SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

TOTAL S.A.

(Exact name of registrant as specified in its charter)

 

 

 

Republic of France   001-10888   98-0227345

(State or other jurisdiction of

incorporation or organization)

 

(Commission File

Number)

 

(IRS Employer

Identification No.)

2, place Jean Millier

La Défense 6

92400 Courbevoie

France

(Address of principal executive offices) (Zip Code)

Patrick de La Chevardière

Chief Financial Officer

Tel: +33 (0)1 47 44 45 46

Fax: +33 (0)1 47 44 49 44

(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, 2017.

 

 

 


TOTAL S.A. is providing on this Form SD disclosure in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended.


Section 1 – Conflict Minerals Disclosure

Item 1.01(b)

CONFLICT MINERALS DISCLOSURE

TOTAL S.A. (collectively with its subsidiaries and affiliates, “TOTAL” or the “Group”) is providing herein disclosure in accordance with Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934, as amended, which implements reporting and disclosure requirements related to certain minerals (referred to as “conflict minerals” under the Rule) as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. “Conflict Minerals” are defined in the Rule as the following minerals (regardless of their geographic origin): cassiterite, columbite-tantalite, gold, wolframite and certain derivatives of these minerals (i.e., tin, tantalum and tungsten).

TOTAL has established a management system to implement a diligence and reporting process concerning Conflict Minerals in accordance with the Rule. The Group’s diligence process is coordinated at the Holding level with division coordinators designated at each of the following business segments and operational entities: Exploration & Production, Gas, Renewables & Power, Refining & Chemicals, Trading & Shipping, Marketing & Services and Total Global Procurement1. Business managers, purchasing departments and/or suppliers within each such segment and operational entity were surveyed to determine if any conflict minerals had been included in products sold by Group affiliates in calendar year 2017. The diligence process with respect to Hutchinson S.A. and its affiliates, a subsidiary in the Refining & Chemicals segment, for the calendar year 2017 is currently still in progress. TOTAL intends to file an amendment to this Form SD to provide disclosure in accordance with the Rule.

Based on the responses received, it was determined that Saft Groupe S.A. and its affiliates (“Saft”), a subsidiary in the Gas, Renewables & Power segment, had manufactured, or contracted to have manufactured, certain products that contained Conflict Minerals, namely tin, tantalum, tungsten and/or gold, that were necessary to the functionality of those products (the “Necessary Conflict Minerals”). Relevant products included cells and batteries containing electronic devices and harnesses for use in transportation, telecom, electricity grid, space & defense and civil electronic applications.

As a result, Saft conducted in good faith a reasonable country of origin inquiry regarding the Necessary Conflict Minerals that was designed to determine whether any of them had originated in the Democratic Republic of the Congo or an adjoining country (each a “Covered Country”, as defined in the Rule) or were from recycled or scrap sources. As part of the reasonable country of origin inquiry, Saft surveyed all of its suppliers (by means of questionnaires, forms or other formats) in order to determine the country of origin of the Necessary Conflict Minerals.

Based on the suppliers’ responses, it was determined that a substantial percentage in terms of absolute numbers, volume supplied and purchasing spend of Saft’s suppliers certified that the Necessary Conflict Minerals supplied to it either originated from recycled or scrap sources or did not originate from the Covered Countries. A limited percentage of suppliers in absolute numbers, volume supplied and purchase spend sourced Necessary Conflict Minerals in 2017 from one or more of the Covered Countries. A review of these suppliers by Saft revealed them to be reputable, and mainly included major suppliers of the aviation and space industries, electronics and electrical components suppliers that are publically traded in Europe and the United States. In some instances, the origin of some of the Necessary Conflict Minerals could be traced to smelters that are compliant with the Responsible Minerals Assurance Process Initiative assessment protocol as set forth by the Responsible Minerals Initiative (formerly the Conflict-Free Sourcing Initiative). Moreover, Saft’s contracts with its suppliers require them to source responsibly, and Saft maintains an active dialogue with its suppliers on this topic. As a result, Saft does not have any reason to believe that their Necessary Conflict Minerals sourced in Covered Countries in calendar year 2017 directly or indirectly financed or benefitted armed groups. With respect to non-respondents to Saft’s country of origin questionnaires, which represented a small percentage of suppliers in absolute numbers, volume supplied

 

1  Since January 1, 2017, Total Global Procurement covers a large proportion of the Group’s goods and services purchasing, with the exception of crude oil and petroleum product purchasing by Trading & Shipping, gas and electricity purchasing by TOTAL Gas & Power Ltd. and the purchases made by Hutchinson S.A., Saft Groupe S.A. and SunPower Corporation.

 

1


and purchasing spend, diligence performed by Saft revealed no reason to believe such suppliers may have sourced the Necessary Conflict Minerals from a Covered Country.

In addition, SunPower Corporation, an American company listed on NASDAQ and based in San Jose, California (“SunPower”)1, is subject to the Rule and separately publishes information concerning its use of Conflict Minerals in certain of its products that it manufactured or contracted to manufacture (solar panels, balance of systems components). The text of SunPower’s disclosure for calendar year 2017 provided on its Form SD is included in Annex A to this document.

TOTAL is committed to responsible economic and social development in Africa.

TOTAL monitors responsible practices among its suppliers. In its Code of Conduct, TOTAL states that it works with its suppliers to ensure the protection of the interests of both parties on the basis of clear and fairly negotiated contractual conditions. This relationship is founded on three key principles: dialogue, professionalism and adherence to commitments.

TOTAL expects its suppliers to:

 

    adhere to principles equivalent to those in its own Code of Conduct, such as those set out in the Group’s Fundamental Principles of Purchasing Directive (see below);

 

    agree to be audited;

 

    be particularly attentive to the human rights-related aspects of their standards and procedures, in particular their employees’ working conditions; and

 

    ensure that their own suppliers and contractors respect equivalent principles.

The Fundamental Principles of Purchasing, launched in 2010 and formally set out in a Group directive in 2014 (the “Directive”), specify the commitments that TOTAL expects of its suppliers in the following areas:

 

    respect for human rights at work;

 

    health protection;

 

    assurance of safety and security;

 

    preservation of the environment;

 

    prevention of corruption, conflicts of interest and fraud;

 

    respect for competition law; and

 

    the promotion of economic and social development.

The Directive’s principles, which apply to all of the Group’s companies, are included or transposed in the agreements concluded with suppliers. In addition, these principles are available for consultation by all suppliers in both French and English in the “Suppliers” section on TOTAL’s Internet website at: https://www.total.com/en/suppliers/sustainable-purchasing-day-day-commitment.

Questionnaires focused on environmental and societal issues are used to gather more in-depth information from suppliers about their approach to these subjects, either during pre-qualification or as part of an audit. Supplier relations are also considered from an environmental and societal perspective on occasion as part of ethical assessments of Group subsidiaries and entities.

This conflict minerals disclosure is also available on TOTAL’s Internet website at: http://www.sustainable-performance.total.com/en/challenges/supply-chain-management.

 

1  As of December 31, 2017, the Group held 56.26% of the outstanding share capital of SunPower.

 

2


SIGNATURES

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.

 

        TOTAL S.A.
Date: May 31, 2018     By:   /s/ PATRICK DE LA CHEVARDIERE
      Name:   Patrick de LA CHEVARDIERE
      Title:   Chief Financial Officer


Annex A

SunPower Corporation

Conflict Minerals Disclosure

SunPower Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for 2017 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”1), and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 30, 2018.

Unless the context indicates otherwise, the term “SunPower” refers to SunPower Corporation and its consolidated subsidiaries, and “Service Provider” refers to the third party retained by SunPower to assist with supplier outreach and data validation of the responses received from suppliers. Some of the compliance activities described in this Conflict Minerals Report were performed by the Service Provider in coordination with SunPower. As used herein and consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.

This Conflict Minerals Report can be found on the SunPower website at: http://investors.sunpower.com/sec.cfm.

Forward-Looking Statements

This document contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Exchange Act. In particular, statements contained in this document that are not historical facts, including, but not limited to, statements concerning the additional steps that SunPower intends to take to mitigate the risk that its necessary 3TG benefit armed groups, constitute forward-looking statements and are made under the safe harbor provisions of Section 27A of the Securities Act and Section 21E of the Exchange Act.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties may include, but are not limited to, (1) the continued implementation of satisfactory traceability and other compliance measures by SunPower’s direct and indirect suppliers on a timely basis or at all, (2) whether smelters and refiners and other market participants responsibly source 3TG and (3) political and regulatory developments, whether in the Democratic Republic of the Congo (the “DRC”) or an adjoining country (collectively, the “Covered Countries”), the United States or elsewhere. SunPower cautions readers not to place undue reliance on any forward-looking statements, which only speak as of the date made. SunPower undertakes no obligation to update any forward-looking statement to reflect events or circumstances after the date on which such statement is made.

Overview; SunPower’s Products and Applicability of the Conflict Minerals Rule

SunPower is a leading global energy company that delivers complete solar solutions to residential, commercial, and power plant customers worldwide through an array of hardware, software, and financing options and through utility-scale solar power system construction and development capabilities, operations and maintenance services, and “Smart Energy” solutions. SunPower products include solar panels and balance of systems components that can include inverters, combiner boxes, racking systems, mechanical and motorized systems, and electrical tracking, monitoring and controller systems. Each of the product areas that SunPower manufactures and contracts to manufacture contains 3TG which is necessary to the functionality or production of such products. However, 3TG content continues to represent a small portion of the materials content of SunPower’s products. For 2017, SunPower was unable to determine the origin of at least a portion of the necessary 3TG in each of its products.

For a further discussion of SunPower’s products, see its Annual Report on Form 10-K for the fiscal year ended December 31, 2017. The information contained in the Form 10-K is not incorporated by reference into this Conflict Minerals Report or SunPower’s Form SD for 2017 and should not be considered part of this Conflict Minerals Report or the Form SD.

 

 

1 Definitions provided in this Annex are exclusive to this section.

 

1


SunPower is committed to human rights. As a result of this commitment, SunPower commenced its 3TG diligence activities in 2011, well before the adoption of the Conflict Minerals Rule.

SunPower is multiple levels removed from the mining of minerals (3TG or otherwise). SunPower does not make purchases of raw ore or refined minerals directly from smelters or refiners and makes no purchases in the Covered Countries. However, through the efforts described in this Conflict Minerals Report, SunPower seeks to ensure its suppliers are sourcing responsibly.

SunPower does not seek to embargo sourcing of 3TG from the Covered Countries and encourages its suppliers to continue to source 3TG responsibly from the region.

Reasonable Country of Origin Inquiry

To complete the “reasonable country of origin inquiry” (the “RCOI”) required by the Conflict Minerals Rule, SunPower and its Service Provider engaged with suppliers to collect information about the presence and source of 3TG used in products and components supplied to SunPower. For its RCOI, to the extent applicable, SunPower utilized the same processes and procedures as for its due diligence, in particular Steps 1 and 2 of the OECD Guidance (as defined below), which are discussed later in this Conflict Minerals Report.

The results of SunPower’s RCOI are discussed under “Findings Covering Smelters, Refiners and Country of Origin Information.”

Due Diligence Framework

SunPower utilizes due diligence measures for 3TG that are intended to conform with, in all material respects, the criteria set forth in the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Guidance”).

The OECD Guidance established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. SunPower’s application of this framework and selected due diligence measures are discussed in this section and within “Due Diligence Program Execution.” Application of the framework constitutes a part of the program that SunPower has put in place to help ensure that the 3TG contained in its products are responsibly sourced.

In an effort to increase supplier awareness about conflict minerals and related regulatory requirements, provide answers to frequently asked questions concerning 3TG mineral tracing, and ultimately improve the accuracy and completeness of supplier responses, suppliers that were part of SunPower’s outreach received access to the Service Provider’s online resources.

Compliance Team

In support of its compliance efforts, SunPower has a compliance team that is charged with overseeing, implementing and providing feedback on its 3TG compliance strategy. The team consists of staff from SunPower’s legal and operations groups, under executive leadership of our Executive Vice President, Global Operations. The members of the team and selected other internal personnel are trained on the Conflict Minerals Rule, the OECD Guidance, SunPower’s compliance plan, and the procedures for reviewing and validating supplier responses to its inquiries.

 

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SunPower also utilizes the Service Provider and specialist outside counsel to assist with and/or to advise it on certain aspects of its compliance.

Conflict Minerals Policy; Grievance Mechanism

SunPower has adopted a Conflict Minerals Policy. Under the Conflict Minerals Policy, SunPower suppliers are required to acknowledge SunPower’s Supplier Sustainability Guidelines, which includes the Conflict Minerals Policy.

The Conflict Minerals Policy indicates that SunPower will evaluate its relationships with its suppliers on an ongoing basis to ensure continued compliance with the policy. Under the Conflict Minerals Policy, SunPower reserves the right to request additional documentation from its suppliers regarding the source of any 3TG included in their products. In addition, SunPower reserves the right to ask for suppliers to maintain traceability data for a minimum of five years.

The Conflict Minerals Policy is communicated internally to SunPower’s supply chain employees and to suppliers. In addition, the Conflict Minerals Policy is posted on SunPower’s website at https://us.sunpower.com/sites/sunpower/files/media-library/compliance-briefs/cb-sunpower-conflict-minerals-policy.pdf.

SunPower has a grievance mechanism for reporting violations of its Conflict Minerals Policy. The grievance mechanism is indicated in the Conflict Minerals Policy. Violations may be reported by calling SunPower’s Compliance and Ethics Helpline at 1-866-307-5679 within the United States, or at toll-free numbers provided for twenty additional countries/regions in SunPower’s Code of Business Conduct and Ethics available on its investor relations website at investors.sunpower.com, or by going to SunPower’s reporting website at https://sunpower.alertline.com, https://sunpowereu.alertline.com (for employees in Europe, except Spain) or https://sunpowersp.alertline.com (for employees in Spain).

Data Collection; Records Storage and Retention

SunPower uses the Conflict Minerals Reporting Template (the “CMRT”) developed by the Responsible Minerals Initiative (the “RMI;” formerly known as the Conflict-Free Sourcing Initiative) to gather information on the use of 3TG by its suppliers, the source of the 3TG and the suppliers’ related compliance procedures. For the 2017 reporting year, only CMRT’s version 4.0 or higher was accepted. SunPower gave suppliers the ability to provide information at a level at which they could most readily assemble the information (i.e. company, product, or user-defined), but required suppliers to declare the level of information provided.

SunPower has an internal electronic file for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. SunPower stores all supplier CMRTs and documents evidence of identified supplier 3TG sourcing risk. As contemplated by the OECD Guidance, SunPower will maintain these records for at least five years. The Service Provider also is requested to maintain records in its possession for at least five years.

Supplier Acknowledgements

SunPower requires its direct suppliers to provide the acknowledgements contemplated by its Conflict Minerals Policy, as described above.

 

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3TG Risk Management

SunPower obtains information on 3TG sourcing risk from a variety of sources, including through interactions with its peers and the Service Provider. SunPower further uses the CMRT to identify 3TG sourcing risk. As an additional measure, SunPower previously has asked a large cross section of its suppliers to respond to 3TG scoping questions. Given SunPower’s position in the 3TG supply chain, it believes that these are the most efficient means for identifying 3TG sourcing risk.

Supply chain managers within SunPower work with the compliance team to identify 3TG sourcing concerns and determine risk mitigation efforts. The compliance team reports aggregated risk findings to and the contents of this Conflict Minerals Report are shared with SunPower’s executive management.

SunPower determines on a case-by-case basis the appropriate risk mitigation strategy for any identified risks. Potential outcomes under SunPower’s risk mitigation strategy include continuing to work with the supplier while risks are addressed or reassessing the relationship with the supplier. Under SunPower’s risk management framework, to the extent that risks require mitigation, SunPower monitors and tracks the performance of the risk mitigation efforts and reports these efforts to appropriate senior oversight personnel.

Utilization of Independent Third-Party Audits

To the extent that smelters or refiners are identified, SunPower primarily utilizes information made available by the RMI concerning independent third-party audits and Conformant (as defined later) status. SunPower also relies on audits performed by the London Bullion Market Association’s (the “LBMA”) Good Delivery Program and the Responsible Jewellery Council’s (the “RJC”) Chain-of-Custody Certification.

Report on Supply Chain Due Diligence

SunPower files a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and makes these filings available on its investor relations website.

Due Diligence Program Execution

In furtherance of SunPower’s 3TG due diligence, it performed the due diligence measures discussed below for 2017. For a discussion of the design of SunPower’s due diligence measures, see “Due Diligence Framework.”

SunPower’s outreach included 101 suppliers (the “Suppliers”) that (1) contracted to manufacture products for SunPower which were determined by SunPower to contain or potentially contain 3TG which is necessary to the functionality or production of the products, or (2) provided components, parts, or products which were determined by SunPower to contain or potentially contain necessary 3TG, and which were incorporated into products manufactured by SunPower.

SunPower carried out due diligence on parts selected by SunPower within the bills of materials of products that were contracted to be manufactured. The contract manufacturer carried out due diligence for general use parts of products that were contracted to be manufactured, the results of which were reflected in their CMRTs.

 

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Specifically, SunPower took the following steps in connection with the execution of its due diligence:

 

  1. Reviewed products manufactured in 2017 and determined which components of those products might contain 3TG (including by requiring product specifications and supply chain records including bills of material, and making engineering inquiries). Lists of 2017 suppliers were gathered for the commodities and components in question. Suppliers also were considered in-scope for 2017 if they reported use of 3TG in the 2016 reporting year and were again a supplier in 2017.

 

  2. SunPower sent Suppliers a request to submit a CMRT. SunPower and the Service Provider reviewed CMRT responses received from the Suppliers for incomplete responses, potential errors or inaccuracies, lack of consistency, and other flags. If any “quality control” flags were raised, Suppliers were contacted to clarify the concern. Suppliers were requested to provide an electronic signature before submitting their data to SunPower to verify that all answers submitted were accurate to the best of each Supplier’s knowledge.

 

  3. Following the initial introductions to the program and information request, up to four reminder emails were sent to each non-responsive Supplier requesting survey completion.

 

  4. If a smelter was not on the CMRT Smelter Look-up tab list, the Service Provider (a) requested that the Supplier confirm that the listed entity was a smelter or refiner, (b) consulted publicly-available information to attempt to determine whether the identified entity was a smelter or refiner, or (c) attempted to contact the listed entity.

 

  5. If the smelter or refiner was not identified as Conformant or the equivalent by the RMI, the LMBA or the RJC, SunPower or the Service Provider attempted to contact the smelter or refiner to gain more information about its sourcing practices, including countries of origin and transfer and due diligence procedures.

 

  6. To the extent that no contact was made with a smelter or refiner identified by a Supplier, SunPower or the Service Provider searched public information to attempt to determine the mine or location of origin of the 3TG processed by the smelter or refiner and whether it obtains 3TG from sources that directly or indirectly finance or benefit armed groups in a Covered Country.

Findings Covering Smelters, Refiners and Country of Origin Information

For 2017, SunPower received 37 Supplier responses to its outreach. The CMRT declarations received identified 299 smelters and refiners that processed or may have processed 3TG contained in SunPower’s products. Of these 37 CMRT declarations, 23 were company-level, 11 were product-level, and 3 were at a level defined by the Supplier. Due to the number of Suppliers providing company-level declarations, the list of processing facilities disclosed below may over-represent the number of 3TG processing facilities in SunPower’s supply chain.

 

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In brief, as indicated in the table below:

 

    299 smelters and refiners were identified by the Suppliers.

 

    241 smelters and refiners, or 80%, were listed as Conformant by the RMI.

 

    5 smelters or refiners, or 2%, were listed as Active.

 

    53 smelters or refiners, or 18%, were listed on the Smelter Look-up tab only.

In connection with SunPower’s RCOI or due diligence, as applicable, the Suppliers identified to SunPower the facilities listed below as potentially having processed the necessary 3TG contained in SunPower’s in-scope products in 2017 (table information is as of May 21, 2018; see the notes following the table for additional information concerning the information presented in the table).

 

Metal

 

Smelter or Refiner Name

  

Smelter or Refiner Country

  

Status

Gold   Advanced Chemical Company    United States of America    Conformant
Gold   Aida Chemical Industries Co., Ltd.    Japan    Conformant
Gold   Al Etihad Gold LLC    United Arab Emirates    Conformant
Gold   Allgemeine Gold-und Silberscheideanstalt A.G.    Germany    Conformant
Gold   Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan    Conformant
Gold   AngloGold Ashanti Corrego do Sitio Mineracao    Brazil    Conformant
Gold   Argor-Heraeus S.A.    Switzerland    Conformant
Gold   Asahi Pretec Corp.    Japan    Conformant
Gold   Asahi Refining Canada Ltd.    Canada    Conformant
Gold   Asahi Refining USA Inc.    United States of America    Conformant
Gold   Asaka Riken Co., Ltd.    Japan    Conformant
Gold   AU Traders and Refiners    South Africa    Conformant
Gold   Aurubis AG    Germany    Conformant
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines    Conformant
Gold   Boliden AB    Sweden    Conformant
Gold   C. Hafner GmbH + Co. KG    Germany    Conformant
Gold   CCR Refinery - Glencore Canada Corporation    Canada    Conformant
Gold   Cendres + Metaux S.A.    Switzerland    Conformant
Gold   Chimet S.p.A.    Italy    Conformant
Gold   Daejin Indus Co., Ltd.    Korea, Republic of    Conformant
Gold   DODUCO Contacts and Refining GmbH    Germany    Conformant
Gold   Dowa    Japan    Conformant
Gold   DSC (Do Sung Corporation)    Korea, Republic of    Conformant
Gold   Eco-System Recycling Co., Ltd.    Japan    Conformant
Gold   Emirates Gold DMCC    United Arab Emirates    Conformant
Gold   Geib Refining Corporation    United States of America    Conformant
Gold   Gold Refinery of Zijin Mining Group Co., Ltd.    China    Conformant
Gold   HeeSung Metal Ltd.    Korea, Republic of    Conformant
Gold   Heimerle + Meule GmbH    Germany    Conformant
Gold   Heraeus Metals Hong Kong Ltd.    China    Conformant
Gold   Heraeus Precious Metals GmbH & Co. KG    Germany    Conformant
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China    Conformant
Gold   Ishifuku Metal Industry Co., Ltd.    Japan    Conformant

 

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Gold   Istanbul Gold Refinery   Turkey   Conformant
Gold   Italpreziosi   Italy   Conformant
Gold   Japan Mint   Japan   Conformant
Gold   Jiangxi Copper Co., Ltd.   China   Conformant
Gold   JSC Uralelectromed   Russian Federation   Conformant
Gold   JX Nippon Mining & Metals Co., Ltd.   Japan   Conformant
Gold   Kazzinc   Kazakhstan   Conformant
Gold   Kennecott Utah Copper LLC   United States of America   Conformant
Gold   Kojima Chemicals Co., Ltd.   Japan   Conformant
Gold   Korea Zinc Co., Ltd.   Korea, Republic of   Conformant
Gold   Kyrgyzaltyn JSC   Kyrgyzstan   Conformant
Gold   LS-NIKKO Copper Inc.   Korea, Republic of   Conformant
Gold   Marsam Metals   Brazil   Conformant
Gold   Materion   United States of America   Conformant
Gold   Matsuda Sangyo Co., Ltd.   Japan   Conformant
Gold   Metalor Technologies (Hong Kong) Ltd.   China   Conformant
Gold   Metalor Technologies (Singapore) Pte., Ltd.   Singapore   Conformant
Gold   Metalor Technologies (Suzhou) Ltd.   China   Conformant
Gold   Metalor Technologies S.A.   Switzerland   Conformant
Gold   Metalor USA Refining Corporation   United States of America   Conformant
Gold   Metalurgica Met-Mex Penoles S.A. De C.V.   Mexico   Conformant
Gold   Mitsubishi Materials Corporation   Japan   Conformant
Gold   Mitsui Mining and Smelting Co., Ltd.   Japan   Conformant
Gold   MMTC-PAMP India Pvt., Ltd.   India   Conformant
Gold   Moscow Special Alloys Processing Plant   Russian Federation   Conformant
Gold   Nadir Metal Rafineri San. Ve Tic. A.S.   Turkey   Conformant
Gold   Nihon Material Co., Ltd.   Japan   Conformant
Gold   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH   Austria   Conformant
Gold   Ohura Precious Metal Industry Co., Ltd.   Japan   Conformant
Gold   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)   Russian Federation   Conformant
Gold   OJSC Novosibirsk Refinery   Russian Federation   Conformant
Gold   PAMP S.A.   Switzerland   Conformant
Gold   Planta Recuperadora de Metales SpA   Chile   Conformant
Gold   Prioksky Plant of Non-Ferrous Metals   Russian Federation   Conformant
Gold   PT Aneka Tambang (Persero) Tbk   Indonesia   Conformant
Gold   PX Precinox S.A.   Switzerland   Conformant
Gold   Rand Refinery (Pty) Ltd.   South Africa   Conformant
Gold   Republic Metals Corporation   United States of America   Conformant
Gold   Royal Canadian Mint   Canada   Conformant
Gold   SAAMP   France   Conformant
Gold   Safimet S.p.A   Italy   Conformant
Gold   SAFINA A.S.   Czech Republic   Conformant
Gold   Samduck Precious Metals   Korea, Republic of   Conformant
Gold   SAXONIA Edelmetalle GmbH   Germany   Conformant

 

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Gold   SEMPSA Joyeria Plateria S.A.   Spain   Conformant
Gold   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   China   Conformant
Gold   Sichuan Tianze Precious Metals Co., Ltd.   China   Conformant
Gold   Singway Technology Co., Ltd.   Taiwan, Province of China   Conformant
Gold   SOE Shyolkovsky Factory of Secondary Precious Metals   Russian Federation   Conformant
Gold   Solar Applied Materials Technology Corp.   Taiwan, Province of China   Conformant
Gold   Sumitomo Metal Mining Co., Ltd.   Japan   Conformant
Gold   SungEel HiMetal Co., Ltd.   Korea, Republic of   Conformant
Gold   T.C.A S.p.A   Italy   Conformant
Gold   Tanaka Kikinzoku Kogyo K.K.   Japan   Conformant
Gold   The Refinery of Shandong Gold Mining Co., Ltd.   China   Conformant
Gold   Tokuriki Honten Co., Ltd.   Japan   Conformant
Gold   Torecom   Korea, Republic of   Conformant
Gold   Umicore Brasil Ltda.   Brazil   Conformant
Gold   Umicore Precious Metals Thailand   Thailand   Conformant
Gold   Umicore S.A. Business Unit Precious Metals Refining   Belgium   Conformant
Gold   United Precious Metal Refining, Inc.   United States of America   Conformant
Gold   Valcambi S.A.   Switzerland   Conformant
Gold   Western Australian Mint (T/a The Perth Mint)   Australia   Conformant
Gold   WIELAND Edelmetalle GmbH   Germany   Conformant
Gold   Yamakin Co., Ltd.   Japan   Conformant
Gold   Yokohama Metal Co., Ltd.   Japan   Conformant
Gold   Zhongyuan Gold Smelter of Zhongjin Gold Corporation   China   Conformant
Gold   Bangalore Refinery   India   Active
Gold   KGHM Polska Miedz Spolka Akcyjna   Poland   Active
Gold   L’Orfebre S.A.   Andorra   Active
Gold   Remondis Argentia B.V.   Netherlands   Active
Gold   Abington Reldan Metals, LLC   United States of America   On Smelter Look-Up Tab List Only
Gold   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   Turkey   On Smelter Look-Up Tab List Only
Gold   Caridad   Mexico   On Smelter Look-Up Tab List Only
Gold   Chugai Mining   Japan   On Smelter Look-Up Tab List Only
Gold   Daye Non-Ferrous Metals Mining Ltd.   China   On Smelter Look-Up Tab List Only
Gold   Degussa Sonne / Mond Goldhandel GmbH   Germany   On Smelter Look-Up Tab List Only
Gold   Elemetal Refining, LLC   United States of America   On Smelter Look-Up Tab List Only
Gold   Fidelity Printers and Refiners Ltd.   Zimbabwe   On Smelter Look-Up Tab List Only
Gold   GCC Gujrat Gold Centre Pvt. Ltd.   India   On Smelter Look-Up Tab List Only
Gold   Great Wall Precious Metals Co., Ltd. of CBPM   China   On Smelter Look-Up Tab List Only
Gold   Guangdong Jinding Gold Limited   China   On Smelter Look-Up Tab List Only
Gold   Guoda Safina High-Tech Environmental Refinery Co., Ltd.   China   On Smelter Look-Up Tab List Only
Gold   Hangzhou Fuchunjiang Smelting Co., Ltd.   China   On Smelter Look-Up Tab List Only
Gold   HwaSeong CJ CO., LTD.   Korea, Republic of   On Smelter Look-Up Tab List Only
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   Russian Federation   On Smelter Look-Up Tab List Only

 

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Gold    Kaloti Precious Metals    United Arab Emirates    On Smelter Look-Up Tab List Only
Gold    Kazakhmys Smelting LLC    Kazakhstan    On Smelter Look-Up Tab List Only
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation    On Smelter Look-Up Tab List Only
Gold    L’azurde Company For Jewelry    Saudi Arabia    On Smelter Look-Up Tab List Only
Gold    Lingbao Gold Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    Morris and Watson    New Zealand    On Smelter Look-Up Tab List Only
Gold    Morris and Watson Gold Coast    Australia    On Smelter Look-Up Tab List Only
Gold    Navoi Mining and Metallurgical Combinat    Uzbekistan    On Smelter Look-Up Tab List Only
Gold    Pease & Curren    United States of America    On Smelter Look-Up Tab List Only
Gold    Penglai Penggang Gold Industry Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    Refinery of Seemine Gold Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    Sabin Metal Corp.    United States of America    On Smelter Look-Up Tab List Only
Gold    Sai Refinery    India    On Smelter Look-Up Tab List Only
Gold    SAMWON METALS Corp.    Korea, Republic of    On Smelter Look-Up Tab List Only
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    State Research Institute Center for Physical Sciences and Technology    Lithuania    On Smelter Look-Up Tab List Only
Gold    Sudan Gold Refinery    Sudan    On Smelter Look-Up Tab List Only
Gold    Tongling Nonferrous Metals Group Co., Ltd.    China    On Smelter Look-Up Tab List Only
Gold    Tony Goetz NV    Belgium    On Smelter Look-Up Tab List Only
Gold    TOO Tau-Ken-Altyn    Kazakhstan    On Smelter Look-Up Tab List Only
Gold    Universal Precious Metals Refining Zambia    Zambia    On Smelter Look-Up Tab List Only
Gold    Yunnan Copper Industry Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    China    Conformant
Tantalum    D Block Metals, LLC    United States of America    Conformant
Tantalum    Exotech Inc.    United States of America    Conformant
Tantalum    F&X Electro-Materials Ltd.    China    Conformant
Tantalum    FIR Metals & Resource Ltd.    China    Conformant
Tantalum    Global Advanced Metals Aizu    Japan    Conformant
Tantalum    Global Advanced Metals Boyertown    United States of America    Conformant
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    China    Conformant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    China    Conformant
Tantalum    H.C. Starck Co., Ltd.    Thailand    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH    Germany    Conformant
Tantalum    H.C. Starck Inc.    United States of America    Conformant
Tantalum    H.C. Starck Ltd.    Japan    Conformant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    Germany    Conformant
Tantalum    H.C. Starck Tantalum and Niobium GmbH    Germany    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    China    Conformant

 

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Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    China    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China    Conformant
Tantalum    KEMET Blue Metals    Mexico    Conformant
Tantalum    Kemet Blue Powder    United States of America    Conformant
Tantalum    LSM Brasil S.A.    Brazil    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    India    Conformant
Tantalum    Mineracao Taboca S.A.    Brazil    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China    Conformant
Tantalum    NPM Silmet AS    Estonia    Conformant
Tantalum    Power Resources Ltd.    Macedonia, The Former Yugoslav Republic of    Conformant
Tantalum    QuantumClean    United States of America    Conformant
Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    China    Conformant
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation    Conformant
Tantalum    Taki Chemical Co., Ltd.    Japan    Conformant
Tantalum    Telex Metals    United States of America    Conformant
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan    Conformant
Tantalum    XinXing Haorong Electronic Material Co., Ltd.    China    Conformant
Tantalum    Jiujiang Nonferrous Metals Smelting Company Limited    China    On Smelter Look-Up Tab List Only
Tin    Alpha    United States of America    Conformant
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China    Conformant
Tin    China Tin Group Co., Ltd.    China    Conformant
Tin    CV Ayi Jaya    Indonesia    Conformant
Tin    CV Dua Sekawan    Indonesia    Conformant
Tin    CV Gita Pesona    Indonesia    Conformant
Tin    CV United Smelting    Indonesia    Conformant
Tin    CV Venus Inti Perkasa    Indonesia    Conformant
Tin    EM Vinto    Bolivia (Plurinational State of)    Conformant
Tin    Fenix Metals    Poland    Conformant
Tin    Gejiu Fengming Metallurgy Chemical Plant    China    Conformant
Tin    Gejiu Jinye Mineral Company    China    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    China    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China    Conformant
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China    Conformant

 

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Tin    Guanyang Guida Nonferrous Metal Smelting Plant    China    Conformant
Tin    HuiChang Hill Tin Industry Co., Ltd.    China    Conformant
Tin    Huichang Jinshunda Tin Co., Ltd.    China    Conformant
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    China    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.    China    Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil    Conformant
Tin    Malaysia Smelting Corporation (MSC)    Malaysia    Conformant
Tin    Melt Metais e Ligas S.A.    Brazil    Conformant
Tin    Metallic Resources, Inc.    United States of America    Conformant
Tin    Metallo Belgium N.V.    Belgium    Conformant
Tin    Metallo Spain S.L.U.    Spain    Conformant
Tin    Minsur    Peru    Conformant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand    Conformant
Tin    O.M. Manufacturing Philippines, Inc.    Philippines    Conformant
Tin    Operaciones Metalurgical S.A.    Bolivia (Plurinational State of)    Conformant
Tin    PT Aries Kencana Sejahtera    Indonesia    Conformant
Tin    PT Artha Cipta Langgeng    Indonesia    Conformant
Tin    PT ATD Makmur Mandiri Jaya    Indonesia    Conformant
Tin    PT Babel Inti Perkasa    Indonesia    Conformant
Tin    PT Bangka Prima Tin    Indonesia    Conformant
Tin    PT Bangka Tin Industry    Indonesia    Conformant
Tin    PT Belitung Industri Sejahtera    Indonesia    Conformant
Tin    PT Bukit Timah    Indonesia    Conformant
Tin    PT DS Jaya Abadi    Indonesia    Conformant
Tin    PT Eunindo Usaha Mandiri    Indonesia    Conformant
Tin    PT Inti Stania Prima    Indonesia    Conformant
Tin    PT Karimun Mining    Indonesia    Conformant
Tin    PT Kijang Jaya Mandiri    Indonesia    Conformant
Tin    PT Lautan Harmonis Sejahtera    Indonesia    Conformant
Tin    PT Menara Cipta Mulia    Indonesia    Conformant
Tin    PT Mitra Stania Prima    Indonesia    Conformant
Tin    PT Panca Mega Persada    Indonesia    Conformant
Tin    PT Premium Tin Indonesia    Indonesia    Conformant
Tin    PT Prima Timah Utama    Indonesia    Conformant
Tin    PT Rajehan Ariq    Indonesia    Conformant
Tin    PT Refined Bangka Tin    Indonesia    Conformant
Tin    PT Sariwiguna Binasentosa    Indonesia    Conformant
Tin    PT Stanindo Inti Perkasa    Indonesia    Conformant
Tin    PT Sukses Inti Makmur    Indonesia    Conformant
Tin    PT Sumber Jaya Indah    Indonesia    Conformant

 

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Tin    PT Timah (Persero) Tbk Kundur    Indonesia    Conformant
Tin    PT Timah (Persero) Tbk Mentok    Indonesia    Conformant
Tin    PT Tinindo Inter Nusa    Indonesia    Conformant
Tin    PT Tommy Utama    Indonesia    Conformant
Tin    Resind Industria e Comercio Ltda.    Brazil    Conformant
Tin    Rui Da Hung    Taiwan, Province of China    Conformant
Tin    Soft Metais Ltda.    Brazil    Conformant
Tin    Thaisarco    Thailand    Conformant
Tin    White Solder Metalurgia e Mineracao Ltda.    Brazil    Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China    Conformant
Tin    Yunnan Tin Company Limited    China    Conformant
Tin    Modeltech Sdn Bhd    Malaysia    Active
Tin    An Vinh Joint Stock Mineral Processing Company    Viet Nam    On Smelter Look-Up Tab List Only
Tin    CNMC (Guangxi) PGMA Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Viet Nam    On Smelter Look-Up Tab List Only
Tin    Estanho de Rondonia S.A.    Brazil    On Smelter Look-Up Tab List Only
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Viet Nam    On Smelter Look-Up Tab List Only
Tin    Super Ligas    Brazil    On Smelter Look-Up Tab List Only
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Viet Nam    On Smelter Look-Up Tab List Only
Tungsten    A.L.M.T. TUNGSTEN Corp.    Japan    Conformant
Tungsten    ACL Metais Eireli    Brazil    Conformant
Tungsten    Asia Tungsten Products Vietnam Ltd.    Viet Nam    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    China    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China    Conformant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    China    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    China    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China    Conformant
Tungsten    Global Tungsten & Powders Corp.    United States of America    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    China    Conformant
Tungsten    H.C. Starck Tungsten GmbH    Germany    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    China    Conformant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    China    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    China    Conformant
Tungsten    Hydrometallurg, JSC    Russian Federation    Conformant
Tungsten    Japan New Metals Co., Ltd.    Japan    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China    Conformant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China    Conformant

 

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Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    China    Conformant
Tungsten    Kennametal Fallon    United States of America    Conformant
Tungsten    Kennametal Huntsville    United States of America    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    China    Conformant
Tungsten    Moliren Ltd.    Russian Federation    Conformant
Tungsten    Niagara Refining LLC    United States of America    Conformant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Viet Nam    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippines    Conformant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    China    Conformant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    Viet Nam    Conformant
Tungsten    Unecha Refractory Metals Plant    Russian Federation    Conformant
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    Viet Nam    Conformant
Tungsten    Wolfram Bergbau und Hutten AG    Austria    Conformant
Tungsten    Woltech Korea Co., Ltd.    Korea, Republic of    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    China    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    China    Conformant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    China    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    China    On Smelter Look-Up Tab List Only
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China    On Smelter Look-Up Tab List Only

 

  a) “Conformant” means that a smelter or refiner was listed as conformant with the RMI’s Responsible Minerals Assurance Process’s (“RMAP”) assessment protocols, including through mutual recognition. Smelters and refiners that are listed as “Re-audit in process” by the RMAP are considered to be Conformant by the RMAP. Included smelters and refiners were not necessarily Conformant for all or part of 2017 and may not continue to be Conformant for any future period.

 

  b) “Active” is a RMAP designation that means that the smelter or refiner is a participant in the RMAP and has committed to undergo an audit or is participating in a cross-recognized certification program.

 

  c) “On Smelter Look-up Tab List Only” means that a smelter or refiner is listed on the Smelter Look-up tab list of the CMRT, but is not listed as “Conformant” or “Active.”

 

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  d) Smelter or refiner status reflected in the table is based solely on information made publicly available by the RMI, without independent verification by SunPower.

 

  e) Country location is the location of the smelter or refiner and is based solely on information made publicly available by the RMI, without independent verification by SunPower.

Country of Origin Information

SunPower has endeavored to determine the mine or location of origin of the necessary 3TG contained in its in-scope products by requiring that the Suppliers provide it with completed CMRTs and through the other measures described in this Conflict Minerals Report. Where a smelter or refiner has been identified that is not Conformant, SunPower or the Service Provider also has reviewed public information, to the extent available, to try to determine the mine or location of origin of the 3TG processed by the smelter or refiner.

The countries of origin of the 3TG processed by smelters and refiners listed above may have included countries listed below. The countries below are sorted by risk level.

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export from the Covered Countries: Argentina, Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United Kingdom, United States of America, Uzbekistan, Vietnam and Zimbabwe.

L2 - Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.

L3 - The DRC and its adjoining countries: Burundi, Rwanda and Uganda.

DRC - Democratic Republic of the Congo.

Some of the 3TG processed by the identified smelters and refiners may have originated in whole or in part from recycled or scrap sources.

Due Diligence Improvement Measures

SunPower intends to further improve its due diligence measures for 2018 in order to mitigate the risk that the necessary 3TG in its in-scope products benefit armed groups by taking the following steps, among others:

 

    Continue to alert suppliers when SunPower obtains information that a 3TG smelter or refiner is believed to be irresponsibly sourcing 3TG.

 

    Request that suppliers who have identified non-Conformant or high-risk smelters require their upstream suppliers to find alternative sources of 3TG or require certification of the smelters and refiners in their supply chains.

 

    Include 3TG compliance in quarterly business reviews with suppliers.

The foregoing steps are in addition to the steps that SunPower took for 2017.

 

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