

Gold

   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plan” (OJSC Krastsvetmet)   

Russia

       

65

  

Gold

  

OJSC Novosibirsk Refinery

  

Russia

       

66

  

Gold

  

PAMP S.A.

  

Switzerland

       

67

  

Gold

  

Prioksky Plant of Non-Ferrous Metals

  

Russia

       

68

  

Gold

  

PT Aneka Tambang (Persero) Tbk

  

Indonesia

       

69

  

Gold

  

PX Précinox S.A.

  

Switzerland

       

70

  

Gold

  

Rand Refinery (Pty) Ltd.

  

South Africa

       

71

  

Gold

  

Republic Metals Corp.

  

United States

       

72

  

Gold

  

Royal Canadian Mint

  

Canada

       

73

  

Gold

  

Samduck Precious Metals*

  

Republic of Korea

       

74

  

Gold

  

SAXONIA Edelmetalle GmbH*

  

Germany

       

75

  

Gold

  

Schone Edelmetaal B.V.

  

Netherlands

 

 

 

 

14


       

76

   Gold    SEMPSA Joyería Platería S.A.    Spain
       

77

   Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China
       

78

   Gold    Sichuan Tianze Precious Metals Co., Ltd.    China
       

79

   Gold    Singway Technology Co., Ltd.*    Taiwan
       

80

   Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russia
       

81

   Gold    Solar Applied Materials Technology Corp.    Taiwan
       

82

   Gold    Sumitomo Metal Mining Co., Ltd.    Japan
       

83

   Gold    T.C.A. S.p.A.    Italy
       

84

   Gold    Tanaka Kikinzoku Kogyo K.K.    Japan
       

85

   Gold    The Refinery of Shandong Gold Mining Co., Ltd.    China
       

86

   Gold    Tokuriki Honten Co., Ltd.    Japan
       

87

   Gold    Torecom*    Republic of Korea
       

88

   Gold    Umicore Brasil Ltda.    Brazil
       

89

   Gold    Umicore Precious Metals Thailand    Thailand
       

90

   Gold    Umicore S.A. Business Unit Precious Metals Refining    Belgium
       

91

   Gold    United Precious Metal Refining Inc.*    United States
       

92

   Gold    Valcambi S.A.    Switzerland
       

93

   Gold    Western Australian Mint trading as The Perth Mint    Australia
       

94

   Gold    Wieland Edelmetalle GmbH*    Germany
       

95

   Gold    Yamamoto Precious Metal Co., Ltd.*    Japan
       

96

   Gold    Yokohama Metal Co., Ltd.*    Japan
       

97

   Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corp.    China
       

98

   Gold    Zijin Mining Group Co., Ltd. Gold Refinery    China
       

99

   Tantalum    Changsha South Tantalum Niobium Co., Ltd.    China
       

100

   Tantalum    Conghua Tantalum and Niobium Smeltry    China
       

101

   Tantalum    D Block Metals LLC    United States
       

102

   Tantalum    Duoluoshan    China
       

103

   Tantalum    Exotech Inc.    United States
       

104

   Tantalum    F&X Electro-Materials Ltd.    China

 

 

 

15


       

105

  

Tantalum

  

FIR Metals & Resource Ltd.

  

China

       

106

  

Tantalum

  

Global Advanced Metals Aizu

  

Japan

       

107

  

Tantalum

  

Global Advanced Metals Boyertown

  

United States

       

108

  

Tantalum

  

Guangdong Zhiyuan New Material Co., Ltd.

  

China

       

109

  

Tantalum

  

H.C. Starck Co., Ltd.

  

Thailand

       

110

  

Tantalum

  

H.C. Starck Hermsdorf GmbH

  

Germany

       

111

  

Tantalum

  

H.C. Starck Inc.

  

United States

       

112

  

Tantalum

  

H.C. Starck Ltd.

  

Japan

       

113

  

Tantalum

  

H.C. Starck Smelting GmbH  & Co. KG

  

Germany

       

114

  

Tantalum

  

H.C. Starck Tantalum and Niobium GmbH, Goslar

  

Germany

       

115

  

Tantalum

  

Hengyang King Xing Lifeng New Materials Co., Ltd.

  

China

       

116

  

Tantalum

  

Jiangxi Dinghai Tantalum  & Niobium Co., Ltd.

  

China

       

117

  

Tantalum

  

Jiangxi Tuohong New Raw Material

  

China

       

118

  

Tantalum

  

JiuJiang JinXin Nonferrous Metals Co., Ltd.

  

China

       

119

  

Tantalum

  

Jiujiang Nonferrous Metals Smelting Corp., Ltd.

  

China

       

120

  

Tantalum

  

Jiujiang Zhongao Tantalum  & Niobium Co., Ltd.

  

China

       

121

  

Tantalum

  

Kemet Blue Metals

  

Mexico

       

122

  

Tantalum

  

Kemet Blue Powder

  

United States

       

123

  

Tantalum

  

King-Tan Tantalum Industry Ltd.

  

China

       

124

  

Tantalum

  

LSM Brasil S.A.

  

Brazil

       

125

  

Tantalum

  

Metallurgical Products India Pvt., Ltd.

  

India

       

126

  

Tantalum

  

Mineração Taboca S.A.

  

Brazil

       

127

  

Tantalum

  

Mitsui Mining  & Smelting

  

Japan

       

128

  

Tantalum

  

Molycorp Silmet A.S.

  

Estonia

       

129

  

Tantalum

  

Ningxia Orient Tantalum Industry Co., Ltd.

  

China

       

130

  

Tantalum

  

Plansee SE Liezen**

  

Austria

       

131

  

Tantalum

  

Plansee SE Reutte**

  

Austria

       

132

  

Tantalum

  

Power Resources Ltd.

  

Malta

       

133

  

Tantalum

  

QuantumClean*

  

United States

 

 

 

16


       

134

  

Tantalum

  

Resind Indústria e Comércio Ltda.

  

Brazil

       

135

  

Tantalum

  

RFH Tantalum Smeltry Co., Ltd.

  

China

       

136

  

Tantalum

  

Solikamsk Magnesium Works OAO

  

Russia

       

137

  

Tantalum

  

Taki Chemicals

  

Japan

       

138

  

Tantalum

  

Telex Metals

  

United States

       

139

  

Tantalum

  

Tranzact Inc.*

  

United States

       

140

  

Tantalum

  

Ulba Metallurgical Plant JSC

  

Kazakhstan

       

141

  

Tantalum

  

XinXing Haorong Electronic Material Co., Ltd.

  

China

       

142

  

Tantalum

  

Yichun Jin Yang Rare Metal Co., Ltd.

  

China

       

143

  

Tantalum

  

Zhuzhou Cemented Carbide Group Corp., Ltd.

  

China

       

144

  

Tin

  

Alpha

  

United States

       

145

  

Tin

  

An Vinh Joint Stock Mineral Processing Co.

  

Vietnam

       

146

  

Tin

  

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

  

China

       

147

  

Tin

  

China Tin Group Co., Ltd.

  

China

       

148

  

Tin

  

Cooperativa Metalurgica de Rondônia Ltda.

  

Brazil

       

149

  

Tin

  

CV Ayi Jaya

  

Indonesia

       

150

  

Tin

  

CV Dua Sekawan

  

Indonesia

       

151

  

Tin

  

CV Gita Pesona

  

Indonesia

       

152

  

Tin

  

CV Serumpun Sebalai

  

Indonesia

       

153

  

Tin

  

CV Tiga Sekawan

  

Indonesia

       

154

  

Tin

  

CV United Smelting

  

Indonesia

       

155

  

Tin

  

CV Venus Inti Perkasa

  

Indonesia

       

156

  

Tin

  

Dowa

  

Japan

       

157

  

Tin

  

Electro-Mechanical Facility of the Cao Bang Minerals  & Metallurgy Joint Stock Co.

  

Vietnam

       

158

  

Tin

  

Elmet S.L.U. (Metallo Group)

  

Spain

       

159

  

Tin

  

EM Vinto

  

Bolivia

       

160

  

Tin

  

Fenix Metals

  

Poland

       

161

  

Tin

  

Gejiu Kai Meng Industry and Trade LLC

  

China

 

 

 

17


       

162

  

Tin

  

Gejiu Non-Ferrous Metal Processing Co., Ltd.

  

China

       

163

  

Tin

  

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

  

China

       

164

  

Tin

  

Guanyang Guida Nonferrous Metal Smelting Plant

  

China

       

165

  

Tin

  

HuiChang Hill Tin Industry Co., Ltd.

  

China

       

166

  

Tin

  

Jiangxi Ketai Advanced Material Co., Ltd.

  

China

       

167

  

Tin

  

Magnu’s Minerais Metais e Ligas Ltda.

  

Brazil

       

168

  

Tin

  

Malaysia Smelting Corp. (MSC)

  

Malaysia

       

169

  

Tin

  

Melt Metais e Ligas S.A.

  

Brazil

       

170

  

Tin

  

Metallic Resources Inc.*

  

United States

       

171

  

Tin

  

Metallo-Chimique N.V.

  

Belgium

       

172

  

Tin

  

Mineração Taboca S.A.

  

Brazil

       

173

  

Tin

  

Minsur

  

Peru

       

174

  

Tin

  

Mitsubishi Materials Corp.*

  

Japan

       

175

  

Tin

  

O.M. Manufacturing (Thailand) Co., Ltd.*

  

Thailand

       

176

  

Tin

  

O.M. Manufacturing Philippines Inc.

  

Philippines

       

177

  

Tin

  

Operaciones Metalurgical S.A.

  

Bolivia

       

178

  

Tin

  

PT Aries Kencana Sejahtera

  

Indonesia

       

179

  

Tin

  

PT Artha Cipta Langgeng

  

Indonesia

       

180

  

Tin

  

PT ATD Makmur Mandiri Jaya

  

Indonesia

       

181

  

Tin

  

PT Babel Inti Perkasa

  

Indonesia

       

182

  

Tin

  

PT Bangka Prima Tin

  

Indonesia

       

183

  

Tin

  

PT Bangka Tin Industry

  

Indonesia

       

184

  

Tin

  

PT Belitung Industri Sejahtera

  

Indonesia

       

185

  

Tin

  

PT Bukit Timah

  

Indonesia

       

186

  

Tin

  

PT Cipta Persada Mulia

  

Indonesia

       

187

  

Tin

  

PT DS Jaya Abadi

  

Indonesia

       

188

  

Tin

  

PT Eunindo Usaha Mandiri

  

Indonesia

       

189

  

Tin

  

PT Inti Stania Prima

  

Indonesia

       

190

  

Tin

  

PT Kijang Jaya Mandiri

  

Indonesia

 

 

 

18


       

191

  

Tin

  

PT Mitra Stania Prima

  

Indonesia

       

192

  

Tin

  

PT Panca Mega Persada

  

Indonesia

       

193

  

Tin

  

PT Prima Timah Utama

  

Indonesia

       

194

  

Tin

  

PT Refined Bangka Tin

  

Indonesia

       

195

  

Tin

  

PT Sariwiguna Binasentosa

  

Indonesia

       

196

  

Tin

  

PT Stanindo Inti Perkasa

  

Indonesia

       

197

  

Tin

  

PT Sukses Inti Makmur

  

Indonesia

       

198

  

Tin

  

PT Sumber Jaya Indah

  

Indonesia

       

199

  

Tin

  

PT Timah (Persero) Tbk Kundur

  

Indonesia

       

200

  

Tin

  

PT Timah (Persero) Tbk Mentok

  

Indonesia

       

201

  

Tin

  

PT Tinindo Inter Nusa

  

Indonesia

       

202

  

Tin

  

PT Tommy Utama

  

Indonesia

       

203

  

Tin

  

Resind Indústria e Comércio Ltda.

  

Brazil

       

204

  

Tin

  

Rui Da Hung

  

Taiwan

       

205

  

Tin

  

Soft Metais Ltda.

  

Brazil

       

206

  

Tin

  

Thaisarco

  

Thailand

       

207

  

Tin

  

VQB Mineral and Trading Group JSC

  

Vietnam

       

208

  

Tin

  

White Solder Metalurgia e Mineração Ltda.

  

Brazil

       

209

  

Tin

  

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

  

China

       

210

  

Tin

  

Yunnan Tin Co., Ltd.

  

China

       

211

  

Tungsten

  

A.L.M.T. Tungsten Corp.

  

Japan

       

212

  

Tungsten

  

Asia Tungsten Products Vietnam Ltd.

  

Vietnam

       

213

  

Tungsten

  

Chenzhou Diamond Tungsten Products Co., Ltd.

  

China

       

214

  

Tungsten

  

Chongyi Zhangyuan Tungsten Co., Ltd.

  

China

       

215

  

Tungsten

  

FuJian JinXin Tungsten Co., Ltd.

  

China

       

216

  

Tungsten

  

Ganzhou Huaxing Tungsten Products Co., Ltd.

  

China

       

217

  

Tungsten

  

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

  

China

       

218

  

Tungsten

  

Ganzhou Seadragon W  & Mo Co., Ltd.

  

China

       

219

  

Tungsten

  

Global Tungsten & Powders Corp.

  

United States

 

 

 

19


       

220

  

Tungsten

  

Guangdong Xianglu Tungsten Co., Ltd.

  

China

       

221

  

Tungsten

  

H.C. Starck Smelting GmbH

  

Germany

       

222

  

Tungsten

  

H.C. Starck Smelting GmbH  & Co. KG*

  

Germany

       

223

  

Tungsten

  

Hunan Chenzhou Mining Co., Ltd.

  

China

       

224

  

Tungsten

  

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

  

China

       

225

  

Tungsten

  

Hunan Chunchang Nonferrous Metals Co., Ltd.

  

China

       

226

  

Tungsten

  

Hydrometallurg JSC

  

Russia

       

227

  

Tungsten

  

Japan New Metals Co., Ltd.

  

Japan

       

228

  

Tungsten

  

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

  

China

       

229

  

Tungsten

  

Jiangxi Gan Bei Tungsten Co., Ltd.

  

China

       

230

  

Tungsten

  

Jiangxi Tonggu Non-ferrous Metallurgical  & Chemical Co., Ltd.

  

China

       

231

  

Tungsten

  

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

  

China

       

232

  

Tungsten

  

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

  

China

       

233

  

Tungsten

  

Jiangxi Yaosheng Tungsten Co., Ltd.

  

China

       

234

  

Tungsten

  

Kennametal Fallon

  

United States

       

235

  

Tungsten

  

Kennametal Huntsville

  

United States

       

236

  

Tungsten

  

Malipo Haiyu Tungsten Co., Ltd.

  

China

       

237

  

Tungsten

  

Moliren Ltd.

  

Russia

       

238

  

Tungsten

  

Niagara Refining LLC

  

United States

       

239

  

Tungsten

  

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

  

Vietnam

       

240

  

Tungsten

  

Philippine Chuangxin Industrial Co., Inc.*

  

Philippines

       

241

  

Tungsten

  

South-East Nonferrous Metal Co., Ltd. of Hengyang City

  

China

       

242

  

Tungsten

  

Tejing (Vietnam) Tungsten Co., Ltd.

  

Vietnam

       

243

  

Tungsten

  

Unecha Refractory Metals Plant

  

Russia

       

244

  

Tungsten

  

Vietnam Youngsun Tungsten Industry Co., Ltd.

  

Vietnam

       

245

  

Tungsten

  

Wolfram Bergbau und Hütten AG

  

Austria

       

246

  

Tungsten

  

Woltech Korea Co., Ltd.

  

Republic of Korea

       

247

  

Tungsten

  

Xiamen Tungsten (H.C.) Co., Ltd.

  

China

 

 

 

20


       

248

  

Tungsten

  

Xiamen Tungsten Co., Ltd.

  

China

       

249

  

Tungsten

  

Xinfeng Huarui Tungsten  & Molybdenum New Material Co., Ltd.

  

China

       

250

  

Tungsten

  

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

  

China

 

 

 

 

 

 

 

21


List 2: Smelters identified in Apple’s Supply Chain during 2016, but subsequently determined to be inoperative or removed prior to December 31, 2016.

 

#    Subject
Mineral
   Facility Name of Smelter   

Country

Location of

Smelter

       

1

   Gold    Al Etihad Gold Refinery DMCC    United Arab Emirates
       

2

   Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey
       

3

   Gold    Caridad    Mexico
       

4

   Gold    Gansu Seemine Material High-Tech Co., Ltd.    China
       

5

   Gold    Guangdong Jinding Gold Ltd.    China
       

6

   Gold    Gujarat Gold Centre    India
       

7

   Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China
       

8

   Gold    Hunan Chenzhou Mining Group Co., Ltd.    China
       

9

   Gold    Hwasung CJ Co., Ltd.    Republic of Korea
       

10

   Gold    Kazakhmys Smelting LLC    Kazakhstan
       

11

   Gold    Korea Zinc Co., Ltd.    Republic of Korea
       

12

   Gold    L’azurde Co. For Jewelry    Saudi Arabia
       

13

   Gold    Lingbao Gold Co., Ltd.    China
       

14

   Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China
       

15

   Gold    Luoyang Zijin Yinhui Metal Smelting Co., Ltd.    China
       

16

   Gold    Modeltech Sdn Bhd    Malaysia
       

17

   Gold    Morris and Watson    New Zealand
       

18

   Gold    OJSC Kolyma Refinery    Russia
       

19

   Gold    Penglai Penggang Gold Industry Co., Ltd.    China
       

20

   Gold    Remondis Argentia B.V.    Netherlands
       

21

   Gold    SAAMP    France
       

22

   Gold    Sabin Metal Corp.    United States
       

23

   Gold    SAFINA A.S.    Czech Republic

 

 

 

 

22


       

24

   Gold    Sai Refinery    India
       

25

   Gold    Samwon Metals Corp.    Republic of Korea
       

26

   Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China
       

27

   Gold    Tongling Nonferrous Metals Group Holdings Co., Ltd.    China
       

28

   Gold    TOO Tau-Ken-Altyn    Kazakhstan
       

29

   Gold    Yantai Guoda Safina High-Advanced Refining Co., Ltd.    China
       

30

   Gold    Yunnan Copper Industry Co., Ltd.    China
       

31

   Tantalum    Hi-Temp Specialty Metals Inc.    United States
       

32

   Tin    An Thai Minerals Co., Ltd.    Vietnam
       

33

   Tin    CNMC (Guangxi) PGMA Co., Ltd.    China
       

34

   Tin    Estanho de Rondônia S.A.    Brazil
       

35

   Tin    Gejiu Fengming Metallurgy Chemical Plant**    China
       

36

   Tin    Gejiu Jinye Mineral Co., Ltd.**    China
       

37

   Tin    Gejiu Zi-Li    China
       

38

   Tin    Huichang Jinshunda Tin Co., Ltd.    China
       

39

   Tin    Modeltech Sdn Bhd    Malaysia
       

40

   Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    China
       

41

   Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Co.    Vietnam
       

42

   Tin    Phoenix Metal Ltd.**    Rwanda
       

43

   Tin    PT Bangka Timah Utama Sejahtera    Indonesia
       

44

   Tin    PT BilliTin Makmur Lestari    Indonesia
       

45

   Tin    PT Justindo    Indonesia
       

46

   Tin    PT Karimun Mining    Indonesia
       

47

   Tin    PT O.M. Indonesia**    Indonesia
       

48

   Tin    PT Seirama Tin Investment    Indonesia
       

49

   Tin    PT Timah Nusantara    Indonesia
       

50

   Tin    PT Tirus Putra Mandiri    Indonesia
       

51

   Tin    PT Wahana Parkit Jaya    Indonesia

 

 

 

 

23


       

52

   Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Co.    Vietnam
       

53

   Tungsten    ACL Metais Eireli    Brazil
       

54

   Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.    China
       

55

   Tungsten    Dayu Weiliang Tungsten Co., Ltd.    China
       

56

   Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    China
       

57

   Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    China
       

58

   Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    China
       

59

   Tungsten    Jiangxi Minmetals Gao’ an Non-ferrous Metals Co., Ltd.    China
       

60

   Tungsten    Pobedit JSC    Russia
       

61

   Tungsten    Sanher Tungsten Vietnam Co., Ltd.    Vietnam

Note: Smelter facility names originate from information provided by the LBMA and/or the CFSP. Some smelters that are no longer reported in Apple’s supply chain may currently be participating in a Third Party Audit. Smelters that completed a Third Party Audit will be approved for Apple’s supply chain; otherwise, such smelters will be removed from Apple’s supply chain.

* The smelter is believed to process Subject Minerals solely from recycled or scrap sources. It is listed alongside smelters in this Annex to highlight its efforts to complete a Third Party Audit. Other smelters determined to be processing Subject Minerals solely from recycled or scrap sources reported to be in Apple’s supply chain, 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 has changed its compliance or operational status since December 31, 2016, which change in status may result in approval for Apple’s supply chain (in the case of completion of a Third Party Audit) or in a determination to remove such smelter from Apple’s supply chain (in the case of the inability or unwillingness to participate or complete a Third Party Audit).

 

 

 

 

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ANNEX III

 

Argentina

Armenia

Australia

Austria

Azerbaijan

Bolivia

Botswana

Brazil

Burkina Faso

Burundi*

Cambodia

Canada

Chile

China

Colombia

Côte D’Ivoire

Democratic Republic of the Congo*

Dominican Republic

Ecuador

Egypt

Ethiopia

Finland

France

Georgia

Ghana

Guinea

Guyana

India

Indonesia

Japan

Kazakhstan

Kenya

Kyrgyz Republic

Laos

Liberia

Madagascar

Malaysia

Mali

Mauritania

Mauritius

Mongolia

Morocco

Mozambique

Myanmar

Namibia

Nigeria

Papa New Guinea

Paraguay

Peru

Philippines

Poland

Portugal

Russia

Rwanda*

Sierra Leone

South Africa

Spain

Suriname

Sweden

Tajikistan

Tanzania*

Thailand

Turkey

United States

Uzbekistan

Venezuela

Vietnam

Zambia*

Zimbabwe

 

* The DRC or Adjoining Countries

 

 

 

 

 

 

25