Wisconsin | 1-5097 | 39-0380010 |
______________________________________ (State or other jurisdiction | ____________________ (Commission | ____________________________ (I.R.S. Employer |
of incorporation or organization) | File Number) | Identification No.) |
5757 North Green Bay Avenue Milwaukee Wisconsin | 53209 | |
_____________________________________________________________ (Address of principal executive offices) | __________________ (Zip Code) |
Suzanne M. Vincent | ||
Vice President and Corporate Controller | ||
414-524-1200 | ||
(Name and telephone number, including area code, of the person to contact in connection with this report.) |
May 26, 2016 | By: | /s/ Suzanne M. Vincent | |||
Name: | Suzanne M. Vincent | ||||
Title: | Vice President and Corporate Controller |
A. | Process Summary |
• | As part of its global scoping exercise, the Company considered the following supply base categories as the scope universe for RCOI purposes: manufactured products, products contracted to be manufactured, joint ventures/subsidiaries, and spare parts. |
• | The Company established scoping guidelines, which categorized a risk level of “High,” “Low” or “None” based on the likelihood of conflict minerals’ presence in each commodity and/or component. The scoping exercise was performed as a joint effort between our procurement and engineering groups. Suppliers providing components/commodities with risk rankings of High and Low were considered in scope for RCOI procedures. |
• | The Company required each supplier deemed to be in-scope, to provide information regarding the use of conflict minerals from their suppliers, who in turn, had to solicit that information from their next tier of suppliers. The Conflict Minerals Supplier Letter that was sent to each In-Scope Supplier can be found on Johnson Controls’ website at |
• | The Company provided explanations and training to its suppliers regarding the relevant requirements of the Rule and its obligations under the Rule, and reiterated the Company’s expectation that suppliers cooperate to support the Company’s conflict minerals compliance efforts. Refer to the “Supplier Engagement and Training” section of this report for more information. |
• | The responses received from the Company’s In-Scope Suppliers about the country of origin of any conflict minerals necessary to functionality or production were reviewed for accuracy and completeness, and, if necessary, were red flagged for additional follow up and/or due diligence. |
• | Suppliers who sent incomplete or inconsistent responses were asked to review their responses and resubmit their surveys. |
• | Based on internally determined criteria, the Company implemented an escalation process for suppliers who did not respond: |
▪ | Step 1: For a selection of High risk suppliers who did not respond, an escalation letter was sent |
▪ | Step 2: Commodity managers/buyers contacted these suppliers (either by phone or in written form) to request survey completion. |
▪ | Step 3: If the supplier still did not respond, the relevant Vice President(s) of Procurement sent a written letter to the supplier requesting completion of the survey. |
B. | RCOI Results |
RCOI Survey Results | |
No 3TG | 68% |
Acknowledged 3TG Sourced from DRC (Covered Countries) | 12% |
Acknowledged 3TG Not Sourced from DRC | 8% |
3TG Origin Uncertain or Unknown | 12% |
C. | Improvement Measures to Be Taken |
• | Engage with those suppliers that have not responded to the Company’s request for conflict minerals information; |
• | Reconsider supply arrangements and potentially implement remedies available to Johnson Controls for suppliers that refuse to cooperate with the Company’s compliance efforts or do not conduct conflict-free sourcing from Covered Countries; |
• | Work with upstream suppliers to educate them on the necessary processes they need to undertake in order to allow them to assist Johnson Controls in its compliance process; |
• | Continue devising and developing a strategy for managing and mitigating conflict minerals risk in the Company’s supply chain; and |
• | Continue training initiatives to increase the level of awareness within Johnson Controls and at its suppliers. |
I. | Framework Design and Overview |
1. | Establish Strong Company Management Systems |
2. | Identify and Assess Risk in the Supply Chain |
• | they provided information on all smelters and the country of origin of the conflict minerals; |
• | they performed due diligence procedures for non-certified smelters; and |
• | they were able to determine if the conflict minerals financed or benefited armed groups in the Covered Countries. |
3. | Design and Implement a Strategy to Respond to Identified Risks |
4. | Carry Out Independent Third-Party Audit of Smelters’/Refiners’ Due Diligence Practices |
5. | Report Annually on Supply Chain Due Diligence |
1. | Facilities Used to Process Necessary 3TG Originating from Covered Countries |
2. | Smelter Lists (Appendix A) |
• | CFSI Gold Smelter List |
• | CFSI Tin Smelter List |
• | CFSI Tantalum Smelter List |
• | CFSI Tungsten Smelter List |
• | Becoming a member of the CFSI, which has allowed for the comparison of all supplier responses to the CFSI smelter listing to confirm the accuracy of supplier responses; |
• | Institutionalizing scoping guidelines, RCOI and due diligence guidelines, and the escalation process; and |
• | Updating the Company’s global terms and conditions of purchase to require suppliers to disclose to the Company, in writing, the content and the origin of the conflict minerals in the materials and/or products they provide to the Company. |
• | Continue to direct suppliers to its corporate policy with respect to the sourcing of conflict minerals; |
• | Continue to follow up with suppliers who indicated that they might be sourcing conflict minerals from the Covered Countries; |
• | Improve the effectiveness of the escalation process to enhance supplier communications and the quality of responses; |
• | Enhance the Company’s RCOI and due diligence measures for existing and new suppliers included as part of scoping guidelines; and |
• | Continue to work with relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD guidance. |
CFSI Certified Smelter List - Gold | ||
Smelter Name | Smelter Country | Smelter ID |
Advanced Chemical Company | UNITED STATES | CID000015 |
Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 |
Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 |
AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | CID000058 |
Argor-Heraeus SA | SWITZERLAND | CID000077 |
Asahi Pretec Corporation | JAPAN | CID000082 |
Asahi Refining Canada Limited | CANADA | CID000924 |
Asahi Refining USA Inc. | UNITED STATES | CID000920 |
Asaka Riken Co., Ltd. | JAPAN | CID000090 |
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 |
Aurubis AG | GERMANY | CID000113 |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 |
Boliden AB | SWEDEN | CID000157 |
C. Hafner GmbH + Co. KG | GERMANY | CID000176 |
CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 |
Cendres + Métaux SA | SWITZERLAND | CID000189 |
Chimet S.p.A. | ITALY | CID000233 |
Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | CID000328 |
Do Sung Corporation | KOREA, REPUBLIC OF | CID000359 |
DODUCO GmbH | GERMANY | CID000362 |
Dowa | JAPAN | CID000401 |
Eco-System Recycling Co., Ltd. | JAPAN | CID000425 |
Elemetal Refining, LLC | UNITED STATES | CID001322 |
Faggi Enrico S.p.A. | ITALY | CID002355 |
Heimerle + Meule GmbH | GERMANY | CID000694 |
Heraeus Ltd. Hong Kong | CHINA | CID000707 |
Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 |
Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 |
Istanbul Gold Refinery | TURKEY | CID000814 |
Japan Mint | JAPAN | CID000823 |
Jiangxi Copper Company Limited | CHINA | CID000855 |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 |
JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 |
JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 |
Kazzinc | KAZAKHSTAN | CID000957 |
Kennecott Utah Copper LLC | UNITED STATES | CID000969 |
Kojima Chemicals Co., Ltd. | JAPAN | CID000981 |
L' azurde Company For Jewelry | SAUDI ARABIA | CID001032 |
LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 |
Materion | UNITED STATES | CID001113 |
Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 |
Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 |
Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 |
Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 |
Metalor Technologies SA | SWITZERLAND | CID001153 |
Metalor USA Refining Corporation | UNITED STATES | CID001157 |
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | MEXICO | CID001161 |
Mitsubishi Materials Corporation | JAPAN | CID001188 |
Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 |
MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 |
Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 |
Nadir Metal Rafineri San. Ve Tic. A.ª. | TURKEY | CID001220 |
Nihon Material Co., Ltd. | JAPAN | CID001259 |
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 |
Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 |
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastvetmet) | RUSSIAN FEDERATION | CID001326 |
OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 |
PAMP SA | SWITZERLAND | CID001352 |
Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 |
PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 |
PX Précinox SA | SWITZERLAND | CID001498 |
Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 |
Republic Metals Corporation | UNITED STATES | CID002510 |
Royal Canadian Mint | CANADA | CID001534 |
Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 |
SAXONIA Edelmetalle GmbH | GERMANY | CID002777 |
Schone Edelmetaal B.V. | NETHERLANDS | CID001573 |
SEMPSA Joyería Platería SA | SPAIN | CID001585 |
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 |
Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 |
Singway Technology Co., Ltd. | TAIWAN | CID002516 |
SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 |
Solar Applied Materials Technology Corp. | TAIWAN | CID001761 |
Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 |
T.C.A S.p.A | ITALY | CID002580 |
Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 |
The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 |
Tokuriki Honten Co., Ltd. | JAPAN | CID001938 |
Torecom | KOREA, REPUBLIC OF | CID001955 |
Umicore Brasil Ltda. | BRAZIL | CID001977 |
Umicore Precious Metals Thailand | THAILAND | CID002314 |
Umicore SA Business Unit Precious Metals Refining | BELGIUM | CID001980 |
United Precious Metal Refining, Inc. | UNITED STATES | CID001993 |
Valcambi SA | SWITZERLAND | CID002003 |
Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 |
WIELAND Edelmetalle GmbH | GERMANY | CID002778 |
Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 |
Yokohama Metal Co., Ltd. | JAPAN | CID002129 |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 |
Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | CID002243 |
CFSI Certified Smelter List - Tantalum | ||
Smelter Name | Smelter Country | Smelter ID |
Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 |
Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 |
D Block Metals, LLC | UNITED STATES | CID002504 |
Duoluoshan | CHINA | CID000410 |
Exotech Inc. | UNITED STATES | CID000456 |
F&X Electro-Materials Ltd. | CHINA | CID000460 |
FIR Metals & Resource Ltd. | CHINA | CID002505 |
Global Advanced Metals Aizu | JAPAN | CID002558 |
Global Advanced Metals Boyertown | UNITED STATES | CID002557 |
Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 |
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch | CHINA | CID002501 |
H.C. Starck Co., Ltd. | THAILAND | CID002544 |
H.C. Starck GmbH Goslar | GERMANY | CID002545 |
H.C. Starck GmbH Laufenburg | GERMANY | CID002546 |
H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 |
H.C. Starck Inc. | UNITED STATES | CID002548 |
H.C. Starck Ltd. | JAPAN | CID002549 |
H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002550 |
Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 |
Hi-Temp Specialty Metals, Inc. | UNITED STATES | CID000731 |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 |
JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 |
Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 |
KEMET Blue Metals | MEXICO | CID002539 |
KEMET Blue Powder | UNITED STATES | CID002568 |
King-Tan Tantalum Industry Ltd. | CHINA | CID000973 |
LSM Brasil S.A. | BRAZIL | CID001076 |
Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 |
Mineração Taboca S.A. | BRAZIL | CID001175 |
Mitsui Mining & Smelting | JAPAN | CID001192 |
Molycorp Silmet A.S. | ESTONIA | CID001200 |
Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 |
Plansee SE Liezen | AUSTRIA | CID002540 |
Plansee SE Reutte | AUSTRIA | CID002556 |
QuantumClean | UNITED STATES | CID001508 |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002707 |
RFH Tantalum Smeltry Co., Ltd. | CHINA | CID001522 |
Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 |
Taki Chemicals | JAPAN | CID001869 |
Telex Metals | UNITED STATES | CID001891 |
Tranzact, Inc. | UNITED STATES | CID002571 |
Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 |
XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 |
Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 |
Zhuzhou Cemented Carbide | CHINA | CID002232 |
CFSI Certified Smelter List - Tin | ||
Smelter Name | Smelter Country | Smelter ID |
Alpha | UNITED STATES | CID000292 |
An Vinh Joint Stock Mineral Processing Company | VIETNAM | CID002703 |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 |
China Tin Group Co., Ltd. | CHINA | CID001070 |
Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | CID000295 |
CV Ayi Jaya | INDONESIA | CID002570 |
CV Gita Pesona | INDONESIA | CID000306 |
CV Serumpun Sebalai | INDONESIA | CID000313 |
CV United Smelting | INDONESIA | CID000315 |
CV Venus Inti Perkasa | INDONESIA | CID002455 |
Dowa | JAPAN | CID000402 |
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIETNAM | CID002572 |
Elmet S.L.U. (Metallo Group) | SPAIN | CID002774 |
EM Vinto | BOLIVIA | CID000438 |
Feinhütte Halsbrücke GmbH | GERMANY | CID000466 |
Fenix Metals | POLAND | CID000468 |
Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 |
Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 |
Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 |
Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 |
Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 |
Melt Metais e Ligas S/A | BRAZIL | CID002500 |
Metallic Resources, Inc. | UNITED STATES | CID001142 |
Metallo-Chimique N.V. | BELGIUM | CID002773 |
Mineração Taboca S.A. | BRAZIL | CID001173 |
Minsur | PERU | CID001182 |
Mitsubishi Materials Corporation | JAPAN | CID001191 |
Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIETNAM | CID002573 |
O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 |
O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 |
Operaciones Metalurgical S.A. | BOLIVIA | CID001337 |
Phoenix Metal Ltd. | RWANDA | CID002507 |
PT Aries Kencana Sejahtera | INDONESIA | CID000309 |
PT Artha Cipta Langgeng | INDONESIA | CID001399 |
PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 |
PT Babel Inti Perkasa | INDONESIA | CID001402 |
PT Bangka Prima Tin | INDONESIA | CID002776 |
PT Bangka Tin Industry | INDONESIA | CID001419 |
PT Belitung Industri Sejahtera | INDONESIA | CID001421 |
PT BilliTin Makmur Lestari | INDONESIA | CID001424 |
PT Bukit Timah | INDONESIA | CID001428 |
PT Cipta Persada Mulia | INDONESIA | CID002696 |
PT DS Jaya Abadi | INDONESIA | CID001434 |
PT Eunindo Usaha Mandiri | INDONESIA | CID001438 |
PT Inti Stania Prima | INDONESIA | CID002530 |
PT Justindo | INDONESIA | CID000307 |
PT Mitra Stania Prima | INDONESIA | CID001453 |
PT Panca Mega Persada | INDONESIA | CID001457 |
PT Prima Timah Utama | INDONESIA | CID001458 |
PT Refined Bangka Tin | INDONESIA | CID001460 |
PT Sariwiguna Binasentosa | INDONESIA | CID001463 |
PT Stanindo Inti Perkasa | INDONESIA | CID001468 |
PT Sumber Jaya Indah | INDONESIA | CID001471 |
PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 |
PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 |
PT Tinindo Inter Nusa | INDONESIA | CID001490 |
PT Wahana Perkit Jaya | INDONESIA | CID002479 |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002706 |
Rui Da Hung | TAIWAN | CID001539 |
Soft Metais Ltda. | BRAZIL | CID001758 |
Thaisarco | THAILAND | CID001898 |
Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIETNAM | CID002574 |
VQB Mineral and Trading Group JSC | VIETNAM | CID002015 |
White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 |
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 |
Yunnan Tin Group (Holding) Company Limited | CHINA | CID002180 |
HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 |
PT Sukses Inti Makmur | INDONESIA | CID002816 |
CFSI Certified Smelter List - Tungsten | ||
Smelter Name | Smelter Country | Smelter ID |
A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 |
Asia Tungsten Products Vietnam Ltd. | VIETNAM | CID002502 |
Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 |
Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 |
Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 |
Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 |
Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 |
Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 |
Global Tungsten & Powders Corp. | UNITED STATES | CID000568 |
Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 |
H.C. Starck GmbH | GERMANY | CID002541 |
H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 |
Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CHINA | CID002578 |
Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 |
Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 |
Japan New Metals Co., Ltd. | JAPAN | CID000825 |
Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 |
Kennametal Huntsville | UNITED STATES | CID000105 |
Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 |
Niagara Refining LLC | UNITED STATES | CID002589 |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | CID002543 |
Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | CID001889 |
Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | CID002011 |
Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 |
Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 |
Xiamen Tungsten Co., Ltd. | CHINA | CID002082 |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 |
#AAJ4N9JQY^5X"M[7VKT1ZPZXY]: