DocumentExhibit 1.01
Conflict Minerals Report
SunPower Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for 2021 as provided for in 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 27, 2022.
Unless the context indicates otherwise, the term “SunPower” refers to SunPower Corporation and its consolidated subsidiaries, and “Service Provider” refers to the third party retained by SunPower to assist with supplier outreach and data validation of the responses received from suppliers. Some of the compliance activities described in this Conflict Minerals Report were performed by the Service Provider in coordination with SunPower. As used herein and consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.
This Conflict Minerals Report can be found on the SunPower website at: http://investors.sunpower.com/sec.cfm.
Forward-Looking Statements
This document contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Exchange Act. In particular, statements contained in this document that are not historical facts, including, but not limited to, statements concerning the additional steps that SunPower intends to take to mitigate the risk that its necessary 3TG benefit armed groups, constitute forward-looking statements and are made under the safe harbor provisions of Section 27A of the Securities Act and Section 21E of the Exchange Act.
Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties may include, but are not limited to, (1) the continued implementation of satisfactory traceability and other compliance measures by SunPower’s direct and indirect suppliers on a timely basis or at all, (2) whether smelters and refiners and other market participants responsibly source 3TG, and (3) political, regulatory, and economic 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 solar technology and energy services provider that offers fully integrated solar, storage and home energy solutions to customers primarily in the United States and Canada through an array of hardware, software, and financing options and “Smart Energy” solutions. Our Smart Energy initiative is designed to add layers of intelligent control to homes, buildings, and grids—all personalized through easy-to-use customer interfaces. SunPower products include solar panels and balance of systems components that can include inverters, combiner boxes, racking systems, mechanical and motorized systems, and electrical tracking, monitoring and controller systems. Each of the product areas that SunPower manufactures and contracts to manufacture contains 3TG 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 a further discussion of SunPower’s products, see its Annual Report on Form 10-K for the fiscal year ended January 2, 2022. The information contained in the Form 10-K is not incorporated by reference into this Conflict Minerals Report or SunPower's Form SD for 2021 and should not be considered part of this Conflict Minerals Report or the Form SD.
SunPower is multiple levels removed from the mining of minerals (3TG or otherwise). SunPower does not make purchases of raw ore or refined minerals directly from smelters or refiners and makes no purchases in the Covered Countries. However, through the efforts described in this Conflict Minerals Report, SunPower seeks to ensure its suppliers are sourcing responsibly.
SunPower does not seek to embargo sourcing of 3TG from the Covered Countries and encourages its suppliers to continue to source 3TG responsibly from the region.
Reasonable Country of Origin Inquiry
To complete the “reasonable country of origin inquiry” (the “RCOI”) required by the Conflict Minerals Rule, SunPower and its Service Provider engaged with suppliers to collect information about the presence and source of 3TG used in products and components supplied to SunPower. For its RCOI, to the extent applicable, SunPower utilized the same processes and procedures as for its due diligence, in particular Steps 1 and 2 of the OECD Guidance (as defined below), which are discussed later in this Conflict Minerals Report. For 2021, SunPower surveyed 15 suppliers as part of its RCOI.
The results of SunPower’s RCOI are discussed under “Findings Concerning Smelters and Refiners and Country of Origin Information.”
Due Diligence Measures
Due Diligence Measures
Design Framework
SunPower utilizes due diligence measures for 3TG that are intended to conform with, in all material respects, the criteria set forth in the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Guidance”). The OECD Guidance established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. 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.
Diligence Program
In furtherance of SunPower’s 3TG due diligence, it performed the due diligence measures discussed below for 2021.
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 operations groups, under executive leadership. The members of the team and selected other internal personnel are expected to be familiar with the Conflict Minerals Rule, the OECD Guidance, SunPower’s compliance plan, and the procedures for reviewing and validating supplier responses to SunPower’s inquiries. SunPower also utilized the Service Provider and specialist outside counsel to assist with and/or to advise it on certain aspects of its compliance.
Conflict Minerals Policy; Training Resources; Grievance Mechanism
SunPower maintains a Conflict Minerals Policy. Under the Conflict Minerals Policy, SunPower suppliers are required to acknowledge SunPower’s Supplier Sustainability Guidelines, which incorporates the Conflict Minerals Policy. Under the Conflict Minerals Policy, SunPower reserves the right to request additional documentation from its suppliers regarding the source of any 3TG included in their products. In addition, SunPower reserves the right to ask suppliers to maintain traceability data for a minimum of five years. The Conflict Minerals Policy indicates that SunPower will evaluate its relationships with its suppliers on an ongoing basis to ensure continued compliance with the Conflict Minerals Policy.
The Conflict Minerals Policy is communicated internally to SunPower’s supply chain employees and to suppliers. In addition, the Conflict Minerals Policy is posted on SunPower’s website at https://us.sunpower.com/sites/default/files/media-library/compliance-briefs/cb-sunpower-conflict-minerals-policy.pdf.
In an effort to increase supplier awareness about Conflict Minerals and related regulatory requirements, provide answers to frequently asked questions concerning 3TG mineral tracing, and ultimately improve the accuracy and completeness of supplier responses, suppliers that were part of SunPower’s outreach received access to the Service Provider’s online resources.
SunPower has a grievance mechanism for reporting violations of its Conflict Minerals Policy. The grievance mechanism is available through the Conflict Minerals Policy. Violations may be reported by calling SunPower’s Compliance and Ethics Helpline at 1-866-307-5679 within the United States, or at toll-free numbers provided for additional countries/regions in SunPower’s Code of Business Conduct and Ethics available on its investor relations website at investors.sunpower.com, or by going to SunPower’s reporting website at sunpower.alertline.com.
Data Collection; Records Storage and Retention
For 2021, SunPower carried out due diligence on parts selected by SunPower within the bills of materials of products that were contracted to be manufactured, based on supplier spend. The contract manufacturers carried out due diligence for general use parts of products that were contracted to be manufactured, the results of which were reflected in their Conflict Minerals Reporting Templates (collectively, the “CMRTs” and individually, a “CMRT”) furnished to SunPower. SunPower’s outreach included 15 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 contracted to be manufactured by SunPower.
SunPower sent the Suppliers a request to submit a CMRT to gather information on the use of 3TG by the Suppliers, the source of the 3TG and the Suppliers’ related compliance procedures. SunPower gave the 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 the Suppliers to declare the level of information provided. Following the initial introductions to the program and information request, up to three reminder emails were sent to each non-responsive Supplier requesting survey completion. This outreach was managed by the Service Provider on our behalf. Additional outreach also was conducted by SunPower’s staff on an as-needed basis to further emphasize the importance of suppliers completing the CMRT.
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. If a smelter or refiner was not on the CMRT Smelter Look-up tab list, the Service Provider (a) requested that the Supplier confirm that the listed entity was a smelter or refiner, (b) consulted publicly-available information to attempt to determine whether the identified entity was a smelter or refiner, or (c) attempted to contact the listed entity. If the smelter or refiner was not identified as Conformant (as later defined) or the equivalent by the Responsible Minerals Initiative (the “RMI”), the London Bullion Market Association (the “LMBA”) or the Responsible Jewellery Council (the “RJC”), SunPower or the Service Provider attempted to contact the smelter or refiner to gain more information about its sourcing practices, including countries of origin and transfer, and due diligence procedures.
To the extent that no contact was made with a smelter or refiner identified by a Supplier, SunPower or the Service Provider searched public information to attempt to determine the mine or location of origin of the 3TG processed by the smelter or refiner and whether it obtains 3TG from sources that directly or indirectly finance or benefit armed groups in a Covered Country.
SunPower has an electronic file for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. SunPower stores all supplier CMRTs and documents evidence of identified supplier 3TG sourcing risk. As contemplated by the OECD Guidance, SunPower will maintain these records for at least five years. The Service Provider also has been requested to maintain records in its possession for at least five years.
3TG Risk Management
SunPower obtained information on 3TG sourcing risk from the Service Provider. SunPower further used the CMRT responses to identify 3TG sourcing risk. Given SunPower’s position in the 3TG supply chain, it believes that this is the most efficient means for identifying 3TG sourcing risk.
The quality and supply chain teams within SunPower worked together to identify 3TG sourcing concerns and determine risk mitigation efforts. The quality team reported aggregated risk findings to and the contents of this Conflict Minerals Report are shared with SunPower’s executive management.
SunPower determines on a case-by-case basis the appropriate risk mitigation strategy for any identified risks. Potential outcomes under SunPower’s risk mitigation strategy include continuing to work with the supplier while risks are addressed or reassessing the relationship with the supplier. Under SunPower’s risk management framework, to the extent that risks require mitigation, SunPower monitors and tracks the performance of the risk mitigation efforts and reports these efforts to appropriate senior oversight personnel.
Utilization of Independent Third-Party Audits
To the extent that smelters or refiners are identified, SunPower primarily utilizes information made available by the RMI concerning independent third-party audits and Conformant status. SunPower also relies on audits performed by the LBMA and the RJC.
Report on Supply Chain Due Diligence
SunPower files a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and makes these filings available on its investor relations website.
Findings Concerning Smelters and Refiners and Country of Origin Information
For 2021, SunPower surveyed 15 suppliers as part of its 3TG due diligence and received 15 CMRTs in response to its outreach. The CMRT declarations received identified 329 smelters and refiners that processed or may have processed 3TG contained in SunPower’s products. Of these 15 CMRT declarations, 12 were company-level, 3 were product-level, and 0 were at a level defined by the Supplier. Due to the number of Suppliers providing company-level declarations, the list of processing facilities disclosed below may over-represent the number of 3TG processing facilities in SunPower’s supply chain.
In brief, as indicated in the table below:
•329 smelters and refiners were identified by the Suppliers.
•227 smelters and refiners, or 69%, were listed as Conformant by the RMI.
•17 smelters or refiners, or 5%, were listed as Active.
•85 smelters or refiners, or 26%, were listed on the CMRT Smelter Look-up tab only.
In connection with SunPower’s RCOI or due diligence, as applicable, the Suppliers identified to SunPower the facilities listed below as potentially having processed the necessary 3TG contained in SunPower’s in-scope products in 2021 (table information is as of May 11, 2022; see the notes following the table for additional information concerning the information presented in the table).
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | 8853 S.p.A. | Italy | Conformant |
| Gold | Abington Reldan Metals, LLC | United States | Active |
| Gold | Advanced Chemical Company | United States | Conformant |
| Gold | African Gold Refinery | Uganda | On Smelter Look-up Tab Only |
| Gold | Aida Chemical Industries Co., Ltd. | Japan | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | Conformant |
| Gold | Alexy Metals | United States | Active |
| Gold | Agosi AG | Germany | Conformant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | Conformant |
| Gold | Argor-Heraeus S.A. | Switzerland | Conformant |
| Gold | Asahi Pretec Corp. | Japan | Conformant |
| Gold | Asahi Refining Canada Ltd. | Canada | Conformant |
| Gold | Asahi Refining USA Inc. | United States | Conformant |
| Gold | Asaka Riken Co., Ltd. | Japan | Conformant |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | On Smelter Look-up Tab Only |
| Gold | AU Traders and Refiners | South Africa | On Smelter Look-up Tab Only |
| Gold | Augmont Enterprises Private Limited | India | Active |
| Gold | Aurubis AG | Germany | Conformant |
| Gold | Bangalore Refinery | India | On Smelter Look-up Tab Only |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Conformant |
| Gold | Boliden AB | Sweden | Conformant |
| Gold | C. Hafner GmbH + Co. KG | Germany | Conformant |
| Gold | C.I Metales Procesados Industriales SAS | Colombia | Active |
| Gold | Caridad | Mexico | On Smelter Look-up Tab Only |
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | Conformant |
| Gold | Cendres + Metaux S.A. | Switzerland | Conformant |
| Gold | CGR Metalloys Pvt Ltd. | India | On Smelter Look-up Tab Only |
| Gold | Chimet S.p.A. | Italy | Conformant |
| Gold | Chugai Mining | Japan | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | On Smelter Look-up Tab Only |
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | On Smelter Look-up Tab Only |
| Gold | DODUCO Contacts and Refining GmbH | Germany | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | Dowa | Japan | Conformant |
| Gold | DSC (Do Sung Corporation) | Korea | Conformant |
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | Conformant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | Conformant |
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | Conformant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | On Smelter Look-up Tab Only |
| Gold | Emerald Jewel Industry India Limited (Uni 2) | India | On Smelter Look-up Tab Only |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | On Smelter Look-up Tab Only |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | On Smelter Look-up Tab Only |
| Gold | Emirates Gold DMCC | United Arab Emirates | Conformant |
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | On Smelter Look-up Tab Only |
| Gold | Fujairah Gold FZC | United Arab Emirates | On Smelter Look-up Tab Only |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | Active |
| Gold | Geib Refining Corporation | United States | Conformant |
| Gold | Gold Coast Refinery | Ghana | On Smelter Look-up Tab Only |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | Conformant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | On Smelter Look-up Tab Only |
| Gold | Guangdong Jinding Gold Limited | China | On Smelter Look-up Tab Only |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Heimerle + Meule GmbH | Germany | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | China | Conformant |
| Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | On Smelter Look-up Tab Only |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | HwaSeong CJ CO., LTD. | Korea | On Smelter Look-up Tab Only |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Conformant |
| Gold | International Precious Metal Refiners | United Arab Emirates | On Smelter Look-up Tab Only |
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Conformant |
| Gold | Istanbul Gold Refinery | Turkey | Conformant |
| Gold | Italpreziosi | Italy | Conformant |
| Gold | JALAN & Company | India | On Smelter Look-up Tab Only |
| Gold | Japan Mint | Japan | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | China | Conformant |
| Gold | JSC Uralelectromed | Russian Federation | On Smelter Look-up Tab Only |
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | Conformant |
| Gold | K.A. Rasmussen | Norway | On Smelter Look-up Tab Only |
| Gold | Kaloti Precious Metals | United Arab Emirates | On Smelter Look-up Tab Only |
| Gold | Kazakhmys Smelting LLC | Kazakhstan | On Smelter Look-up Tab Only |
| Gold | Kazzinc | Kazakhstan | Conformant |
| Gold | Kennecott Utah Copper LLC | United States | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | Japan | Conformant |
| Gold | Korea Zinc Co., Ltd. | Korea | Conformant |
| Gold | Kundan Care Products Ltd. | India | On Smelter Look-up Tab Only |
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | On Smelter Look-up Tab Only |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | On Smelter Look-up Tab Only |
| Gold | L'azurde Company For Jewelry | Saudi Arabia | On Smelter Look-up Tab Only |
| Gold | L'Orfebre S.A. | Andorra | Conformant |
| Gold | Lingbao Gold Co., Ltd. | China | On Smelter Look-up Tab Only |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | LS-NIKKO Copper Inc. | Korea | Conformant |
| Gold | LT Metal Ltd. | Korea | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Marsam Metals | Brazil | Conformant |
| Gold | Materion | United States | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | Japan | Conformant |
| Gold | MD Overseas | India | On Smelter Look-up Tab Only |
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | Conformant |
| Gold | Metallix Refining Inc. | United States | On Smelter Look-up Tab Only |
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | China | Conformant |
| Gold | Metalor Technologies S.A. | Switzerland | Conformant |
| Gold | Metalor USA Refining Corporation | United States | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | Conformant |
| Gold | Mitsubishi Materials Corporation | Japan | Conformant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | India | Conformant |
| Gold | Modeltech Sdn Bhd | Malaysia | On Smelter Look-up Tab Only |
| Gold | Morris and Watson | New Zealand | On Smelter Look-up Tab Only |
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | On Smelter Look-up Tab Only |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | Conformant |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Conformant |
| Gold | NH Recytech Company | Korea | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | Nihon Material Co., Ltd. | Japan | Conformant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | On Smelter Look-up Tab Only |
| Gold | OJSC Novosibirsk Refinery | Russian Federation | On Smelter Look-up Tab Only |
| Gold | PAMP S.A. | Switzerland | Conformant |
| Gold | Pease & Curren | United States | On Smelter Look-up Tab Only |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Planta Recuperadora de Metales SpA | Chile | Conformant |
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | On Smelter Look-up Tab Only |
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | Conformant |
| Gold | PX Precinox S.A. | Switzerland | Conformant |
| Gold | QG Refining, LLC | United States | On Smelter Look-up Tab Only |
| Gold | Rand Refinery (Pty) Ltd. | South Africa | Conformant |
| Gold | Refinery of Seemine Gold Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | REMONDIS PMR B.V. | Netherlands | Conformant |
| Gold | Royal Canadian Mint | Canada | Conformant |
| Gold | SAAMP | France | Conformant |
| Gold | Sabin Metal Corp. | United States | On Smelter Look-up Tab Only |
| Gold | Safimet S.p.A | Italy | Conformant |
| Gold | SAFINA A.S. | Czech Republic | Conformant |
| Gold | Sai Refinery | India | On Smelter Look-up Tab Only |
| Gold | Samduck Precious Metals | Korea | Conformant |
| Gold | SAMWON METALS Corp. | Korea | On Smelter Look-up Tab Only |
| Gold | Sancus ZFS (L’Orfebre, SA) | Colombia | Active |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | SAXONIA Edelmetalle GmbH | Germany | On Smelter Look-up Tab Only |
| Gold | Sellem Industries Ltd. | Mauritania | On Smelter Look-up Tab Only |
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | Conformant |
| Gold | Shandong Humon Smelting Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Conformant |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Shirpur Gold Refinery Ltd. | India | On Smelter Look-up Tab Only |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | Conformant |
| Gold | Singway Technology Co., Ltd. | Taiwan | Conformant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | On Smelter Look-up Tab Only |
| Gold | Solar Applied Materials Technology Corp. | Taiwan | Conformant |
| Gold | Sovereign Metals | India | On Smelter Look-up Tab Only |
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | On Smelter Look-up Tab Only |
| Gold | Sudan Gold Refinery | Sudan | On Smelter Look-up Tab Only |
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | Conformant |
| Gold | SungEel HiMetal Co., Ltd. | Korea | Conformant |
| Gold | T.C.A S.p.A | Italy | Conformant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | Conformant |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | Japan | Conformant |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | Conformant |
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | Conformant |
| Gold | Torecom | Korea | Conformant |
| Gold | Umicore Precious Metals Thailand | Thailand | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | Conformant |
| Gold | United Precious Metal Refining, Inc. | United States | Conformant |
| Gold | Valcambi S.A. | Switzerland | Conformant |
| Gold | Value Trading | Belgium | On Smelter Look-up Tab Only |
| Gold | Weeerefining | France | Active |
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | Conformant |
| Gold | WIELAND Edelmetalle GmbH | Germany | Conformant |
| Gold | Yamakin Co., Ltd. | Japan | Conformant |
| Gold | Yokohama Metal Co., Ltd. | Japan | Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | China | On Smelter Look-up Tab Only |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | Conformant |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | Conformant |
| Tantalum | D Block Metals, LLC | United States | Conformant |
| Tantalum | Exotech Inc. | United States | On Smelter Look-up Tab Only |
| Tantalum | F&X Electro-Materials Ltd. | China | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | China | Conformant |
| Tantalum | Global Advanced Metals Aizu | Japan | Conformant |
| Tantalum | Global Advanced Metals Boyertown | United States | Conformant |
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | Conformant |
| Tantalum | H.C. Starck Inc. | United States | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | China | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Conformant |
| Tantalum | KEMET Blue Metals | Mexico | Conformant |
| Tantalum | LSM Brasil S.A. | Brazil | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | Conformant |
| Tantalum | Mineracao Taboca S.A. | Brazil | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Conformant |
| Tantalum | NPM Silmet AS | Estonia | Conformant |
| Tantalum | QuantumClean | United States | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | Conformant |
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | On Smelter Look-up Tab Only |
| Tantalum | Taki Chemical Co., Ltd. | Japan | Conformant |
| Tantalum | TANIOBIS Co., Ltd. | Thailand | Conformant |
| Tantalum | TANIOBIS GmbH | Germany | Conformant |
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | Conformant |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | Conformant |
| Tantalum | Telex Metals | United States | Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | Conformant |
| Tantalum | Ximei Resources (Guangdong) Limited | China | Conformant |
| Tantalum | XinXing Haorong Electronic Material Co., Ltd. | China | Conformant |
| Tantalum | Yancheng Jinye New Material Technology Co., Ltd. | China | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | Conformant |
| Tin | Alpha | United States | Conformant |
| Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam | On Smelter Look-up Tab Only |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | Conformant |
| Tin | China Tin Group Co., Ltd. | China | Conformant |
| Tin | CRM Fundicao De Me Metais E Comercio De Equipamentos Electronicos Do Brasil Ltda | Brazil | Active |
| Tin | CRM Synergies | Spain | Conformant |
| Tin | CV Venus Inti Perkasa | Indonesia | Active |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | On Smelter Look-up Tab Only |
| Tin | Dowa | Japan | Conformant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam | On Smelter Look-up Tab Only |
| Tin | EM Vinto | Bolivia | Conformant |
| Tin | Estanho de Rondonia S.A. | Brazil | Conformant |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | Conformant |
| Tin | Fenix Metals | Poland | Conformant |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | On Smelter Look-up Tab Only |
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | On Smelter Look-up Tab Only |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Conformant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | Conformant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | China | Conformant |
| Tin | Luna Smelter, Ltd. | Rwanda | Conformant |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | China | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | Conformant |
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Conformant |
| Tin | Melt Metais e Ligas S.A. | Brazil | On Smelter Look-up Tab Only |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Tin | Metallic Resources, Inc. | United States | Conformant |
| Tin | Metallo Belgium N.V. | Belgium | Conformant |
| Tin | Metallo Spain S.L.U. | Spain | Conformant |
| Tin | Mineracao Taboca S.A. | Brazil | Conformant |
| Tin | Minsur | Peru | Conformant |
| Tin | Mitsubishi Materials Corporation | Japan | Conformant |
| Tin | Modeltech Sdn Bhd | Malaysia | On Smelter Look-up Tab Only |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | On Smelter Look-up Tab Only |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | Conformant |
| Tin | Operaciones Metalurgicas S.A. | Bolivia | Conformant |
| Tin | Pongpipat Company Limited | Myanmar | On Smelter Look-up Tab Only |
| Tin | Precious Minerals and Smelting Limited | India | On Smelter Look-up Tab Only |
| Tin | PT Aries Kencana Sejahtera | Indonesia | Active |
| Tin | PT Artha Cipta Langgeng | Indonesia | Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | Conformant |
| Tin | PT Babel Inti Perkasa | Indonesia | Conformant |
| Tin | PT Babel Surya Alam Lestari | Indonesia | Conformant |
| Tin | PT Bangka Serumpun | Indonesia | Conformant |
| Tin | PT Bukit Timah | Indonesia | Conformant |
| Tin | PT Cipta Persada Mulia | Indonesia | Conformant |
| Tin | PT Masbro Alam Stania | Indonesia | Active |
| Tin | PT Menara Cipta Mulia | Indonesia | Conformant |
| Tin | PT Mitra Stania Prima | Indonesia | Conformant |
| Tin | PT Mitra Sukses Globalindo | Indonesia | Active |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Tin | PT Prima Timah Utama | Indonesia | Conformant |
| Tin | PT Rajawali Rimba Perkasa | Indonesia | Conformant |
| Tin | PT Refined Bangka Tin | Indonesia | Conformant |
| Tin | PT Sariwiguna Binasentosa | Indonesia | Conformant |
| Tin | PT Stanindo Inti Perkasa | Indonesia | Conformant |
| Tin | PT Sukses Inti Makmur | Indonesia | Active |
| Tin | PT Timah Nusantara | Indonesia | Active |
| Tin | PT Timah Tbk Kundur | Indonesia | Conformant |
| Tin | PT Timah Tbk Mentok | Indonesia | Conformant |
| Tin | Tinindo Inter Nusa | Indonesia | Conformant |
| Tin | Resind Industria e Comercio Ltda. | Brazil | Conformant |
| Tin | Rui Da Hung | Taiwan | Conformant |
| Tin | Soft Metais Ltda. | Brazil | Conformant |
| Tin | Super Ligas | Brazil | Active |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | Vietnam | Conformant |
| Tin | Thaisarco | Thailand | Conformant |
| Tin | Tin Technology & Refining | United States | Conformant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | On Smelter Look-up Tab Only |
| Tin | VQB Mineral and Trading Group JSC | Vietnam | On Smelter Look-up Tab Only |
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | Conformant |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | China | Conformant |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | On Smelter Look-up Tab Only |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | Japan | Conformant |
| Tungsten | ACL Metais Eireli | Brazil | Conformant |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | Active |
| Tungsten | Artek LLC | Russian Federation | On Smelter Look-up Tab Only |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | Conformant |
| Tungsten | China Molybdenum Co., Ltd. | China | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | On Smelter Look-up Tab Only |
| Tungsten | Cronimet Brasil Ltda | Brazil | Conformant |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | Conformant |
| Tungsten | Fujian Xinlu Tungsten | China | Conformant |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | Conformant |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | Conformant |
| Tungsten | Global Tungsten & Powders Corp. | United States | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | Germany | Conformant |
| Tungsten | Hubei Green Tungsten Co., Ltd. | China | Conformant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | Conformant |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | Conformant |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | China | Conformant |
| Tungsten | Hydrometallurg, JSC | Russian Federation | On Smelter Look-up Tab Only |
| Tungsten | Japan New Metals Co., Ltd. | Japan | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Conformant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Conformant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | On Smelter Look-up Tab Only |
| | | | | | | | | | | |
| Metal | Smelter Name | Country Name | Status |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Conformant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Conformant |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | On Smelter Look-up Tab Only |
| Tungsten | Kennametal Fallon | United States | Conformant |
| Tungsten | Kennametal Huntsville | United States | Conformant |
| Tungsten | KGETS CO., LTD. | Korea | Conformant |
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | Conformant |
| Tungsten | Masan Tungsten Chemical LLC (MTC) | Vietnam | Conformant |
| Tungsten | Moliren Ltd. | Russian Federation | On Smelter Look-up Tab Only |
| Tungsten | Niagara Refining LLC | United States | Conformant |
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | Active |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | Conformant |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | Conformant |
| Tungsten | Unecha Refractory Metals Plant | Russian Federation | On Smelter Look-up Tab Only |
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | China | Conformant |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Conformant |
a)“Conformant” means that a smelter or refiner has successfully completed an assessment against the applicable Responsible Minerals Assurance Process (“RMAP”) standard or an equivalent cross-recognized assessment. Included smelters and refiners were not necessarily Conformant for all or part of 2021 and may not continue to be Conformant for any future period.
b)“Active” means that a smelter or refiner is currently engaged in the RMAP but a conformance determination has yet to be made.
c)“On Smelter Look-up Tab Only” means that a smelter or refiner is listed on the Smelter Look-up tab list of the CMRT, but is not listed as “Conformant” or “Active.” The RMI notes on its website that the operational impacts of COVID-19 have led to postponements of some RMAP assessments. The RMI website also notes that, due to the eligibility criteria for an RMAP assessment, smelters are sometimes removed from the Conformant list because they are no longer operational and not because they are non-conformant to the standard.
d)Smelter or refiner status reflected in the table is based solely on information made publicly available by the RMI, without independent verification by SunPower.
e)Country location is the location of the smelter or refiner and is based solely on information made publicly available by the RMI, without independent verification by SunPower.
Country of Origin Information
SunPower has endeavored to determine the mine or location of origin of the necessary 3TG contained in its in-scope products by requiring that the Suppliers provide it with completed CMRTs and through the other measures described in this Conflict Minerals Report. Where a smelter or refiner has been identified that is not Conformant, SunPower or the Service Provider also has reviewed public information, to the extent available, to try to determine the mine or location of origin of the 3TG processed by the smelter or refiner.
The countries of origin of the newly-mined 3TG processed by smelters and refiners listed above may have included countries listed below (as well as possibly other countries).
| | | | | | | | | | | |
| Angola | Finland | Madagascar | South Sudan |
| Argentina | France | Malaysia | Spain |
| Armenia | Germany | Mali | Suriname |
| Austria | Ghana | Mexico | Sweden |
| Belgium | Guinea | Mongolia | Switzerland |
| Bermuda | Guyana | Mozambique | Taiwan |
| Bolivia | Hong Kong | Myanmar | Tajikistan |
| Brazil | Hungary | Namibia | Tanzania* |
| Burundi* | India | Netherlands | Thailand |
| Cambodia | Indonesia | Niger | Turkey |
| Canada | Ireland | Nigeria | United Arab Emirates |
| Central African Republic | Israel | Papua New Guinea | United Kingdom |
| Chile | Italy | Peru | United States |
| China | Ivory Coast | Philippines | Uzbekistan |
| Colombia | Japan | Poland | Vietnam |
| Czech Republic | Jersey | Portugal | Zambia* |
| Djibouti | Kazakhstan | Russian Federation | Zimbabwe |
| Democratic Republic of the Congo* | Kenya | Rwanda* | Zimbabwe |
| Ecuador | Korea | Sierra Leone | |
| Egypt | Kyrgyzstan | Singapore | |
| Estonia | Laos | Slovakia | |
| Ethiopia | Luxembourg | South Africa | |
* Represents a Covered Country.
The 3TG processed by the identified smelters and refiners also 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 2022 in order to mitigate the risk that the necessary 3TG in its in-scope products benefit armed groups by taking the following steps, among others:
•Continue to alert suppliers when SunPower obtains information that a 3TG smelter or refiner is believed to be irresponsibly sourcing 3TG.
•Request that suppliers who have identified non-Conformant or high-risk smelters require their upstream suppliers to find alternative sources of 3TG or require certification of the smelters and refiners in their supply chains.
•Review our 3TG compliance program for potential additional enhancements, in particular ways to enhance supplier engagement.
The foregoing steps are in addition to the steps that SunPower took for 2021.