3TG Conflict Minerals Policy

It is the policy of Sunpower Group Holdings Ltd to source components and materials from only companies who provide confirmation of compliance to the requirements of Conflict Minerals (3TG) as detailed within Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Dodd-Frank Act”).

Introduction to the Conflict Minerals Legislation

  • Sunpower Group Holdings Ltd is committed to sourcing components and materials from companies that share our values on human rights issues, ethics and environmental responsibility. On August 22, 2012, the final rule regarding sourcing of conflict minerals under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Dodd-Frank Act”) was approved by the U.S. Securities and Exchange Commission (“SEC”).
  • The rule imposes reporting requirements on publicly traded companies subject to the SEC to report annually the presence of conflict minerals originating in the Democratic Republic of the Congo (“DRC”) or adjoining countries (“Covered Countries”) in the products they manufacture or contract to manufacture whereby the conflict minerals are necessary to the functionality or production of a product.

What is Sunpower Group Holdings Ltd Doing?

  • Sunpower Group Holdings Ltd has always supported an industry-wide approach to addressing social responsibility issues throughout the supply chain; this includes metals that are most abundant in electronics, including the “conflict minerals” used to make tantalum, tin, tungsten, and gold.
  • Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in the electronics industry supply chain and we are reliant on our supply chain to support us by following our lead to source conflict-free minerals.
  • Due to the enormity of Sunpower Group Holdings Ltd and its suppliers’ respective supply chains, it will take time for many suppliers to verify the origin of conflict minerals used in their components and materials. Using our supply chain due diligence process and continuing our partnership with our supply chain we will further augment our goals.

Sunpower Group Holdings Ltd Supply Chain Expectation

  • Sunpower Group Holdings Ltd expects its suppliers to commit to Sunpower Group Holdings Ltd responsible sourcing of minerals requirements and to reasonably assure that the tantalum, tin, tungsten and gold in the products they manufacture are conflict free. Sunpower Group Holdings Ltd expects suppliers to establish their own due diligence program to ensure conflict-free supply chains.
  • Suppliers must ensure that all parts used to manufacture products supplied to Sunpower Group Holdings Ltd originated from certified conflict-free smelters validated as compliant to the EICC Conflict Free Smelter (CFS) protocol, using the CFS Compliant Smelter List. The CFS program is a global program where an independent third party evaluates a smelter’s procurement activities and determines if the smelter demonstrated that materials they processed originated from conflict-free sources. Through this industry collaborative effort, smelters are audited globally.
  • The list of compliant smelters and refiners is posted at conflictfreesmelter.org

Competition Compliance Policy

Sunpower Group Holdings Ltd  is committed to free, fair and open competition and our policy is to comply fully with all aspects of UK competition law as well as, where applicable, EU and Irish competition law.

Breach of these laws can have severe consequences for the company, its employee’s. These include significant fines, damaging publicity and disqualification of company directors and even, in the case of involvement in cartel activity, criminal penalties, including imprisonment.

All Company directors and employees are required to comply with this policy, and with competition law, when conducting their duties in connection with SGH. Failure to do so may result in disciplinary action including dismissal. The guidelines that accompany this policy statement provide practical guidance on competition compliance.

Competition Law Compliance Guidelines: overview of UK Competition Law

The Competition Act 1998 (“the Competition Act”) prohibits commercial agreements that restrict competition and affect trade in the UK (or a part of it), to an “appreciable” extent. Agreements can be “saved” from this prohibition if they benefit from a “block” exemption (an exemption which covers a certain category of agreements), or meet certain criteria against which individual agreements can be assessed.

Agreements or understandings that amount to serious breaches of the law (such as price-fixing) can always be viewed as “appreciable” and are unlikely to be capable of being “saved”. Furthermore, the Enterprise Act 2002 makes it a criminal offence to engage in certain forms of anti-competitive cartel, where this is done “dishonestly”.

The Competition Act also prohibits abuse of a dominant position in the market. As this is not a real concern for Sunpower Group Holdings Ltd, these guidelines focus on the ban on restrictive agreements.

To be caught by the Competition Act, an “agreement” does not have to be in writing and can even be implied from conduct. This means that sharing commercial information directly with competitors can create an anticompetitive agreement and is generally unacceptable. It also means that it is possible to breach the law simply through a casual conversation, and subsequent conduct – not just written agreements are caught.

Practical Do’s and Don’ts

Contact with competitors is inherently risky from a competition law point of view. Set out below are some do’s and don’ts relating to key areas of concern for SGH.

DON’T:

  •  Enter into any agreement or understanding with a competitor about the prices you will charge, the discounts/rebates you offer, or the timing of any price increase announcements.
  •  Discuss retailers’ pricing with your competitor, except in very general “state of the industry” terms. Above all, do not discuss any strategy or proposed action designed to slow or stop a decline in retail prices.
  •  Agree with competitors not to compete for certain customer accounts or contracts.
  •  Agree with competitors not to enter, or to withdraw from, certain industry sectors or geographic markets; or to stick to your “home” market.
  •  Agree to “take turns” with competitors in relation to customers or contracts.
  •  Discuss any commercially sensitive information (e.g. relating to pricing, timing for price increases, strategy) with a competitor, even where such information could easily be obtained from a customer or is, or will shortly become, public knowledge.
  •  Form any agreement or understanding with a competitor about the terms you will offer to customers, the customers you will or will not sell to, or the types of products you will/will not supply.

DO:

  •  Be wary of contact with SGH competitors, in informal situations e.g. at in the bar after a forum meeting: competition law still applies!
  •  Remember that, while some SGH customers each others’ competitors and this may affect the round-table discussions it is possible to have, bearing competition law issues in mind.
  • You can discuss the economic climate or state of the industry, in general terms, and provided you do not share sensitive commercial information on your own strategy to meet challenges facing the industry.
  •  Participate in legitimate SGH business such as discussing proposed new industry standards or lobbying activity, provided you do not share sensitive commercial information beyond what the company directors have confirmed as necessary and compliant from a competition law perspective.
  •  Remember that acting under the SGH umbrella does not “legitimise” behaviour or discussions that raise serious competition concerns, such as discussions with competitors about your pricing.
  •  Ask customers what prices they are paying to your competitors, where you are trying to win their business, or accept information, such as competitor price lists, where this is volunteered by customers or obtained as a “mystery shopper”, for the purposes of helping you compete. This is competition working well, and is okay.
  •  You can, within limits, answer questions about the creditworthiness or payment history of a customer. Answers should be restricted to basic statements of fact e.g. “Customer A generally pays on time”, “We consider Customer B to be a poor credit risk”. Do not, however, give any indication of the terms you offer the customer, or of your likely future strategy regarding the customer, e.g. “If I were you, I would not supply Customer X”, “We only offer them credit of £N”. Be wary of reaching an agreement with a competitor about whether it is sensible to supply or not supply any customer – that is for them to decide.

Competition law is complex and no list of do’s and don’ts can be exhaustive. The above is for guidance only and does not represent the Competition Act in its entirety.

WEEE Compliance

Sunpower Group Holdings Ltd is a registered member of ERP UK Ltd WEEE Producer

Compliance Scheme (WEE/XP3338PD/SCH) for 2018 with the following WEEE Producer Registration Number: WEE/HG0106WW

Counterfeit Materials Policy

Sunpower Group Holdings Limited understands there is a worldwide problem concerning counterfeit components entering the supply chain and is committed to sourcing components and materials from companies that share our values.

Sunpower Group Holdings Limited is committed to provide quality products and will procure its components and product from only known OEMs.

Sunpower Group Holdings Limited is ISO9001:2015 certified and as part of our due diligence with our supplier base, each supplier is investigated for counterfeit property policies and procedures. Sunpower Group Holdings Limited has a robust procedure to prevent Counterfeit Materials, this has been implemented by ensuring that all purchases of commodities and components used are sourced only through OEMs.

Our Counterfeit Materials Policy dictates that during extreme situations such as manufacturer’s allocation of product which causes material shortages and material is only available through a non-approved supplier, distributor or broker, the customer must be notified prior to purchase of any material. The customer must be notified, if the source of material supplied becomes the subject of a legal or counterfeit issue.

RoHS REACH and PFOS Statement

Sunpower Group Holdings Ltd guarantees that the products supplied to your company are all RoHS 3 compliant parts and do not exceed the maximum concentration values set forth for the Banned substances included within the Restrictions of Hazardous Substances directive EU 2015/863 (RoHS 3), product also full comply to the requirements of the PFOS Directive 2006/122/EC, PFOS and the 205 substances included within REACH (EC) 1907/2006 (Substance of Very High Concern, SVHS) substance levels.

Environmental Policy Statement

SCOPE

This policy covers all staff that work at Sunpower Group Holdings.

POLICY AIMS

Sunpower Group Holdings are highly committed and will, wherever possible, minimise adverse effects on the environment. We will encourage our employees and suppliers to adhere to the relevant aspects of our Environmental Policy and will ensure that the Environmental Policy is reviewed on an annual basis.

Sunpower Group Holdings main considerations are to:

  • Comply with the relevant environmental legislation and regulations.
  • Commit to undertake all necessary steps to prevent pollution wherever possible.
  • Recycle all possible waste whenever possible including shredding of paperwork onsite.
  • Reduction in the distribution of paper catalogues, manuals and marketing materials wherever possible.
  • Use of biodegradable chemicals.
  • Installation of energy efficient lighting systems and/or automatic lighting/low level lighting wherever possible, ensuring that all lights are turned off at the end of day and when offices/rooms are not in use.
  • Computers and screens are turned off when not in use and at the end of the day.
  • To run a paperless office where possible using technology such as internal intranet and emails etc to distribute information.

RESPONSIBILITY

The staff at Sunpower Group Holdings has an individual responsibility and are all committed to making sure that this policy is implemented and executed. We will promote the company’s commitment to protecting and enhancing the environment as well as continuously improving our environmental performance, working towards a sustainable future.

CONSULTATION

This policy will be reviewed annually in consultation with within Sunpower Group Holdings, as well as with other parties where relevant.

COMMUNICATION

This policy will be communicated to all Sunpower Group Holdings staff. This will be done via a variety of methods including staff induction, internet, internal intranet, staff newsletter and meetings.

MONITORING & REVIEW

This environmental policy will be reviewed annually (and revised as necessary) to reflect environmental performance.

Slavery and Human Trafficking Statement

INTRODUCTION FROM THE MANAGING DIRECTORS

Slavery and human trafficking remains a hidden blight on our global society. We all have a responsibly to be alert to the risks, however small, in our business and in the wider supply chain. Our staff is expected to report concerns and management are expected to act upon them.

ORGANISATION’S STRUCTURE

Sunpower Groups Holdings Ltd is a manufacturer and importer of electronic and lighting equipment and based in the United Kingdom.

OUR SUPPLY CHAIN

Our supply chain includes the sourcing of product related to electronics and lighting. The Majority of our providers are located in the Far East.

OUR POLICIES ON SLAVERY AND HUMAN TRAFFICKING

We are committed to ensuring that there is no modern slavery or human trafficking in our supply chain or in any part of our business. Our Anti-slavery Policy reflects our commitment to acting ethically and with integrity in all our business relationships and to implementing and enforcing effective systems and controls to ensure slavery and human trafficking is not taking place anywhere in our supply chain.

DUE DILIGENCE PROCESSES FOR SLAVERY AND HUMAN TRAFFICKING

We build long standing relationships with our suppliers and make clear our expectations of business behaviour. With regards to national or international supply chains, we will only enter into business relations with entities that have suitable anti-slavery and human trafficking policies and processes. We expect each entity in the supply chain to, at least, adopt ‘one-up’ due diligence on the next link in the chain. It is not practical for us (and every other participant in the chain) to have a direct relationship with all links in the supply chain, ultimately leading to the utility generator. We have in place systems to encourage the reporting of concerns and the protection of whistle blowers.

SUPPLIER ADHERENCE TO OUR VALUES

We have zero tolerance to slavery and human trafficking and we expect all those in our supply chain (including subcontractors) to comply with our values without exception.

OUR EFFECTIVENESS IN COMBATING SLAVERY AND HUMAN TRAFFICKING

We use the following key performance indicators (KPIs) to measure how effective we have been to ensure that slavery and human trafficking is not taking place in any part of our business or supply chains:

  • Completion of House Audits by Area Managers and Business Development Managers.
  • Use of labour monitoring.
  • Level of communication and personal contact with next link in the supply chain and their understanding of, and compliance with, our expectations.

This statement is made pursuant to section 54(1) of the Modern Slavery Act 2015 and constitutes our group’s slavery and human trafficking statement.