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May 31, 2016 4:39 PM EDT



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)


Lisa Bodensteiner
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, 2015

 





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, 2015.






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, 2016
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, 2015.






Exhibit 1.01
Conflict Minerals Report
SunPower Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for 2015 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, 2016.
Unless the context indicates otherwise, the term “SunPower” refers to SunPower Corporation and its consolidated subsidiaries. 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.
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; Applicability of the Conflict Minerals Rule to SunPower
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. Some of the products that SunPower manufactures and contracts to manufacture contain 3TG that are necessary to the functionality or production of such products. However, 3TG content represents a small portion of the materials content of SunPower’s products.
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 several levels removed from the mining of minerals (3TG or otherwise). SunPower also does not make purchases of raw ore or unrefined minerals and makes no purchases in the Covered Countries. However, through the efforts described in this Conflict Minerals Report, SunPower seeks to ensure that its suppliers source responsibly.
SunPower does not seek to embargo sourcing of 3TG from the DRC region and encourages its suppliers to continue to source 3TG responsibly from the region.
Reasonable Country of Origin Inquiry Information
As required by the Conflict Minerals Rule, for 2015, SunPower conducted a “reasonable country of origin inquiry.” For its reasonable country of origin inquiry, 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 in part later in this Conflict Minerals Report.
SunPower’s outreach included 85 suppliers (the “Suppliers”) (1) that contracted to manufacture products for SunPower that were determined by SunPower to contain or potentially contain 3TG that are necessary to the functionality or production of the products or (2) that provided components, parts or products that were determined by SunPower to contain or potentially contain




necessary 3TG and that were incorporated into products manufactured by SunPower. In connection with its scoping determination, SunPower reviewed product specifications, supply chain records and bills of material, made internal engineering and supplier inquiries, commissioned independent third-party laboratory testing and utilized other information known to it regarding the materials composition of its products. It also considered the degree of influence it exercised with respect to the materials, parts and components of products manufactured by third parties.
For 2015, SunPower’s Suppliers identified 249 smelters and refiners that processed or may have processed the necessary 3TG contained in SunPower’s in-scope products, as described under “Smelter, Refiner and Country of Origin Information.”
206 of the identified smelters and refiners were listed as Compliant and 34 were listed as Active (each as defined below) by the Conflict-Free Sourcing Initiative (the “CFSI”). Some of the compliance activities described in this Conflict Minerals Report were performed by the Service Provider (the “Service Provider”) on our behalf.
Pursuant to the Conflict Minerals Rule, based on the results of its reasonable country of origin inquiry, SunPower was required to conduct due diligence for 2015. These due diligence efforts are discussed below.
Due Diligence Framework
SunPower utilizes due diligence measures relating to 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 has 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. Certain of these steps and selected elements of SunPower’s program design are discussed below. However, these are not all of the elements of the program that SunPower has put in place to help ensure that the 3TG contained in its products are responsibly sourced. Selected due diligence measures that SunPower took in respect of 2015 are discussed under “Due Diligence Program Execution.”
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 senior staff from SunPower’s legal, supply chain management and products 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.
SunPower also utilizes the Service Provider and specialist outside counsel 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:

1.
Acknowledge SunPower’s Supplier Sustainability Guidelines, which include requirements regarding 3TG and responsible sourcing, 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 selected 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 or https://sunpowereu.alertline.com (for employees in Europe).





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.
SunPower has an internal electronic database for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. As contemplated by the OECD Guidance, SunPower maintains 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 suppliers to provide the acknowledgements contemplated by its Conflict Minerals Policy, as described above.
Identification, Assessment and Internal Reporting of Supply Chain Risk
Following SunPower’s scoping determination, SunPower asks suppliers to provide information concerning the usage and source of the 3TG in their in-scope or potentially in-scope products by submitting a completed CMRT. If a supplier does not respond within the requested time frame, SunPower follows up with the supplier. Multiple reminders were sent to suppliers.
After SunPower receives completed CMRTs from Suppliers, it reviews the responses. SunPower follows up with suppliers that do not fully complete the CMRT or that submit a response that SunPower determines contained errors or inaccuracies, requesting that the supplier submit a revised response. SunPower also reviews the responses for specified "red flags."
If a completed CMRT indicates a smelter or refiner, SunPower reviews this information against the CMRT Smelter Reference List tab, the list of known processing facilities published by the U.S. Department of Commerce (the “Commerce Department List”) and the lists of “Compliant” and “Active” smelters and refiners published by the CFSI. If an indicated smelter or refiner is not listed on the Smelter Reference List tab or the Commerce Department List or listed as compliant by the CFSI, SunPower consults public information to attempt to determine whether that entity is actually a smelter or refiner.
Based on the information furnished by the suppliers and other information known to SunPower, it assesses the risk profile of sourcing from each supplier. The compliance team also reports the findings of its supply chain risk assessment to SunPower’s Sustainability Council, an executive forum focused on environmental sustainability, ethics, community relations and responsible sourcing.
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 mitigation strategy, to the extent that risks that require mitigation are identified, if applicable, SunPower will adopt procedures for monitoring and tracking the performance of the risk mitigation efforts and for reporting these efforts back to appropriate senior oversight personnel. Under its procedures, SunPower also will undertake additional fact and risk assessments for risks that require mitigation or after a change of circumstances.
Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
To the extent that smelters or refiners are identified, SunPower utilizes information made available by the CFSI concerning independent third-party audits of smelters and refiners. SunPower is a member of the CFSI.
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 2015. These are not all of the measures that SunPower took in furtherance of its 3TG compliance program and pursuant to the Conflict Minerals




Rule and the OECD Guidance. For a discussion of the design of SunPower's due diligence measures, see “Due Diligence Framework.”

1.
SunPower sent requests to all direct Suppliers to complete a CMRT. SunPower requested that the Suppliers furnish it with a completed CMRT at the product level. SunPower followed up by email or phone with the Suppliers that did not provide a response within the specified time frame.

2.
SunPower reviewed the completed responses received from the Suppliers for incomplete responses, potential errors, inaccuracies and “red flags.”

3.
SunPower reviewed the smelters and refiners identified to it by the Suppliers against those contained on the Smelter Reference List tab of the CMRT and the Commerce Department List. To the extent not on either of those lists, SunPower (a) requested that the Supplier confirm that the listed entity is 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.

4.
With respect to those responses that identified a smelter or refiner, SunPower also reviewed that information against the lists of Compliant and Active smelters and refiners published by the CFSI. 180 of the 258 identified smelters and refiners were listed as Compliant by the CFSI as of May 23, 2016 and 78 were listed as Active.

5.
To the extent that a smelter or refiner identified by a Supplier was not listed as Compliant by the CFSI, SunPower 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.

6.
The compliance team reported the findings of its supply chain risk assessment to SunPower’s Sustainability Council.

7.
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.
Product Information
For 2015, SunPower was unable to determine the origin of at least a portion of the necessary 3TG in each of its in-scope products. Its in-scope products consisted of:

•
Solar panels; and
•
Balance of systems components.
Only a portion of SunPower’s balance of systems components were in-scope for purposes of its compliance with the Conflict Minerals Rule. Our in-scope products contain all four of the 3TG.
For a further discussion of SunPower’s products, see its Annual Report on Form 10-K for the fiscal year ended January 3, 2016. The information contained in the Form 10-K is not incorporated by reference into this Conflict Minerals Report or SunPower's Form SD for 2015 and should not be considered part of this Conflict Minerals Report or the Form SD.
For 2015, none of the 3TG contained in SunPower’s in-scope products were determined by it to have directly or indirectly financed or benefitted armed groups in a Covered Country. However, SunPower did not conclude that any of its products were “DRC conflict free.”
Smelter, Refiner and Country of Origin Information
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 2015.

•
249 smelters and refiners were identified by the Suppliers.
•
206 of the smelters and refiners, or 83%, were listed as Compliant by the CFSI.
•
34, or 13%, were listed as Active.




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
Aida Chemical Industries Co. Ltd.
Japan
Compliant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Germany
Compliant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
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
Aurubis AG
Germany
Compliant
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
CCR Refinery - Glencore Canada Corporation
Canada
Compliant
Gold
Chimet S.p.A.
Italy
Compliant
Gold
DODUCO GmbH
Germany
Compliant
Gold
Dowa
Japan
Compliant
Gold
Eco-System Recycling Co., Ltd.
Japan
Compliant
Gold
Elemetal Refining, LLC
United States
Compliant
Gold
Emirates Gold DMCC
United Arab Emirates
Compliant
Gold
Heimerle + Meule GmbH
Germany
Compliant
Gold
Heraeus Ltd Hong Kong
Hong Kong
Compliant
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Compliant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
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
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
Kazzinc
Kazakhstan
Compliant
Gold
Kennecott Utah Copper LLC
United States
Compliant
Gold
KOJIMA CHEMICALS CO.,LTD.
Japan
Compliant
Gold
LS-NIKKO Copper Inc.
Korea
Compliant
Gold
Materion
United States
Compliant
Gold
Matsuda Sangyo Co. Ltd
Japan
Compliant
Gold
Metalor Technologies (Hong Kong) Ltd
Hong Kong
Compliant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Singapore
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
MITSUBISHI MATERIALS CORP
Japan
Compliant




Gold
Mitsui Mining and Smelting Co., Ltd.
Japan
Compliant
Gold
MMTC-PAMP India Pvt., Ltd.
India
Compliant
Gold
Moscow Special Alloys Processing Plant
Russian Federation
Compliant
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.
Turkey
Compliant
Gold
Nihon Material Co. LTD
Japan
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 SA
Switzerland
Compliant
Gold
Prioksky Plant of Non-Ferrous Metals
Russian Federation
Compliant
Gold
PT Aneka Tambang (Persero) Tbk
Indonesia
Compliant
Gold
PX Précinox SA
Switzerland
Compliant
Gold
Rand Refinery (Pty) Ltd
South Africa
Compliant
Gold
Republic Metals Corporation
United States
Compliant
Gold
Royal Canadian Mint
Canada
Compliant
Gold
Schone Edelmetaal
Netherlands
Compliant
Gold
SEMPSA Joyeria Plateria SA
Spain
Compliant
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
SOE Shyolkovsky Factory of Secondary Precious Metals
Russian Federation
Compliant
Gold
Solar Applied Materials Technology Corp.
Taiwan
Compliant
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
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
Valcambi SA
Switzerland
Compliant
Gold
Western Australian Mint trading as The Perth Mint
Australia
Compliant
Gold
Yamamoto Precious Metal Co., Ltd.
Japan
Compliant
Gold
Yokohama Metal Co Ltd
Japan
Compliant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Compliant
Gold
Zijin Mining Group Co. Ltd
China
Compliant
Gold
Advanced Chemical Company
United States
Active
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Active
Gold
Cendres & Metaux SA
Switzerland
Active
Gold
Daejin Indus Co. Ltd
Korea
Active
Gold
DSC (Do Sung Corporation)
Korea,
Active
Gold
FAGGI ENRICO SPA
Italy
Active
Gold
Geib Refining Corporation
United States
Active




Gold
KGHM Polska Miedž Spółka Akcyjna
Poland
Active
Gold
Korea Zinc Co. Ltd.
Korea
Active
Gold
Metalor Technologies (Suzhou) Ltd.
China
Active
Gold
Navoi Mining and Metallurgical Combinat
Uzbekistan
Active
Gold
SAXONIA Edelmetalle GmbH
Germany
Active
Gold
Torecom
Korea
Active
Gold
WIELAND Edelmetalle GmbH
Germany
Active
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Turkey
On Reference List Only
Gold
Hunan Chenzhou Mining Group Co., Ltd.
China
On Reference List Only
Gold
L azurde Company For Jewelry
Saudi Arabia
On Reference List Only
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
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
China
Compliant
Tantalum
H.C. Starck Co., Ltd.
Thailand
Compliant
Tantalum
H.C. Starck GmbH Goslar
Germany
Compliant
Tantalum
H.C. Starck GmbH Laufenburg
Germany
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
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
JiuJiang JinXin Nonferrous Metals Co., Ltd.
China
Compliant
Tantalum
Jiujiang Tanbre Co., Ltd.
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 & Smelting
Japan
Compliant
Tantalum
Molycorp Silmet A.S.
Estonia
Compliant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
China
Compliant
Tantalum
Plansee SE Liezen
Austria
Compliant
Tantalum
Plansee SE Reutte
Austria
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 Chemicals
Japan
Compliant
Tantalum
Telex
United States
Compliant
Tantalum
Tranzact, Inc.
United States
Compliant
Tantalum
Ulba
Kazakhstan
Compliant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
China
Compliant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
China
Compliant
Tantalum
Zhuzhou Cement Carbide
China
Compliant
Tin
ALPHA
United States
Compliant
Tin
China Tin Group Co., Ltd.
China
Compliant
Tin
CV Ayi Jaya
Indonesia
Compliant
Tin
CV Gita Pesona
Indonesia
Compliant
Tin
CV Serumpun Sebalai
Indonesia
Compliant
Tin
CV UNITED SMELTING
Indonesia
Compliant
Tin
CV Venus Inti Perkasa
Indonesia
Compliant
Tin
Dowa
Japan
Compliant
Tin
Elmet S.L.U. (Metallo Group)
Spain
Compliant
Tin
EM Vinto
Bolivia
Compliant
Tin
Gejiu Non-Ferrous Metal Processing Co. Ltd.
China
Compliant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
China
Compliant
Tin
Magnu's Minerais Metais e Ligas LTDA
Brazil
Compliant
Tin
Malaysia Smelting Corp
Malaysia
Compliant
Tin
Melt Metais e Ligas S/A
Brazil
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
O.M. Manufacturing (Thailand) Co., Ltd.
Thailand
Compliant
Tin
O.M. Manufacturing Philippines, Inc.
Philippines
Compliant
Tin
OMSA
Bolivia
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 Tin Industry
Indonesia
Compliant
Tin
PT Belitung Industri Sejahtera
Indonesia
Compliant
Tin
PT BilliTin Makmur Lestari
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
Compliant
Tin
PT Mitra Stania Prima
Indonesia
Compliant




Tin
PT Panca Mega Persada
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 Mentok
Indonesia
Compliant
Tin
PT Tinindo Inter Nusa
Indonesia
Compliant
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
VQB Mineral and Trading Group JSC
Viet Nam
Compliant
Tin
White Solder Metalugia
Brazil
Compliant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
China
Compliant
Tin
Yunnan Tin Company, Ltd.
China
Compliant
Tin
An Thai Minerals Company Limited
Viet Nam
Active
Tin
An Vinh Joint Stock Mineral Processing Company
Viet Nam
Active
Tin
CV Dua Sekawan
Indonesia
Active
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Viet Nam
Active
Tin
Fenix Metals
Poland
Active
Tin
Gejiu Fengming Metalurgy Chemical Plant
China
Active
Tin
Gejiu Jinye Mineral Company
China
Active
Tin
Gejiu Kai Meng Industry and Trade LLC
China
Active
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
China
Active
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Viet Nam
Active
Tin
PT Karimun Mining
Indonesia
Active
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Viet Nam
Active
Tin
PT Bangka Prima Tin
Indonesia
On Reference List Only
Tin
PT Tambang Timah
Indonesia
On Reference List Only
Tungsten
A.L.M.T. TUNGSTEN Corp.
Japan
Compliant
Tungsten
ASIA TUNGSTEN PRODUCTS (VIETNAM) LTD
Viet Nam
Compliant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
China
Compliant
Tungsten
Chongyi Zhangyuan Tungsten Co Ltd
China
Compliant
Tungsten
FUJIAN JINXIN TUNGSTEN CO.,LTD
China
Compliant
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
Compliant
Tungsten
Global Tungsten & Powders Corp
United States
Compliant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
China
Compliant
Tungsten
H.C. Starck GmbH
Germany
Compliant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
Germany
Compliant




Tungsten
Hunan Chenzhou Mining Co., Ltd.
China
Compliant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
China
Compliant
Tungsten
Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.
China
Compliant
Tungsten
Japan New Metals Co Ltd
Japan
Compliant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
China
Compliant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
China
Compliant
Tungsten
Kennametal Huntsville
United States
Compliant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
China
Compliant
Tungsten
Niagara Refining LLC
United States
Compliant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Viet Nam
Compliant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Viet Nam
Compliant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd
Viet Nam
Compliant
Tungsten
Wolfram Bergbau und Hütten AG
Austria
Compliant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
China
Compliant
Tungsten
Xiamen Tungsten Co., Ltd
China
Compliant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China
Compliant
Tungsten
ACL Metais Eireli
Brazil
Active
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
China
Active
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
China
Active
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Active
Tungsten
JIANGXI XINSHENG TUNGSTEN INDUSTRY CO LTD
China
Active
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Active
Tungsten
Kennametal Fallon
United States
Active
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
China
Active
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
China
On Reference List Only
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
China
On Reference List Only
Tungsten
Sanher Tungsten Vietnam Co., Ltd.
Viet Nam
On Reference List Only


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)
Smelter or refiner status information in the table is as of May 23, 2016.

c)
“Compliant” means that a smelter or refiner was listed as compliant with the Conflict-Free Smelter Program’s (“CSFP”) assessment protocols, including through mutual recognition. 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 2015 and may not continue to be Compliant for any future period.





d)
“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 CFSP 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.

e)
“On Reference List Only” means the smelter or refiner is not listed as “Compliant” or “Active.”

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

g)
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.
The countries of origin of the 3TG processed by the Compliant smelters and refiners listed above may have included countries in each of the categories 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 DRC and its nine adjoining countries: Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Cambodia, Canada, Chile, China, Colombia, Cote d’Ivoire, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Russia, Sierra Leone, Singapore, Slovakia, South Korea, Spain, Suriname, Switzerland, Taiwan, Thailand, United Kingdom, United States, Vietnam and Zimbabwe.
L2 – Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Kenya, Mozambique and South Africa.
L3 – The DRC and its nine adjoining countries: Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Uganda, United Republic of Tanzania and Zambia.
DRC – The Democratic Republic of the Congo.
For 2015, 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 “On Reference List Only.”
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 2016 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 encourage Suppliers that provided company level information for 2015 to provide product level information for 2016 through ongoing outreach with these Suppliers.

•
Continue to engage with Suppliers that provided incomplete responses or that did not provide responses for 2015 to help ensure that they provide requested information for 2016.

•
Communicating its sourcing expectations to any new suppliers in 2016.
The foregoing steps are in addition to the steps that SunPower took for 2015, which it intends to continue to take for 2016 to the extent applicable.




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