Document




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

FORM SD

SPECIALIZED DISCLOSURE REPORT


FIRST SOLAR, INC.
(Exact name of registrant as specified in its charter)


Delaware
 
001-33156
 
20-4623678
(State or other jurisdiction of incorporation)
 
(Commission File Number)
 
(IRS Employer Identification No.)


350 West Washington Street
Suite 600
Tempe, Arizona 85281
(Address of principal executive offices, including zip code)


Paul Kaleta
Executive Vice President, General Counsel and Secretary
(602) 427-2925
(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:

þ
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.





Section 1 – Conflict Minerals Disclosure

Items 1.01 and 1.02 Conflict Minerals Disclosure and Report; Exhibit

A copy of our Conflict Minerals Report for the reporting period from January 1, 2017 to December 31, 2017 is attached as Exhibit 1.01 and is available at investor.firstsolar.com/financial-information/sec-filings.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 Conflict Minerals Report for the reporting period from January 1, 2017 to December 31, 2017.





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 duly authorized undersigned.

 
FIRST SOLAR, INC.
 
 
 
 
Date: May 30, 2018
By:
 
/s/ PAUL KALETA
 
Name:
 
Paul Kaleta
 
Title:
 
Executive Vice President, General Counsel and Secretary


Exhibit


EXHIBIT 1.01

Conflict Minerals Report of First Solar, Inc.

For the Reporting Period from January 1 to December 31, 2017

Introduction

First Solar, Inc., together with its consolidated subsidiaries (“First Solar,” “the Company,” “we,” “us,” and “our”), has prepared this Conflict Minerals Report pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and the requirements of Form SD (collectively, “the Rules”).

We are a leading global provider of comprehensive photovoltaic (“PV”) solar energy solutions. We design, manufacture, and sell PV solar modules with an advanced thin film semiconductor technology and also develop, design, construct, and sell PV solar power systems that primarily use the modules we manufacture. Additionally, we provide operations and maintenance (“O&M”) services to system owners. We have substantial, ongoing research and development efforts focused on module and system-level innovations. We are the world’s largest thin film PV solar module manufacturer and one of the world’s largest PV solar module manufacturers. Our mission is to provide cost-advantaged solar technology through innovation, customer engagement, industry leadership, and operational excellence.

We operate our business in two segments:

Modules Segment – Our modules segment involves the design, manufacture, and sale of cadmium telluride solar modules, which convert sunlight into electricity. Third-party customers of our modules segment include integrators and operators of PV solar power systems.

Systems Segment – Our fully integrated systems segment provides complete turn-key PV solar power systems, or solar solutions, that draw upon our capabilities, which include (i) project development, (ii) engineering, procurement, and construction (“EPC”) services, and (iii) O&M services. We may provide our full EPC services or any combination of individual products and services within our EPC capabilities depending upon the customer and market opportunity. All of our systems segment products and services are for PV solar power systems, which primarily use our solar modules, and we sell such products and services to utilities, independent power producers, commercial and industrial companies, and other system owners. Additionally, within our systems segment, we may temporarily own and operate certain of our systems for a period of time based on strategic opportunities or market factors.

Minerals including tantalum, tin, tungsten, and gold (“3TG”) are classified as “conflict minerals” and are necessary to the functionality or production of certain products that we manufacture or contract to manufacture. As such, we are subject to the Rules with respect to those necessary conflict minerals. The Rules require us to conduct in good faith a reasonable country of origin inquiry (“RCOI”) into those necessary conflict minerals to determine whether they originated in the Democratic Republic of Congo (“DRC”) or an adjoining country (“a covered country” and together, the “covered countries”) or are from recycled or scrap sources. If, as a result of our RCOI procedures, we know or have reason to believe that any of our necessary conflict minerals originated in a covered country and are not from recycled or scrap materials, then we are required to exercise due diligence to determine the source and chain of custody of such conflict minerals.



1



First Solar Conflict Minerals Policy

To the extent we source minerals from the covered countries, we are dedicated to protecting and respecting human rights by responsibly sourcing such minerals. We have a long-standing commitment to conducting our business in compliance with applicable laws and regulations. First Solar condemns human rights abuses associated with the extraction, transport, or trade of minerals. Similarly, First Solar has a no tolerance policy with respect to corruption, money-laundering, or bribery. We require all direct suppliers to agree to follow such principles.

At the same time, First Solar supports sourcing from the covered countries when performed in accordance with accepted international standards, specifically within the guidance from the Organisation for Economic Co-operation and Development (“OECD”). Suppliers with minerals not found to be DRC conflict free in their sourcing will be given a reasonable amount of time to begin sourcing minerals responsibly and in a manner consistent with the principles of responsible sourcing from conflict-affected areas.

Description of Product Identification and RCOI Processes

We have concluded that, during 2017, we manufactured and contracted to manufacture products containing certain conflict minerals. As such, we conducted a RCOI process to determine whether any of the conflict minerals originated, or may have originated, in the covered countries and whether such conflict minerals originated from recycled or scrap sources.

We conducted an assessment to determine which of our direct suppliers may be providing components of our products that are likely to contain conflict minerals. We employed a collaborative process to identify the applicable list of components and suppliers to focus our efforts, consulting with members of our supply chain department, including commodity managers, suppliers, senior management, and other individuals familiar with our manufacturing, solar plant sourcing, and construction processes. We verified with such personnel that the population of components and suppliers was complete and comprehensive for our 2017 procedures. We then identified the list of suppliers that we directly procured materials from (“tier one” or “direct” suppliers) to survey. These tier one suppliers were confirmed to have supplied products or components to us that contained conflict minerals between January 1, 2017 and December 31, 2017.

Accordingly, we reached the following conclusions for our business segments:

Modules Segment – We consider the majority of the parts and components that go into the manufacturing of our thin film solar modules to be subject to the Rules, and such items are included in our RCOI procedures.

Systems Segment We consider our systems segment to be primarily a service, and not a “product” under the Rules. With the exception of solar modules, we do not manufacture the majority of the parts or components used in the balance of our systems. For those parts and components that we purchase, we generally do not exert design or material specification influence over such items, nor are the items engineered to our specifications. As such, the majority of our balance of system parts and components used within our systems segment are not subject to the Rules. However, there are a limited number of parts and components in our systems segment that we have determined to be subject to the Rules, and such items are included in our RCOI procedures.

Results

Leveraging the Responsible Minerals Initiative’s (“RMI”) (previously known as the Conflict-Free Sourcing Initiative) Conflict Minerals Reporting Template (“CMRT”), our RCOI consisted of surveying tier one suppliers confirmed to have supplied products that contained conflict minerals that were either used to manufacture solar modules or contracted for the manufacturing of our balance of system components. This template includes information regarding the smelters,


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origins of conflict minerals, supplier due diligence programs, and whether the materials originate from recycled or scrap sources.

As part of reviewing the completed CMRT surveys, we assessed the responses for reasonableness by comparing them to prior year information and reviewing the completeness of current year surveys provided. Incomplete CMRT surveys were rejected back to the suppliers. For non-responsive suppliers, we have internal escalation procedures, which escalate to more senior members of our global supply chain organization depending on certain milestones within our RCOI timeline. For the suppliers that we considered to be applicable to the Rules, we received a 100% response rate after following our internal procedures.

Our tier one suppliers performed similar RCOI procedures to identify the chain of custody from their suppliers back to the smelter and country of origin. We relied on the good faith efforts of our tier one suppliers to provide us with reasonable information and representations relating to the smelter and country of origin. The smelter or refiner facilities that were used to process our necessary conflict minerals are contained in Appendix A. See “Smelter and Refiner Facilities” below for more detail regarding the information contained in Appendix A.

We received completed surveys from all suppliers included in the procedures outlined above and reached the following conclusions:

Modules Segment – 83% of our applicable suppliers support our modules segment. The applicable survey results showed that tin is the only conflict mineral included in our solar module materials.

Systems Segment – 17% of our applicable suppliers support our systems segment. The applicable survey results showed that tin is the primary conflict mineral included in our balance of systems parts. Additionally, tungsten, tantalum, and gold are contained in our tracker systems, which contain an electrical gateway, controller, and other parts that support the functionality to follow the sun’s irradiance throughout the day.

Based on the RCOI conducted for both business segments, we have reason to believe that a portion of our necessary conflict minerals originated or may have originated in the covered countries and such necessary conflict minerals may not be from recycled or scrap sources. Based on this result, we exercised due diligence to determine the source and chain of custody of such conflict minerals as described below.

Framework Used to Develop Due Diligence Measures

In accordance with the Rules, we undertook due diligence efforts to determine the country, mine, or location of origin and facilities used to produce the conflict minerals used in our products. We have designed our due diligence measures to conform in all material respects with the internationally recognized due diligence framework as set forth in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Framework”) and related supplements for 3TG.

Due Diligence Undertaken to Comply with the OECD Framework

Our due diligence process for 2017 included the following steps:

OECD Step 1: Establish a Company Management System

We have adopted and communicated our conflict minerals policy both publicly and to relevant internal and external parties.

Our conflict minerals policy is available at www.firstsolar.com/-/media/First-Solar/Sustainability-Documents/FS-Mineral-Policy.ashx. Our conflict minerals policy is not incorporated herein by reference.



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Beginning in September 2013, we adopted conflict minerals compliance language in any new supplier agreements and purchase order terms and conditions.

We have an operating cross-functional internal governance team with representatives from our supply chain, legal, sustainability, and finance departments to ensure policy statements and control processes are followed.

We have an existing records retention process and grievance mechanism for reporting policy violations via our Ethics Hotline.

OECD Step 2: Identify and Assess Risks in Supply Chain

We conducted our surveys leveraging the CMRT, which was sent to all suppliers considered to be subject to the Rules. We used the CMRT to identify smelter or refiner facilities and countries of origin of our necessary conflict minerals.

We relied on RMI information and other information provided by our suppliers to identify countries of origin for Responsible Minerals Assurance Program (“RMAP”) (previously known as Conflict-Free Smelter Program) compliant smelter or refiner facilities.

We reviewed the responses from the CMRT questionnaires with our supply chain department cross-checking the list of RMAP facilities found at www.responsiblemineralsinitiative.org, which website is not incorporated by reference herein.

OECD Step 3: Design and Implement a Strategy to Respond to Risk

We reported information on the source and chain of custody of our necessary conflict minerals to our conflict minerals steering committee, executive management, and the audit committee of our board of directors on a periodic basis.

As part of our internal conflict minerals policy, we have a conflict minerals risk mitigation plan that defines supplier-risk management strategies, including (i) continued procurement, (ii) assistance in identifying alternate sources of supply, and (iii) disengagement, the severity of which is at the discretion of our conflict minerals steering committee and executive management.

OECD Step 4: Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices

As we do not source directly from smelter or refiner processing facilities, we rely on the RMAP to oversee and coordinate third-party audits of these facilities. The RMAP audit protocols and procedures were designed by the RMI. These audit protocols and procedures require the smelters or refiners to engage specially trained third-party auditors to independently verify that these smelters and refiners can be considered conflict free.

We rely on the publicly available audit results of the RMAP third-party audits to validate the sourcing practices of processing facilities in our supply chain.

OECD Step 5: Report Annually on Supply Chain Due Diligence

We file a Form SD and Conflict Minerals Report with the Securities and Exchange Commission on an annual basis, as necessary. Our Form SD and Conflict Minerals Report are also available on our website at investor.firstsolar.com/financial-information/sec-filings.



4



Smelter and Refiner Facilities

In connection with our RCOI and due diligence efforts, our suppliers provided us with lists of facilities that may have processed the necessary conflict minerals used in our products during 2017. Such facility information is included in Appendix A and summarized in the following tables.

i) Overall results breakdown by business unit:
Business Unit
 
Number of Suppliers
 
Percentage
Modules
 
10

 
83
%
Systems
 
2

 
17
%
Total
 
12

 
100
%

ii) Facilities breakdown by minerals:
Minerals
 
Number of Smelters or Refiners
 
Percentage
Gold
 
136

 
52
%
Tantalum
 
20

 
8
%
Tin
 
85

 
33
%
Tungsten
 
18

 
7
%
Total
 
259

 
100
%

iii) Facilities breakdown by RMAP status:
RMAP Status (as of April 24, 2018)
 
Number of Smelters or Refiners
 
Percentage
RMAP conformant
 
201

 
78
%
Active smelters and refiners
 
6

 
2
%
Known
 
52

 
20
%
Total
 
259

 
100
%

The total number of facilities identified excluded the following entities, because each has been determined by the RMAP to be a downstream processing facility of a smelter or refiner and is therefore ineligible to participate in the RMAP.
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
Suppliers
 
Covered Products
Tantalum
 
Zhuzhou Cemented Carbide Group Co., Ltd.
 
China
 
Amphenol Corporation
 
Modules
Tin
 
VQB Mineral and Trading Group JSC
 
Vietnam
 
General Cable Corporation
 
Modules
Tin
 
VQB Mineral and Trading Group JSC
 
Vietnam
 
Amphenol Corporation
 
Modules

Due Diligence Efforts to Identify Country, Location, and Mine of Origin of Conflict Minerals in Products

After obtaining CMRT forms and related documentation through our RCOI and due diligence processes as described above, we compared the smelters and refiners used by relevant suppliers against the list of smelters and refiners from the RMAP (www.responsiblemineralsinitiative.org), which website is not incorporated by reference herein, as well as responses in the CMRT to gather the country, location, and mine of origin information. In addition, for smelters not certified under the RMAP (referred to as “known”), we obtained written representations regarding the chain of custody and origin of such minerals smelted in order to identify the mine or location of origin with the greatest amount of specificity possible.


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We endeavored to determine the mine or location of origin of the necessary conflict minerals contained in our products through our CMRT responses. Where a smelter or refiner was identified, we reviewed public information, to the extent available, in an attempt to determine the mine or location of origin. Some of our suppliers reported such location of origin information within their CMRT responses. The majority of our smelters reported to be sourcing from L1 countries or from recycled or scrap sources.

The countries of origin of the conflict minerals processed by the RMAP compliant and active smelters or refiners identified to us by our suppliers may have included the countries identified below:

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export from these regions of conflict minerals:

Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Colombia, Cote d’Ivoire, Czech Republic, Djibouti, 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, the United Kingdom, the United States, Vietnam, and Zimbabwe.

L2 – Countries that are known or plausible countries for smuggling, export out of region, or transit of materials containing conflict minerals:

Kenya, Mozambique, and South Africa.

DRC – The smelter is sourcing from the Democratic Republic of the Congo.

Some of the conflict minerals processed by our RMAP compliant and active smelters or refiners may have originated in whole or in part from recycled or scrap sources.

Continuous Improvement Efforts to Mitigate Risk

We intend to advance the effectiveness of our due diligence efforts, further enhance our compliance processes, and mitigate any risk that the necessary conflict materials used in our products may benefit armed groups by taking the following steps:

1)
Engage further with direct suppliers and processing facilities to:

Improve the quality of processing facility data provided by our direct suppliers via the CMRT, including country of origin and mine or location of origin, and

Encourage non-RMAP validated processing facilities to become validated either through the RMAP or a RMAP-recognized third-party audit program.

2)
Continue to require conflict minerals compliance language in our supplier agreements and refine our internal operating procedures to continue to move towards a “DRC conflict free” supply chain across all business segments.

3)
Continue to monitor and track the RCOI and due diligence progress of our non-RMAP suppliers, including the usage of smelters and refiners that have been certified by the RMAP.

4)
Require periodic supplier re-certifications to confirm that their previously reported sourcing information has not changed.


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Appendix A

Table of Our Conflict Minerals Processing Facilities*
(As of April 24, 2018)
 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Gold
 
Abington Reldan Metals, LLC
 
United States of America
 
Known
 
 
 
X
Gold
 
Accurate Refining Group
 
United States of America
 
Known
 
 
 
X
Gold
 
Advanced Chemical Company
 
United States of America
 
RMAP conformant
 
 
 
X
Gold
 
Aida Chemical Industries Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Al Etihad Gold Refinery DMCC
 
United Arab Emirates
 
RMAP conformant
 
 
 
X
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
Germany
 
RMAP conformant
 
X
 
X
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
Uzbekistan
 
RMAP conformant
 
 
 
X
Gold
 
AngloGold Ashanti Corrego do Sitio Mineracao
 
Brazil
 
RMAP conformant
 
 
 
X
Gold
 
Anhui Tongling Nonferrous Metal Mining Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Argor-Heraeus S.A.
 
Switzerland
 
RMAP conformant
 
X
 
X
Gold
 
Asahi Pretec Corp.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Asahi Refining Canada Ltd.
 
Canada
 
RMAP conformant
 
X
 
X
Gold
 
Asahi Refining USA Inc.
 
United States of America
 
RMAP conformant
 
 
 
X
Gold
 
Asaka Riken Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
ATAkulche
 
Turkey
 
Known
 
 
 
X
Gold
 
AU Traders and Refiners
 
South Africa
 
RMAP conformant
 
 
 
X
Gold
 
AURA-II
 
United States of America
 
Known
 
 
 
X
Gold
 
Aurubis AG
 
Germany
 
RMAP conformant
 
 
 
X
Gold
 
Bangalore Refinery
 
India
 
Active smelters and refiners
 
 
 
X
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
Philippines
 
RMAP conformant
 
 
 
X
Gold
 
Boliden AB
 
Sweden
 
RMAP conformant
 
 
 
X
Gold
 
C. Hafner GmbH + Co. KG
 
Germany
 
RMAP conformant
 
X
 
X
Gold
 
Caridad
 
Mexico
 
Known
 
 
 
X
Gold
 
CCR Refinery - Glencore Canada Corporation
 
Canada
 
RMAP conformant
 
 
 
X
Gold
 
Cendres + Metaux S.A.
 
Switzerland
 
RMAP conformant
 
 
 
X
Gold
 
CHALCO Yunnan Copper Co. Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Chimet S.p.A.
 
Italy
 
RMAP conformant
 
 
 
X
Gold
 
Chugai Mining
 
Japan
 
Known
 
 
 
X
Gold
 
Daejin Indus Co., Ltd.
 
Korea (Republic of)
 
RMAP conformant
 
 
 
X
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
China
 
Known
 
 
 
X
Gold
 
DODUCO Contacts and Refining GmbH
 
Germany
 
RMAP conformant
 
X
 
X
Gold
 
Dowa
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
DSC (Do Sung Corporation)
 
Korea (Republic of)
 
RMAP conformant
 
 
 
X


7



 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Gold
 
Eco-System Recycling Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Elemetal Refining, LLC
 
United States of America
 
Known
 
 
 
X
Gold
 
Emirates Gold DMCC
 
United Arab Emirates
 
RMAP conformant
 
 
 
X
Gold
 
Fidelity Printers and Refiners Ltd.
 
Zimbabwe
 
Known
 
 
 
X
Gold
 
GCC Gujrat Gold Centre Pvt. Ltd.
 
India
 
Known
 
 
 
X
Gold
 
Geib Refining Corporation
 
United States of America
 
RMAP conformant
 
 
 
X
Gold
 
Gold Refinery of Zijin Mining Group Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
Great Wall Precious Metals Co,. LTD.
 
China
 
Known
 
 
 
X
Gold
 
Guangdong Gaoyao Co
 
China
 
Known
 
 
 
X
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Heimerle + Meule GmbH
 
Germany
 
RMAP conformant
 
X
 
X
Gold
 
Heraeus Metals Hong Kong Ltd.
 
China
 
RMAP conformant
 
X
 
X
Gold
 
Heraeus Precious Metals GmbH & Co. KG
 
Germany
 
RMAP conformant
 
X
 
X
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
HwaSeong CJ CO., LTD.
 
Korea (Republic of)
 
Known
 
 
 
X
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Istanbul Gold Refinery
 
Turkey
 
RMAP conformant
 
 
 
X
Gold
 
Japan Mint
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Jiangxi Copper Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
JSC Uralelectromed
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Kaloti Precious Metals
 
United Arab Emirates
 
Known
 
 
 
X
Gold
 
Kazakhmys Smelting LLC
 
Kazakhstan
 
Known
 
 
 
X
Gold
 
Kazzinc
 
Kazakhstan
 
RMAP conformant
 
 
 
X
Gold
 
Kennecott Utah Copper LLC
 
United States of America
 
RMAP conformant
 
 
 
X
Gold
 
KGHM Polska Miedz Spolka Akcyjna
 
Poland
 
Active smelters and refiners
 
 
 
X
Gold
 
Kojima Chemicals Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Korea Zinc Co., Ltd.
 
Korea (Republic of)
 
RMAP conformant
 
 
 
X
Gold
 
Kyrgyzaltyn JSC
 
Kyrgyzstan
 
RMAP conformant
 
 
 
X
Gold
 
L'azurde Company For Jewelry
 
Saudi Arabia
 
Known
 
 
 
X
Gold
 
LinBao Gold Mining
 
China
 
Known
 
 
 
X
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
LS-NIKKO Copper Inc.
 
Korea (Republic of)
 
RMAP conformant
 
X
 
X
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
China
 
Known
 
 
 
X


8



 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Gold
 
Materion
 
United States of America
 
RMAP conformant
 
 
 
X
Gold
 
Matsuda Sangyo Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
Singapore
 
RMAP conformant
 
 
 
X
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
Metalor Technologies S.A.
 
Switzerland
 
RMAP conformant
 
X
 
X
Gold
 
Metalor USA Refining Corporation
 
United States of America
 
RMAP conformant
 
X
 
X
Gold
 
Metalurgica Met-Mex Penoles S.A. De C.V.
 
Mexico
 
RMAP conformant
 
 
 
X
Gold
 
Mitsubishi Materials Corporation
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Mitsui Mining and Smelting Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
MMTC-PAMP India Pvt., Ltd.
 
India
 
RMAP conformant
 
 
 
X
Gold
 
Modeltech Sdn Bhd
 
Malaysia
 
Active smelters and refiners
 
 
 
X
Gold
 
Morris and Watson
 
New Zealand
 
Known
 
 
 
X
Gold
 
Moscow Special Alloys Processing Plant
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.S.
 
Turkey
 
RMAP conformant
 
 
 
X
Gold
 
Navoi Mining and Metallurgical Combinat
 
Uzbekistan
 
Known
 
 
 
X
Gold
 
Nihon Material Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
 
Austria
 
RMAP conformant
 
 
 
X
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
OJSC Novosibirsk Refinery
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
PAMP S.A.
 
Switzerland
 
RMAP conformant
 
 
 
X
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
PT Aneka Tambang (Persero) Tbk
 
Indonesia
 
RMAP conformant
 
 
 
X
Gold
 
PX Precinox S.A.
 
Switzerland
 
RMAP conformant
 
 
 
X
Gold
 
Rand Refinery (Pty) Ltd.
 
South Africa
 
RMAP conformant
 
 
 
X
Gold
 
Refinery of Seemine Gold Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Remondis Argentia B.V.
 
Netherlands
 
Active smelters and refiners
 
 
 
X
Gold
 
Republic Metals Corporation
 
United States of America
 
RMAP conformant
 
 
 
X
Gold
 
Royal Canadian Mint
 
Canada
 
RMAP conformant
 
X
 
X
Gold
 
SAAMP
 
France
 
RMAP conformant
 
 
 
X
Gold
 
Sabin Metal Corp.
 
United States of America
 
Known
 
 
 
X
Gold
 
SAFINA A.S.
 
Czech Republic
 
Active smelters and refiners
 
 
 
X
Gold
 
Sai Refinery
 
India
 
Known
 
 
 
X
Gold
 
Samduck Precious Metals
 
Korea (Republic of)
 
RMAP conformant
 
 
 
X
Gold
 
Samwon Metals Corp.
 
Korea (Republic of)
 
Known
 
 
 
X
Gold
 
SAXONIA Edelmetalle GmbH
 
Germany
 
RMAP conformant
 
 
 
X


9



 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Gold
 
Schone Edelmetaal B.V.
 
Netherlands
 
Known
 
 
 
X
Gold
 
SEMPSA Joyeria Plateria S.A.
 
Spain
 
RMAP conformant
 
 
 
X
Gold
 
Shandong Tarzan Bio-Gold Industry Co., Ltd.
 
China
 
Known
 
 
 
X
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Gold
 
Singway Technology Co., Ltd.
 
Taiwan, Province of China
 
RMAP conformant
 
 
 
X
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals
 
Russian Federation
 
RMAP conformant
 
 
 
X
Gold
 
Solar Applied Materials Technology Corp.
 
Taiwan, Province of China
 
RMAP conformant
 
X
 
X
Gold
 
Sudan Gold Refinery
 
Sudan
 
Known
 
 
 
X
Gold
 
Sumitomo Metal Mining Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
T.C.A S.p.A
 
Italy
 
RMAP conformant
 
 
 
X
Gold
 
Tanaka Kikinzoku Kogyo K.K.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd.
 
China
 
RMAP conformant
 
X
 
X
Gold
 
Tokuriki Honten Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Tony Goetz NV
 
Belgium
 
Known
 
 
 
X
Gold
 
TOO Tau-Ken-Altyn
 
Kazakhstan
 
Known
 
 
 
X
Gold
 
Torecom
 
Korea (Republic of)
 
RMAP conformant
 
 
 
X
Gold
 
Umicore Brasil Ltda.
 
Brazil
 
RMAP conformant
 
 
 
X
Gold
 
Umicore Precious Metals Thailand
 
Thailand
 
RMAP conformant
 
X
 
X
Gold
 
Umicore S.A. Business Unit Precious Metals Refining
 
Belgium
 
RMAP conformant
 
 
 
X
Gold
 
United Precious Metal Refining, Inc.
 
United States of America
 
RMAP conformant
 
X
 
X
Gold
 
Universal Precious Metals Refining Zambia
 
Zambia
 
Known
 
 
 
X
Gold
 
Valcambi S.A.
 
Switzerland
 
RMAP conformant
 
 
 
X
Gold
 
Western Australian Mint (T/a The Perth Mint)
 
Australia
 
RMAP conformant
 
X
 
X
Gold
 
WIELAND Edelmetalle GmbH
 
Germany
 
RMAP conformant
 
X
 
X
Gold
 
Yamakin Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Yokohama Metal Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
D Block Metals, LLC
 
United States of America
 
RMAP conformant
 
 
 
X
Tantalum
 
Douluoshan Sapphire Rare Metal Co Ltd
 
China
 
Known
 
 
 
X
Tantalum
 
Exotech Inc.
 
United States of America
 
RMAP conformant
 
 
 
X
Tantalum
 
F&X Electro-Materials Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
Global Advanced Metals Aizu
 
Japan
 
RMAP conformant
 
 
 
X
Tantalum
 
Global Advanced Metals Boyertown
 
United States of America
 
RMAP conformant
 
 
 
X
Tantalum
 
Guangdong Rising Rare Metals-EO Materials Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
H.C. Starck Co., Ltd.
 
Thailand
 
RMAP conformant
 
 
 
X
Tantalum
 
H.C. Starck Hermsdorf GmbH
 
Germany
 
RMAP conformant
 
 
 
X


10



 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Tantalum
 
H.C. Starck Inc.
 
United States of America
 
RMAP conformant
 
 
 
X
Tantalum
 
H.C. Starck Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG
 
Germany
 
RMAP conformant
 
 
 
X
Tantalum
 
H.C. Starck Tantalum and Niobium GmbH
 
Germany
 
RMAP conformant
 
 
 
X
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
LSM Brasil S.A.
 
Brazil
 
RMAP conformant
 
 
 
X
Tantalum
 
Mineracao Taboca S.A.
 
Brazil
 
RMAP conformant
 
 
 
X
Tantalum
 
Ningxia Orient Tantalum Industry Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tantalum
 
Ulba Metallurgical Plant JSC
 
Kazakhstan
 
RMAP conformant
 
 
 
X
Tin
 
Alpha
 
United States of America
 
RMAP conformant
 
X
 
X
Tin
 
An Thai Minerals Co., Ltd.
 
Vietnam
 
Known
 
 
 
X
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
Vietnam
 
Known
 
 
 
X
Tin
 
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
China Tin Group Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
CNMC (Guangxi) PGMA Co., Ltd.
 
China
 
Known
 
 
 
X
Tin
 
Cooper Santa
 
Brazil
 
Known
 
X
 
X
Tin
 
CV Ayi Jaya
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
CV Dua Sekawan
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
CV Gita Pesona
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
CV JusTindo
 
Indonesia
 
Known
 
 
 
X
Tin
 
CV United Smelting
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
CV Venus Inti Perkasa
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
Dowa
 
Japan
 
RMAP conformant
 
 
 
X
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
 
Vietnam
 
Known
 
 
 
X
Tin
 
EM Vinto
 
Bolivia (Plurinational State of)
 
RMAP conformant
 
X
 
X
Tin
 
Estanho de Rondonia S.A.
 
Brazil
 
Known
 
 
 
X
Tin
 
Fenix Metals
 
Poland
 
RMAP conformant
 
X
 
X
Tin
 
Gejiu Fengming Metallurgy Chemical Plant
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Gejiu Jinye Mineral Company
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
China
 
RMAP conformant
 
X
 
X
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Gejiu Zi-Li
 
China
 
Known
 
 
 
X
Tin
 
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Guanyang Guida Nonferrous Metal Smelting Plant
 
China
 
RMAP conformant
 
 
 
X
Tin
 
HuiChang Hill Tin Industry Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Huichang Jinshunda Tin Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Jiangxi Ketai Advanced Material Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X


11



 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Tin
 
Jiangxi New Nanshan Technology Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tin
 
Magnu's Minerais Metais e Ligas Ltda.
 
Brazil
 
RMAP conformant
 
 
 
X
Tin
 
Malaysia Smelting Corporation (MSC)
 
Malaysia
 
RMAP conformant
 
X
 
X
Tin
 
Melt Metais e Ligas S.A.
 
Brazil
 
RMAP conformant
 
 
 
X
Tin
 
Metallic Resources, Inc.
 
United States of America
 
RMAP conformant
 
 
 
X
Tin
 
Metallo Belgium N.V.
 
Belgium
 
RMAP conformant
 
X
 
X
Tin
 
Metallo Spain S.L.U.
 
Spain
 
RMAP conformant
 
 
 
X
Tin
 
Mineracao Taboca S.A.
 
Brazil
 
RMAP conformant
 
X
 
X
Tin
 
Minsur
 
Peru
 
RMAP conformant
 
X
 
X
Tin
 
Mitsubishi Materials Corporation
 
Japan
 
RMAP conformant
 
X
 
X
Tin
 
Modeltech Sdn Bhd
 
Malaysia
 
Active smelters and refiners
 
 
 
X
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
Vietnam
 
Known
 
 
 
X
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
Thailand
 
RMAP conformant
 
 
 
X
Tin
 
O.M. Manufacturing Philippines, Inc.
 
Philippines
 
RMAP conformant
 
 
 
X
Tin
 
Operaciones Metalurgical S.A.
 
Bolivia (Plurinational State of)
 
RMAP conformant
 
X
 
X
Tin
 
Phoenix Metal Ltd.
 
Rwanda
 
Known
 
 
 
X
Tin
 
PT Aries Kencana Sejahtera
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Artha Cipta Langgeng
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT ATD Makmur Mandiri Jaya
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Babel Inti Perkasa
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Bangka Prima Tin
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Bangka Tin Industry
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Belitung Industri Sejahtera
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Bukit Timah
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Cipta Persada Mulia
 
Indonesia
 
Known
 
 
 
X
Tin
 
PT DS Jaya Abadi
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Eunindo Usaha Mandiri
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Inti Stania Prima
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Karimun Mining
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Kijang Jaya Mandiri
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Lautan Harmonis Sejahtera
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Menara Cipta Mulia
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Mitra Stania Prima
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT O.M. Indonesia
 
Indonesia
 
Known
 
 
 
X
Tin
 
PT Panca Mega Persada
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Premium Tin Indonesia
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Prima Timah Utama
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Rajehan Ariq
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Refined Bangka Tin
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Sariwiguna Binasentosa
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Stanindo Inti Perkasa
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Sukses Inti Makmur
 
Indonesia
 
RMAP conformant
 
 
 
X


12



 
 
 
 
 
 
 
 
Covered Products
Conflict Mineral
 
Smelter or Refiner Name
 
Smelter Location
 
RMAP Status
 
Systems Segment
 
Modules Segment
Tin
 
PT Sumber Jaya Indah
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Timah (Persero) Tbk Kundur
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Timah (Persero) Tbk Mentok
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Tinindo Inter Nusa
 
Indonesia
 
RMAP conformant
 
X
 
X
Tin
 
PT Tommy Utama
 
Indonesia
 
RMAP conformant
 
 
 
X
Tin
 
PT Wahana Perkit Jaya
 
Indonesia
 
Known
 
 
 
X
Tin
 
Resind Industria e Comercio Ltda.
 
Brazil
 
RMAP conformant
 
 
 
X
Tin
 
Rui Da Hung
 
Taiwan, Province of China
 
RMAP conformant
 
X
 
X
Tin
 
Soft Metais Ltda.
 
Brazil
 
RMAP conformant
 
 
 
X
Tin
 
Thaisarco
 
Thailand
 
RMAP conformant
 
X
 
X
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
Vietnam
 
Known
 
 
 
X
Tin
 
White Solder Metalurgia e Mineracao Ltda.
 
Brazil
 
RMAP conformant
 
X
 
X
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
 
China
 
RMAP conformant
 
X
 
X
Tin
 
Yunnan Tin Company Limited
 
China
 
RMAP conformant
 
X
 
X
Tungsten
 
A.L.M.T. TUNGSTEN Corp.
 
Japan
 
RMAP conformant
 
 
 
X
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Ganzhou Huaxing Tungsten Products Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Global Tungsten & Powders Corp.
 
United States of America
 
RMAP conformant
 
 
 
X
Tungsten
 
H.C. Starck Smelting GmbH & Co. KG
 
Germany
 
RMAP conformant
 
 
 
X
Tungsten
 
H.C. Starck Tungsten GmbH
 
Germany
 
RMAP conformant
 
 
 
X
Tungsten
 
Hunan Chunchang Nonferrous Metals Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Japan New Metals Co., Ltd.
 
Japan
 
RMAP conformant
 
 
 
X
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Kennametal Huntsville
 
United States of America
 
RMAP conformant
 
 
 
X
Tungsten
 
Niagara Refining LLC
 
United States of America
 
RMAP conformant
 
 
 
X
Tungsten
 
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
 
Vietnam
 
RMAP conformant
 
 
 
X
Tungsten
 
Tejing (Vietnam) Tungsten Co., Ltd.
 
Vietnam
 
RMAP conformant
 
 
 
X
Tungsten
 
Wolfram Bergbau und Hutten AG
 
Austria
 
RMAP conformant
 
 
 
X
Tungsten
 
Xiamen Tungsten (H.C.) Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
Tungsten
 
Xiamen Tungsten Co., Ltd.
 
China
 
RMAP conformant
 
 
 
X
——————————
*We note the following in connection with the table above:

a.
Active smelters and refiners have committed to undergo a RMAP audit or are participating in one of the cross-recognized certification programs. Smelters or refiners are identified as active in the RMAP once they submit a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts, which is one of the first steps of the audit process. Smelters or refiners on the active list are at various stages of the audit cycle, anywhere from completion of the necessary documents to scheduling the audit date to enacting corrective actions in the post-audit phase.



13



b.
Though we request that our tier one suppliers provide responses at the product-level, some of our suppliers provided responses at the company-level, meaning that they reported smelter and refiner information for all of their products, not just for the products sold to us. Accordingly, our list of processing facilities disclosed in this appendix contains more facilities than those that actually process or refine the conflict minerals contained in our products.

c.
Known smelters and refiners include those reported entities that were listed on the Smelter Reference List tab of the CMRT because those are the only reported entities that we were able to determine were smelters or refiners.



14