SunPower Corporation
SUNPOWER CORP (Form: SD, Received: 05/31/2017 16:22:16)



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

Form SD

 
 
Specialized Disclosure Report
 
 
SunPower Corporation
(Exact name of registrant as specified in its charter)

 
 
001-34166
(Commission File Number)
 
Delaware
94-3008969
(State or other jurisdiction
of incorporation)
(I.R.S. Employer
Identification No.)

77 Rio Robles, San Jose, California 95134
(Address of principal executive offices, with zip code)


Kenneth Mahaffey
Executive Vice President and General Counsel
(408) 240-5500
(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:

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

 






Section 1 – Conflict Minerals Disclosure
Item 1.01
Conflict Minerals Disclosure and Report

As required by the Conflict Minerals Rule, a Conflict Minerals Report is provided as an Exhibit to this Form SD and is available on our website at http://investors.sunpower.com/. The information contained on our website is not incorporated by reference into this Form SD or our Conflict Minerals Report and should not be considered part of this Form SD or the Conflict Minerals Report.

Information concerning conflict minerals from recycled or scrap sources that may be contained in our in-scope products is included in the Conflict Minerals Report and is incorporated in this Form SD by reference.

Item 1.02
Exhibit

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.



Section 2 – Exhibits
Item 2.01
Exhibits
Exhibit No.
Description
1.01
Conflict Minerals Report for the calendar year ended December 31, 2016.







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 undersigned hereunto duly authorized.
 
 
 
 
 
SUNPOWER CORPORATION
 
 
 
Dated: May 31, 2017
By:
/ S / CHARLES D. BOYNTON
 
Name:
Charles D. Boynton
 
Title:
Executive Vice President and
Chief Financial Officer








EXHIBIT INDEX
 
Exhibit No.
Description
 
 
1.01
Conflict Minerals Report for the calendar year ended December 31, 2016.






Exhibit 1.01
Conflict Minerals Report
SunPower Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for 2016 as required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 31, 2017.
Unless the context indicates otherwise, the term “SunPower” refers to SunPower Corporation and its consolidated subsidiaries, and “Service Provider” refers to Source Intelligence, a software company providing a software and due diligence service function. 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 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 contain 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 2016, SunPower was unable to determine the origin of at least a portion of the necessary 3TG in each of its product areas.
For a further discussion of SunPower’s products, see its Annual Report on Form 10-K for the fiscal year ended January 1, 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 2016 and should not be considered part of this Conflict Minerals Report or the Form SD.
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 unrefined 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 (RCOI) required by the Conflict Minerals Rule, SunPower and its Service Provider engaged with suppliers to collect information about the presence and sourcing of 3TG used in products and components supplied to SunPower. The primary method of inquiry was a preliminary questionnaire issued in December 2016 that served to establish in-scope suppliers. SunPower also reviewed prior year conflict mineral submissions from suppliers, took note of new suppliers, and identified certain suppliers as likely to use 3TG that originated in Covered Countries. Prior to initiating due diligence, SunPower had reason to believe that 3TG used in products may have originated in Covered Countries, and also had reason to believe that these minerals may not have been from scrap or recycled sources, and therefore were subject to due diligence on source and chain of custody.
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.
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 2016) (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, supporting regulation, and frequently asked questions (FAQs) concerning 3TG mineral tracing, suppliers to whom SunPower performed outreach were introduced to the Service Provider’s Conflict Minerals Resource Center. The resource center is provided to increase knowledge, educate suppliers as to why information is being requested, and help suppliers evaluate whether they are in scope.
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 supply chain management groups. 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. The last training took place in September 2016.
SunPower also utilizes the Service Provider and 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, which was last updated in August 2016. Under the Conflict Minerals Policy, SunPower suppliers are required to:

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.






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, suppliers must maintain and provide to SunPower, upon request, 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 http://us.sunpower.com/company/corporate-social-responsibility/.
The Company has a grievance mechanism for reporting violations of the Company’s Conflict Minerals Policy. Violations may be reported by calling the Company’s Compliance and Ethics Helpline at 1-866-307-5679 within the United States, or at 16 other toll-free numbers provided on the Company’s employee intranet in additional countries, or by going to the Company’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).
Upstream Supplier Communication
SunPower informs its direct suppliers of conflict mineral concerns within their chain of custody and indicates actions necessary to mitigate the concern. These actions include requesting that direct suppliers communicate to upstream suppliers what smelters and refiners pose sourcing concerns, and whether a smelter is known to source from one or more Covered Countries and has not completed a 3rd party audit. All mitigation to address sourcing concerns is documented as part of SunPower’s risk management in software supported by the Service Provider.
Data Collection; Records Storage and Retention
SunPower uses the Conflict Minerals Reporting Template (the “CMRT”) developed by the Conflict-Free Sourcing Initiative (the “CFSI”) to gather information on the use of 3TG by its suppliers, the source of the 3TG and the suppliers’ related compliance procedures. For the 2016 reporting year, only CMRT’s version 3.0 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 from 2015 forward in the Service Provider’s software, and documents all evidence of supplier conflict minerals risk needed to make decisions in the Service Provider’s software. 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.
Ongoing Conflict Minerals Risk Management
SunPower gathers information on conflict minerals risk from a variety of sources, including: recognition of supplier categories that most frequently cite 3TG use, involvement of SunPower in interest groups such as CFSI and the Silicon Valley Conflict Minerals Forum, and frequently communicating with partner organizations including the Service Provider. SunPower further uses the preliminary questionnaire and CMRT reporting form as risk identification tools. As an additional measure, SunPower has begun asking conflict minerals scoping questions in a survey intended for a large cross section of its suppliers. As SunPower is multiple layers removed from smelters and refiners, it relies on information shared through its networks. SunPower includes conflict mineral concerns in the risk profile of each supplier found in the Service Provider’s software platform. Supply chain managers within SunPower work with the compliance team to identify conflict minerals concerns, and help devise risk mitigation efforts. The compliance team reports aggregated conflict minerals risk findings to SunPower’s Sourcing Council, which includes senior management, and the contents of this conflict minerals report are shared with SunPower’s Sustainability Council, which includes 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 for reporting these efforts to appropriate senior oversight personnel.
For example, from CMRT declarations received and not received for the 2016 reporting period, SunPower has prioritized certain suppliers for risk mitigation actions in 2017. To address new suppliers, SunPower utilizes software that helps establish conflict mineral risk for suppliers based on parts proposed in new bills of material.
Utilization of Independent Third-party Audits
To the extent that smelters or refiners are identified, SunPower primarily utilizes information made available by the CFSI concerning independent third-party audits and “DRC Conflict Free” status. SunPower was a member of the CFSI in 2016, and the Service Provider is current member of CFSI. However, consistent with best practice, SunPower relies in part on the following internationally accepted auditing bodies and their standards: the London Bullion Market Association (LBMA) Good Delivery Program and the Responsible Jewelry Council (RJC) Chain-of-Custody Certification.
Report on Supply Chain Due Diligence
SunPower files a Form SD, and, to the extent required, a Conflict Minerals Report, with the Securities and Exchange Commission and makes these filings available on its corporate website.
Due Diligence Program Execution
In furtherance of SunPower’s 3TG due diligence, it performed the due diligence measures discussed below for 2016. For a discussion of the design of SunPower's due diligence measures, see “Due Diligence Framework.”
SunPower’s outreach included 144 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 also considered the degree of influence it exercised with respect to the materials, parts and components of products manufactured by third parties. With respect to products SunPower contracted to manufacture, if parts within the bill of materials for those products were selected by SunPower, then SunPower carried out due diligence of those parts, while the contract manufacturer carried out due diligence for general use parts of the product and reflected it in their CMRT.
Specifically, SunPower took the following steps:

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.
Findings Covering Smelters, Refiners and Country of Origin Information
For 2016, SunPower received 125 supplier responses to its outreach, or an 87% response rate. SunPower’s suppliers who responded in scope to questions provided 75 CMRT declarations identifying 317 smelters and refiners that processed or may have processed 3TG contained in SunPower’s products. Of these 75 CMRT declarations, 47 were company-level, 19 were product-level, and 9 were 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 processing facilities that could result in Conflict Minerals in SunPower’s products.
Of the identified smelters and refiners 249 were listed as Compliant and 9 were listed as Active CFSI, and 59 are Not Participating in a compliance program as identified by CFSI or the Service Provider. Twenty-seven of by SunPower’s suppliers use smelters that are not compliant and are known to source from the DRC.
In brief:

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.
In connection with SunPower’s reasonable country of origin inquiry 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 2016 (table information is as of April 11, 2017; 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
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.

Country of Origin Information
SunPower has endeavored to determine the mine or location or 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, SunPower also has reviewed public information, to the extent available, to try to determine the mine or location of origin. 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 the supplier’s knowledge.
The countries of origin of the 3TG processed by “Compliant” smelters and refiners listed above are likely to have included countries listed below. The countries below are sorted by CFSI risk level.
L1 – CFSI: Countries with known active metal production but that are not identified as conflict regions or plausible areas of smuggling, export, or transit of minerals out of conflict affected regions.
Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bermuda, Bolivia, Brazil, Cambodia, Canada, Chile, China, Colombia, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, Finland, France, Germany, Ghana, Guinea, Guyana, Hong Kong, Hungary, India, Indonesia, Ireland, Israel, Italy, Japan, Jersey, Kazakhstan, Republic of Korea, Kyrgyzstan, Laos, Luxembourg, Madagascar, Malaysia, Mali, Mexico, Mongolia, Morocco, Myanmar, Namibia, Netherlands, New Zealand, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Russian





Federation, Saudi Arabia, Sierra Leone, Singapore, Slovakia, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Thailand, Turkey, United Kingdom, United States, Uzbekistan, Vietnam, Zimbabwe.
L2 – CFSI: Countries with known or plausible involvement in the smuggling, export, or transit of mineral out of conflict affected regions.
Kenya, Mozambique, South Africa, United Arab Emirates.
L3 – CFSI: Countries outlined in Section 1502 of the Dodd-Frank Act as those affected or bordering conflict-affected regions: currently defined as the Democratic Republic of Congo (DRC) and its nine adjoining countries.
Burundi, Central African Republic, Congo (Brazzaville), DRC- Congo (Kinshasa), Rwanda, South Sudan, Tanzania, Uganda, Zambia.
For 2016, we were not able to determine the country of origin of the 3TG processed by any of the smelters or refiners listed as “Active” or “Not Participating.”
Some of the 3TG processed by the Compliant 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 2017 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 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.
The foregoing steps are in addition to the steps that SunPower took for 2016.