Delaware | 94-3008969 |
(State or other jurisdiction of incorporation) | (I.R.S. Employer Identification No.) |
x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016 |
Item 1.01 | Conflict Minerals Disclosure and Report |
Item 1.02 | Exhibit |
Item 2.01 | Exhibits |
Exhibit No. | Description |
1.01 | Conflict Minerals Report for the calendar year ended December 31, 2016. |
SUNPOWER CORPORATION | ||
Dated: May 31, 2017 | By: | /S/ CHARLES D. BOYNTON |
Name: | Charles D. Boynton | |
Title: | Executive Vice President and Chief Financial Officer |
Exhibit No. | Description |
1.01 | Conflict Minerals Report for the calendar year ended December 31, 2016. |
1. | Adhere to the Conflict Minerals Policy when acknowledging SunPower’s Supplier Sustainability Guidelines, and pass the same requirements on to their suppliers; and |
2. | Declare that all products supplied either do not contain 3TG that are necessary to their production or functionality, or, if they do, that they originate from non-conflict areas or from refiners or smelters that have been validated as being conflict free. |
1. | Reviewed products sold in 2016 and determined which commodities and components of those products might contain 3TG (included product specifications, supply chain records including bills of material, and engineering inquiries). If uncertainty about a product remained, third party material tests were reviewed or supplier inquiries were made. Finally, lists of 2016 suppliers were gathered for the commodities and components in question. |
2. | For each component, whether contract-manufactured or manufactured in-house, each supplier was considered in-scope if they supplied metal pieces, metal coated pieces, circuit boards, or conductive pieces, as per the bill of materials. |
3. | Suppliers were considered in-scope for 2016 if they reported use of 3TG in the 2015 reporting year and were again a supplier in 2016. |
4. | Suppliers identified through these prior steps were then sent preliminary questions, including whether 3TG was in their products or if they supplied products to SunPower in 2016. Suppliers answering no to these questions were not considered in scope. If SunPower had reason to believe a supplier may have incorrectly been removed from the scope based on preliminary questions, such supplier was asked to resubmit their response or provide supporting evidence. |
5. | SunPower sent Suppliers remaining in-scope a CMRT reporting form. 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. |
6. | If a smelter was not on the CFSI reference 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. |
7. | If the smelter or refiner was not certified by these internationally-recognized schemes, SunPower and the Service Provider attempted to contact the smelter or refiner to gain more information about their sourcing practices, including countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes to track the chain-of-custody on the source of its mineral ores. |
8. | To the extent that no contact was made with a smelter or refiner identified by a Supplier, SunPower and 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. |
9. | In addition, to mitigate the risk that the necessary 3TG contained in SunPower’s in-scope products directly or indirectly finance or benefit armed groups in the Covered Countries, it (a) retained the Service Provider to manage data collection and (b) continued to refine its product scoping while performing due diligence. |
10. | Following the initial introductions to the program and information request, up to 4 reminder emails were sent to each non-responsive supplier requesting survey completion. Suppliers who remained non-responsive to these email reminders were contacted by telephone and offered assistance. If, after these efforts, a Supplier still did not register with the system or provide the information requested, SunPower initiated an escalation process. The escalation process consisted of outreach by SunPower commodity managers. |
11. | In recognition that the information requested can take time to collect and aggregate, Suppliers were given a final deadline of April 11, 2017 to provide information about the metal processors present in their supply chains for the 2016 reporting year. |
• | 317 smelters and refiners were identified by the Suppliers. |
• | 249 smelters and refiners, or 79%, were listed as Compliant by the CFSI. |
• | 9 smelters or refiners, or 3%, were listed as Active. |
• | 59 smelters or refiners, or 19%, were Not Participating. |
Metal | Smelter or Refiner Name | Smelter or Refiner Country | Status |
Gold | Abington Reldan Metals, LLC | United States | Active |
Gold | Advanced Chemical Company | United States | Compliant |
Gold | Aida Chemical Industries Co., Ltd. | Japan | Compliant |
Gold | Al Etihad Gold | United Arab Emirates | Compliant |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | Compliant |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Compliant |
Gold | AngloGold Ashanti | Brazil | Compliant |
Gold | Argor-Heraeus SA | Switzerland | Compliant |
Gold | Asahi Pretec Corporation | Japan | Compliant |
Gold | Asahi Refining Canada Limited | Canada | Compliant |
Gold | Asahi Refining USA Inc. | United States | Compliant |
Gold | Asaka Riken Co., Ltd. | Japan | Compliant |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | Not Participating |
Gold | AU Traders and Refiners | South Africa | Compliant |
Gold | Aurubis AG | Germany | Compliant |
Gold | Bangalore Refinery | India | Active |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Compliant |
Gold | Boliden AB | Sweden | Compliant |
Gold | C. Hafner GmbH + Co. KG | Germany | Compliant |
Gold | Caridad | Mexico | Not Participating |
Gold | CCR Refinery - Glencore Canada Corporation | Canada | Compliant |
Gold | Cendres + Métaux SA | Switzerland | Active |
Gold | Changcheng Gold & Silver Refining Factory | China | Not Participating |
Gold | Chimet S.p.A. | Italy | Compliant |
Gold | Chugai Mining | Japan | Not Participating |
Gold | Daejin Indus Co., Ltd. | Korea, Republic of | Compliant |
Gold | Daye Non-Ferrous Metals Mining Ltd. | China | Compliant |
Gold | DODUCO GmbH | Germany | Compliant |
Gold | Dowa | Japan | Compliant |
Gold | DSC (Do Sung Corporation) | Korea, Republic of | Compliant |
Gold | Eco-System Recycling Co., Ltd. | Japan | Compliant |
Gold | Emirates Gold DMCC | United Arab Emirates | Compliant |
Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | Not Participating |
Gold | Gansu Seemine Material Hi-Tech Co Ltd | China | Not Participating |
Gold | Geib Refining Corporation | United States | Compliant |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd | China | Compliant |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | Compliant |
Gold | Guangdong Jinding Gold Limited | China | Not Participating |
Gold | Gujarat Gold Centre | India | Not Participating |
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | Not Participating |
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Not Participating |
Gold | Heimerle + Meule GmbH | Germany | Compliant |
Gold | Henan Yuguang Gold & Lead Co., Ltd. | China | Not Participating |
Gold | Heraeus Metals Hong Kong Ltd | China | Compliant |
Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Compliant |
Gold | Hunan Chenzhou Mining Co., Ltd. | China | Not Participating |
Gold | HwaSeong CJ Co. Ltd | Korea, Republic of | Not Participating |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Compliant |
Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Compliant |
Gold | Istanbul Gold Refinery | Turkey | Compliant |
Gold | Japan Mint | Japan | Compliant |
Gold | Jiangxi Copper Company Limited | China | Compliant |
Gold | Johnson Matthey Chemicals Ltd. | United Kingdom | Not Participating |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | Compliant |
Gold | JSC Uralelectromed | Russian Federation | Compliant |
Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | Compliant |
Gold | Kaloti Precious Metals | United Arab Emirates | Not Participating |
Gold | Kazzinc | Kazakhstan | Compliant |
Gold | Kennecott Utah Copper LLC | United States | Compliant |
Gold | KGHM Polska Miedž Spółka Akcyjna | Poland | Active |
Gold | Kojima Chemicals Co., Ltd. | Japan | Compliant |
Gold | Korea Zinc Co., Ltd. | Korea, Republic of | Compliant |
Gold | Kyrgyzaltyn JSC | Kyrgyzstan | Compliant |
Gold | L'azurde Company For Jewelry | Saudi Arabia | Not Participating |
Gold | Lingbao Gold Company Ltd. | China | Not Participating |
Gold | Lingbao Jinyuan Mining Co., Ltd. | China | Not Participating |
Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | China | Not Participating |
Gold | LS-NIKKO Copper Inc. | Korea, Republic of | Compliant |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Not Participating |
Gold | Materion | United States | Compliant |
Gold | Matsuda Sangyo Co., Ltd. | Japan | Compliant |
Gold | Metalor Technologies (Hong Kong) Ltd. | China | Compliant |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Compliant |
Gold | Metalor Technologies (Suzhou) Co Ltd | China | Compliant |
Gold | Metalor Technologies SA | Switzerland | Compliant |
Gold | Metalor USA Refining Corporation | United States | Compliant |
Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | Mexico | Compliant |
Gold | Minsur | Peru | Not Participating |
Gold | Mitsubishi Materials Corporation | Japan | Compliant |
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Compliant |
Gold | MMTC-PAMP India Pvt., Ltd. | India | Compliant |
Gold | Modeltech Sdn Bhd | Malaysia | Active |
Gold | Morris and Watson | New Zealand | Not Participating |
Gold | Moscow Special Alloys Processing Plant | Russian Federation | Compliant |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | Compliant |
Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Active |
Gold | Nihon Material Co., Ltd. | Japan | Compliant |
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Compliant |
Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | Compliant |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | Compliant |
Gold | OJSC Novosibirsk Refinery | Russian Federation | Compliant |
Gold | PAMP S.A. | Switzerland | Compliant |
Gold | Penglai Penggang Gold Industry Co Ltd | China | Not Participating |
Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | Compliant |
Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | Compliant |
Gold | PX Precinox SA | Switzerland | Compliant |
Gold | Rand Refinery (Pty) Ltd. | South Africa | Compliant |
Gold | Remondis Argentia B.V. | Netherlands | Not Participating |
Gold | Republic Metals Corporation | United States | Compliant |
Gold | Royal Canadian Mint | Canada | Compliant |
Gold | SAAMP | France | Compliant |
Gold | Sabin Metal Corp. | United States | Not Participating |
Gold | SAFINA A.S. | Czech Republic | Not Participating |
Gold | Sai Refinery | India | Not Participating |
Gold | Samduck Precious Metals | Korea, Republic of | Compliant |
Gold | SAMWON METALS Corp. | Korea, Republic of | Not Participating |
Gold | SAXONIA Edelmetalle GmbH | Germany | Compliant |
Gold | Schone Edelmetaal B.V. | Netherlands | Compliant |
Gold | SEMPSA Joyería Platería SA | Spain | Compliant |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | Not Participating |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Compliant |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | Compliant |
Gold | Singway Technology Co., Ltd. | Taiwan | Compliant |
Gold | So Accurate Group, Inc. | United States | Not Participating |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | Compliant |
Gold | Solar Applied Materials Technology Corp. | Taiwan | Compliant |
Gold | Sudan Gold Refinery | Sudan | Not Participating |
Gold | Sumitomo Metal Mining Co., Ltd. | Japan | Compliant |
Gold | T.C.A S.p.A | Italy | Compliant |
Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | Compliant |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | Compliant |
Gold | Tokuriki Honten Co., Ltd. | Japan | Compliant |
Gold | TongLing Nonferrous Metals Group Holdings Co., Ltd. | China | Not Participating |
Gold | Tony Goetz NV | Belgium | Not Participating |
Gold | Torecom | Korea, Republic of | Compliant |
Gold | Umicore Brasil Ltda. | Brazil | Compliant |
Gold | Umicore Precious Metals Thailand | Thailand | Compliant |
Gold | Umicore SA Business Unit Precious Metals Refining | Belgium | Compliant |
Gold | United Precious Metal Refining, Inc. | United States | Compliant |
Gold | Universal Precious Metals Refining Zambia | Zambia | Not Participating |
Gold | Valcambi SA | Switzerland | Compliant |
Gold | Western Australian Mint trading as The Perth Mint | Australia | Compliant |
Gold | WIELAND Edelmetalle GmbH | Germany | Compliant |
Gold | Yamamoto Precious Metal Co., Ltd. | Japan | Compliant |
Gold | Yokohama Metal Co., Ltd. | Japan | Compliant |
Gold | Yunnan Copper Industry Co Ltd | China | Not Participating |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | Compliant |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | Compliant |
Tantalum | Conghua Tantalum and Niobium Smeltry | China | Compliant |
Tantalum | D Block Metals, LLC | United States | Compliant |
Tantalum | Duoluoshan | China | Compliant |
Tantalum | Exotech Inc. | United States | Compliant |
Tantalum | F&X Electro-Materials Ltd. | China | Compliant |
Tantalum | FIR Metals & Resource Ltd. | China | Compliant |
Tantalum | Global Advanced Metals Aizu | Japan | Compliant |
Tantalum | Global Advanced Metals Boyertown | United States | Compliant |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | Compliant |
Tantalum | H.C. Starck Co., Ltd. | Thailand | Compliant |
Tantalum | H.C. Starck Hermsdorf GmbH | Germany | Compliant |
Tantalum | H.C. Starck Inc. | United States | Compliant |
Tantalum | H.C. Starck Ltd. | Japan | Compliant |
Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany | Compliant |
Tantalum | H.C. Starck Tantalum and Niobium GmbH | Germany | Compliant |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Compliant |
Tantalum | Hi-Temp Specialty Metals, Inc. | United States | Compliant |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Compliant |
Tantalum | Jiangxi Tuohong New Raw Material | China | Compliant |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Compliant |
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | China | Compliant |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Compliant |
Tantalum | KEMET Blue Metals | Mexico | Compliant |
Tantalum | Kemet Blue Powder | United States | Compliant |
Tantalum | King-Tan Tantalum Industry Ltd. | China | Compliant |
Tantalum | LSM Brasil S.A. | Brazil | Compliant |
Tantalum | Metallurgical Products India Pvt., Ltd. | India | Compliant |
Tantalum | Mineração Taboca S.A. | Brazil | Compliant |
Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | Compliant |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Compliant |
Tantalum | NPM Silmet AS | Estonia | Compliant |
Tantalum | Power Resources Ltd. | Macedonia | Compliant |
Tantalum | QuantumClean | United States | Compliant |
Tantalum | Resind Indústria e Comércio Ltda. | Brazil | Compliant |
Tantalum | RFH Tantalum Smeltry Co., Ltd. | China | Compliant |
Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | Compliant |
Tantalum | Taki Chemical Co., Ltd. | Japan | Compliant |
Tantalum | Telex Metals | United States | Compliant |
Tantalum | Tranzact, Inc. | United States | Compliant |
Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | Compliant |
Tantalum | XinXing Haorong Electronic Material Co., Ltd. | China | Compliant |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China | Compliant |
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | China | Compliant |
Tin | 5NPLUS | Canada | Not Participating |
Tin | Alpha | United States | Compliant |
Tin | An Thai Minerals Company Limited | Vietnam | Not Participating |
Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam | Not Participating |
Tin | Aoki Laboratories Ltd. | United States | Not Participating |
Tin | Chenzhou Yunxiang Mining and Metallurgy Company Limited | China | Compliant |
Tin | China Tin Group Co., Ltd. | China | Compliant |
Tin | CNMC (Guangxi) PGMA Co. Ltd. | China | Not Participating |
Tin | Cooperativa Metalurgica de Rondônia Ltda. | Brazil | Compliant |
Tin | CV Ayi Jaya | Indonesia | Compliant |
Tin | CV Dua Sekawan | Indonesia | Compliant |
Tin | CV Gita Pesona | Indonesia | Compliant |
Tin | CV Serumpun Sebalai | Indonesia | Compliant |
Tin | CV Tiga Sekawan | Indonesia | Compliant |
Tin | CV United Smelting | Indonesia | Compliant |
Tin | CV Venus Inti Perkasa | Indonesia | Compliant |
Tin | Dowa | Japan | Compliant |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam | Active |
Tin | Elmet S.L.U. | Spain | Compliant |
Tin | EM Vinto | Bolivia | Compliant |
Tin | Estanho de Rondônia S.A. | Brazil | Not Participating |
Tin | Fenix Metals | Poland | Compliant |
Tin | Gejiu Fengming Metallurgy Chemical Plant | China | Compliant |
Tin | Gejiu Jinye Mineral Company | China | Compliant |
Tin | Gejiu Kai Meng Industry and Trade LLC | China | Active |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Compliant |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Active |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Not Participating |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China | Compliant |
Tin | HuiChang Hill Tin Industry Co., Ltd. | China | Compliant |
Tin | Huichang Jinshunda Tin Co. Ltd | China | Not Participating |
Tin | Jean Goldschmidt International SA | Belgium | Not Participating |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China | Compliant |
Tin | JX Nippon Mining & Metals Co., Ltd. | Japan | Not Participating |
Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | Compliant |
Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Compliant |
Tin | Melt Metais e Ligas S.A. | Brazil | Compliant |
Tin | Metallic Resources, Inc. | United States | Compliant |
Tin | Metallo-Chimique N.V. | Belgium | Compliant |
Tin | Mineração Taboca S.A. | Brazil | Compliant |
Tin | Minsur | Peru | Compliant |
Tin | Mitsubishi Materials Corporation | Japan | Compliant |
Tin | Modeltech Sdn Bhd | Malaysia | Not Participating |
Tin | Nankang Nanshan Tin Co., Ltd. | China | Not Participating |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | Not Participating |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Compliant |
Tin | O.M. Manufacturing Philippines, Inc. | Philippines | Compliant |
Tin | Operaciones Metalurgical S.A. | Bolivia | Compliant |
Tin | PT Aries Kencana Sejahtera | Indonesia | Compliant |
Tin | PT Artha Cipta Langgeng | Indonesia | Compliant |
Tin | PT ATD Makmur Mandiri Jaya | Indonesia | Compliant |
Tin | PT Babel Inti Perkasa | Indonesia | Compliant |
Tin | PT Bangka Prima Tin | Indonesia | Compliant |
Tin | PT Bangka Tin Industry | Indonesia | Compliant |
Tin | PT Belitung Industri Sejahtera | Indonesia | Compliant |
Tin | PT Bukit Timah | Indonesia | Compliant |
Tin | PT Cipta Persada Mulia | Indonesia | Compliant |
Tin | PT DS Jaya Abadi | Indonesia | Compliant |
Tin | PT Eunindo Usaha Mandiri | Indonesia | Compliant |
Tin | PT Inti Stania Prima | Indonesia | Compliant |
Tin | PT Justindo | Indonesia | Not Participating |
Tin | PT Karimun Mining | Indonesia | Compliant |
Tin | PT Kijang Jaya Mandiri | Indonesia | Compliant |
Tin | PT Menara Cipta Mulia | Indonesia | Compliant |
Tin | PT Mitra Stania Prima | Indonesia | Compliant |
Tin | PT O.M. Indonesia | Indonesia | Compliant |
Tin | PT Panca Mega Persada | Indonesia | Compliant |
Tin | PT Prima Timah Utama | Indonesia | Compliant |
Tin | PT Refined Bangka Tin | Indonesia | Compliant |
Tin | PT Sariwiguna Binasentosa | Indonesia | Compliant |
Tin | PT Stanindo Inti Perkasa | Indonesia | Compliant |
Tin | PT Sukses Inti Makmur | Indonesia | Compliant |
Tin | PT Sumber Jaya Indah | Indonesia | Compliant |
Tin | PT Timah (Persero) Tbk Kundur | Indonesia | Compliant |
Tin | PT Timah (Persero) Tbk Mentok | Indonesia | Compliant |
Tin | PT Tinindo Inter Nusa | Indonesia | Compliant |
Tin | PT Tirus Putra Mandiri | Indonesia | Not Participating |
Tin | PT Tommy Utama | Indonesia | Compliant |
Tin | PT WAHANA PERKIT JAYA | Indonesia | Compliant |
Tin | Resind Indústria e Comércio Ltda. | Brazil | Compliant |
Tin | Rui Da Hung | Taiwan | Compliant |
Tin | Soft Metais Ltda. | Brazil | Compliant |
Tin | Thaisarco | Thailand | Compliant |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | Not Participating |
Tin | VQB Mineral and Trading Group JSC | Vietnam | Compliant |
Tin | White Solder Metalurgia e Mineração Ltda. | Brazil | Compliant |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | Active |
Tin | Yunnan Tin Group (Holding) Company Limited | China | Compliant |
Tin | Yuntinic Chemical GmbH | Germany | Not Participating |
Tungsten | A.L.M.T. Corp. | Japan | Compliant |
Tungsten | ACL Metais Eireli | Brazil | Not Participating |
Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | Compliant |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | Compliant |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Compliant |
Tungsten | Exotech Inc. | United States | Not Participating |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | China | Compliant |
Tungsten | Ganzhou Haichuang Tungsten Industry Co., Ltd. | China | Not Participating |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | Compliant |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Compliant |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | Compliant |
Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China | Not Participating |
Tungsten | Global Tungsten & Powders Corp. | United States | Compliant |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | Compliant |
Tungsten | H.C. Starck Smelting GmbH & Co. KG | Germany | Compliant |
Tungsten | H.C. Starck Tungsten GmbH | Germany | Compliant |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | Compliant |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | Compliant |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | Compliant |
Tungsten | Hydrometallurg, JSC | Russian Federation | Compliant |
Tungsten | Japan New Metals Co., Ltd. | Japan | Compliant |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Compliant |
Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | China | Not Participating |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Compliant |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | Not Participating |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Compliant |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Compliant |
Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China | Compliant |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Compliant |
Tungsten | Kennametal Fallon | United States | Compliant |
Tungsten | Kennametal Huntsville | United States | Compliant |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | Compliant |
Tungsten | Moliren Ltd | Russian Federation | Compliant |
Tungsten | Niagara Refining LLC | United States | Compliant |
Tungsten | Nippon Tungsten Co., Ltd. | Japan | Not Participating |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Vietnam | Compliant |
Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | Compliant |
Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | China | Compliant |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam | Compliant |
Tungsten | Unecha Refractory Metals Plant | Russian Federation | Compliant |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Vietnam | Compliant |
Tungsten | Wolfram Bergbau und Hütten AG | Austria | Compliant |
Tungsten | Woltech Korea Co., Ltd. | Korea, Republic of | Compliant |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | Compliant |
Tungsten | Xiamen Tungsten Co., Ltd. | China | Compliant |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Compliant |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | Compliant |
a) | The smelters and refiners listed above were identified to SunPower by the Suppliers. Not all of the listed smelters and refiners may have processed the necessary 3TG contained in SunPower’s in-scope products, since some Suppliers reported at a “company level,” meaning that they reported the 3TG contained in all of their products, not just those in the products that they sold to SunPower. Some Suppliers also may have reported smelters and refiners that were not in SunPower’s supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the smelters and refiners reflected above may not include all of the smelters and refiners in SunPower’s supply chain, since some Suppliers did not identify all of their smelters and refiners and because not all Suppliers responded to SunPower’s inquiries. |
b) | “Compliant” means that a smelter or refiner was listed as compliant with the Conflict-Free Smelter Program’s (“CSFP”) assessment protocols or the assessment protocol of another third-party audit agency listed in the Due Diligence Framework. Smelters or refiners that are listed as “Re-audit in process” are considered to be Compliant by the CFSP. Included smelters and refiners were not necessarily Compliant for all or part of 2016 and may not continue to be Compliant for any future period. |
c) | “Active” means that the smelter or refiner is listed by the CFSI as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the third-party audit agency, or according to information published by the CFSI, the smelter has agreed to complete a CFSP validation audit within two years of membership issuance by the Tungsten Industry – Conflict Minerals Council. |
d) | “Not Participating” means the smelter or refiner is not listed as “Compliant” or “Active.” |
e) | Smelter or refiner status reflected in the table is based solely on information made publicly available by the CFSI, without independent verification by SunPower. |
f) | Country location is the location of the smelter or refiner is based solely on information made publicly available by the CFSI, without independent verification by SunPower. |
• | Continue to alert suppliers when SunPower comes across information that a 3TG smelter or refiner is accused of irresponsible sourcing. |
• | Inform all suppliers who have uncertified or high risk smelters on their CMRT and pass them list of CFSI approved smelters. |
• | Inform all suppliers who have uncertified or high risk smelters they must communicate and organize their upstream suppliers to find alternative smelters or require certification of those smelters immediately and show deliberate steps in 2017 reporting cycle. |
• | Require submission of CMRT with all conflict-free smelters as re-qualification step for any in-scope suppliers who are now inactive, but failed to submit CMRT in prior year when they were active. |
• | Increase use of supplier survey as prequalification step to vet for conflict minerals. |