General Electric Company 2015 Conflict Minerals Report

General Electric Company

2015 Conflict Minerals Report

Introduction

General Electric Company (“GE” or the “Company”) has prepared this conflict minerals report (“Report”) for the year ended December 31, 2015 to satisfy the requirements of Rule 13p-1 of the Securities Exchange Act. GE manufactures a wide range of products that contain tin, tantalum, tungsten or gold (“3TG” or “Conflict Minerals”), but GE does not purchase ore or unrefined Conflict Minerals from mines and generally is many steps removed in the supply chain from the mining of these minerals. We purchase materials from a wide network of suppliers so we necessarily rely on them to assist with our reasonable country of origin inquiry regarding the Conflict Minerals that
are necessary to the functionality or production of products we manufacture. After performing our reasonable country of origin inquiry and due diligence for 2015, we have not been able to establish the conflict status of our products due to the continued unavailability of complete information across our broad and deep supply chain. However, the percentage of smelters and refiners in our supply chain that have been verified to be conflict-free for 2015 substantially increased in comparison to 2014, as described under “Continuous improvement” below.

This Report describes:
- the due diligence we performed for 2015, including the steps we took to mitigate the risk that Conflict Minerals in our products benefit armed groups;
- the products that we have reason to believe might contain 3TG originating from the Democratic
Republic of the Congo or an adjoining country (collectively, the “Covered Countries”); and

- information known about the processing facilities and countries of origin of the 3TG in those products.

Due Diligence

1. Design of GE’s due diligence measures

GE has adopted Conflict Minerals Guidelines (the “Guidelines”) that lay out the design of our Conflict Minerals due diligence process. The Guidelines describe procedures that each GE business is expected to use to perform due diligence on the source and origin of 3TG contained in products we manufacture. GE management designed our due diligence measures to conform in material respects to the OECD Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”), the Supplement on Tin, Tantalum, and Tungsten (the “Supplement”), and the Supplement on Gold.

2. Description of GE’s due diligence measures for 2015

This description of due diligence measures refers to measures performed at the GE corporate level and by the following GE businesses: Power (formerly Power & Water), Renewable Energy, Oil & Gas, Energy Connections (formerly Energy Management), Aviation, Healthcare, Transportation and Appliances & Lighting. In accordance with Securities and Exchange Commission (“SEC”) rules, this Report excludes the businesses we acquired from Alstom in November 2015. This Report also excludes the aviation business we acquired from Avio S.p.A. in August 2013; we are working to integrate this business into our Conflict Minerals program for this year and intend to include them in next year’s report.

This description is presented pursuant to the organizational structure of the Five-Step Framework for Risk-Based Due Diligence in the Mineral Supply Chain contained in the OECD Guidance, as elaborated for downstream companies in the Supplement.

Step 1: Establish strong company management systems

A. Adopt and commit to a supply chain policy for minerals originating from conflict-affected
and high-risk areas

The Guidelines contain the operative provisions of GE’s Statement on Conflict Minerals, which can be found on GE’s website, as well as the process for ensuring that risks are adequately managed. GE Corporate created and disseminated the Guidelines to each GE business for execution of GE’s Conflict Minerals due diligence process. Additional GE policies that relate to the due diligence measures contained in the OECD Guidance are incorporated into GE’s policy document The Spirit & the Letter, which can be found on GE’s website (for each of these materials, see “Where You Can Find Additional Information” below).

B. Structure internal management systems to support supply chain due diligence

GE corporate. A senior GE executive, supported by a senior GE lawyer, has oversight responsibility for GE’s Statement on Conflict Minerals, including the establishment of processes and procedures to carry out this statement.

GE businesses. Each GE business has:

- established a system to support performance of due diligence on its supply chain;
- documented that system in a written business program; and
- assigned certain personnel responsibility for executing the business program.

Internal reporting. For 2015, GE Corporate used the following Conflict Minerals due diligence reporting mechanisms:

- Reporting within GE businesses: Each GE business conducted one or more reviews of its Conflict
Minerals due diligence program with senior management in its sourcing organization covering
measurements relating to efforts to achieve supply chain transparency;

- Communicating across GE businesses: Representatives of GE businesses and others having
responsibilities for executing Conflict Minerals due diligence held regularly scheduled meetings to
discuss design and modification of the due diligence process, share best practices among the
businesses, and monitor progress of the due diligence process; and

- Reporting to GE Corporate sourcing and Controllership leaders: Reports on GE’s progress in
completing Conflict Minerals due diligence were provided periodically to GE’s Sourcing Council,
which comprises GE Corporate executives responsible for supply chain programs and the leads of the
sourcing organizations of GE’s businesses; and to GE’s controllership organization, including GE’s
Vice President and Controller and other senior management responsible for GE’s SEC reporting.

C. Establish a system of controls and transparency over the mineral supply chain

Identifying suppliers. Each GE business identified:

- Relevant Suppliers: suppliers that provide inputs to GE products that are known or are likely to
contain 3TG through a process that is based on an examination of internal records such as bills of
material or other product specifications, a qualitative review of sourcing records, or information
provided by the supplier; and
- Significant Suppliers: those suppliers within the universe of Relevant Suppliers that are most
significant to GE’s Conflict Minerals program, using criteria developed by the business, such as the
amount of sourcing spend with the supplier.

Identifying smelters and refiners in the supply chain. Each GE business identified all smelters and
refiners of Conflict Minerals that are first-tier suppliers to GE and used its best efforts to identify additional smelters and refiners by surveying Significant Suppliers using a tool developed by GE based on the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). The survey tool is designed to collect, manage and archive (for at least five years) supplier information relevant for Conflict Minerals due diligence including, among other things, the identity of smelters and refiners of 3TG in the supplier’s supply chain. We apply standardized criteria (based on the CMRT) across GE businesses for assessing the acceptability of survey responses.

Conducting a reasonable country of origin inquiry. For upstream due diligence to identify countries of origin and other relevant information about the conflict status of metals produced by the smelters and refiners identified in GE’s supply chain, GE relies on the information made available through the Conflict-Free Smelter Program (“CFSP”) administered by CFSI as well as information from an independent third-party supply chain expert. GE relied on this information to identify (1) the conflict status of 3TG processed by these smelters and refiners; and (2) the countries of origin of ores in the supply chains of these smelters and refiners. Where the data showed that ores utilized by one or more of these smelters or refiners originated in one or more of the Covered Countries, GE concluded that there is reason to believe that 3TG from the Covered Countries is present in the products of the business for which such smelters or refiners were reported to be in the supply chain. Due to business
confidentiality and other competitive concerns, as recognized by the Supplement, the CFSP does not publish detailed information on specific mine and location of origin of ores that supply the smelters and refiners subject to verification reviews. Consequently, no such information is provided in this Report. CFSP’s efforts to determine such information is described on the CFSI website (see “Where You Can Find Additional Information” below). For 2015, GE retained an independent third-party expert in supply chains to assist us in our reasonable country of origin inquiry, including assessing the conflict-free status of the smelters and refiners in our supply chain.

D. Strengthen company engagement with suppliers

Regular communications. GE regularly communicates its expectations on responsible supply chains of Conflict Minerals by transmitting surveys and other communications from the sourcing organizations of the GE businesses to Significant Suppliers and other Relevant Suppliers. These communications are standardized across GE businesses to ensure consistent messaging for our suppliers. In addition, the sourcing organizations of GE’s businesses provide training to and maintain websites for their suppliers on GE’s Conflict Minerals program.

Contractual obligations. Each GE business contractually obligates Relevant Suppliers to (1) adopt
policies and establish systems to use best efforts to procure Conflict Minerals from sources that have been verified as conflict free; (2) provide supporting data on their 3TG supply chains to GE when requested; and (3) provide GE with audit rights and the right to terminate the contract in the event of material non-compliance. These obligations are reflected in GE’s Integrity Guide for Suppliers, Contractors and Consultants (“Integrity Guide”), which can be found on GE’s website (see “Where You Can Find Additional Information” below). Purchase order and contract terms and conditions in use by GE businesses require suppliers to conform their behavior to the Integrity Guide.

E. Establish a company-level grievance mechanism

Integrity Guide. The Integrity Guide provides multiple methods for suppliers and supplier personnel to raise concerns about matters that are subject to the Integrity Guide, including GE’s expectations of suppliers regarding Conflict Minerals.

Open reporting system. Each GE business also has an open reporting system through which employees and third parties may report concerns about policy violations, including concerns related to our Conflict Minerals policies. Concerns can be reported anonymously or for attribution through several channels, including the employee’s manager, GE’s legal department, or a GE compliance officer, by calling the GE integrity hotline, or by emailing the GE Ombudsman.

No retaliation. Both the Integrity Guide and the open reporting system forbid retaliation against any
person reporting an integrity concern.

Step 2: Identify and assess supply chain risks

A. Use best efforts to identify the smelters and refiners in the supply chain

During 2015, using the processes described above under “Establish a system of controls and transparency over the mineral supply chain,” GE businesses identified 5,341 Relevant Suppliers (down from 8,974 in 2014), including 1,808 Significant Suppliers (down from 2,347 in 2014). These year-over-year decreases were driven primarily by changes in the criteria used by some of our businesses to identify Relevant and Significant Suppliers. Notwithstanding the decrease in the number of Significant Suppliers, they identified 26% more smelters and refiners of 3TG in their supply chains over the prior year (324 versus 258 in 2014) as a result of due diligence improvements. See Table A below for a list of these smelters and refiners and their validation status under the CFSP.

B. Identify the scope of the risk assessment of the mineral supply chain

Engaging with suppliers. GE’s Conflict Minerals supplier survey asks suppliers to identify smelters or refiners of 3TG in their supply chains. During 2015, we engaged all Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as conflict-free by the CFSP or a similar program.

Engaging with smelters and refiners. In addition to engaging with smelters and refiners through the
CFSP, GE engaged the tungsten smelters from which GE Lighting buys tungsten-bearing products directly (“first-tier tungsten smelters”) to encourage them to participate in the smelter validation process of the CFSP. As a result, 100% of the first-tier tungsten smelters that provided product to GE Lighting in 2015 have been verified as conflict-free under the CFSP, and GE Lighting has suspended purchases from first-tier tungsten smelters that are not verified or scheduled for a verification audit. See “Devise and adopt a risk management plan” below for additional information on this engagement.

C. Assess whether the suppliers have carried out all elements of due diligence for responsible
supply chains of minerals from conflict-affected and high-risk areas

Each GE business conducts due diligence to determine the degree of its suppliers’ compliance with the contractual obligations laid out in the Guidelines and the accuracy of reported information based on a risk analysis and with separate levels of intensity that depend upon risk of non-compliance. Measures may include reviewing supplier responses for completeness, accuracy and credibility, and confirming smelter status by checking against the CFSI’s Conflict Free Smelter list.

D. Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own
facilities (including through participation in industry-driven programs)

First-tier suppliers. Each GE business is responsible for confirming that each of its first-tier suppliers that are smelters and refiners (if any):
- has a policy and procedures to eliminate sourcing of conflict-supporting minerals;
- has been subject to an audit of the origin of their 3TG supplies conducted in accordance with OECD
Guidance or has made a firm commitment to undergo such an audit as soon as it can be scheduled; and
- passes the audit as being conflict-free or, having failed the audit, has established and put into place a
plan to correct process deficiencies.

Lower-tier (upstream) suppliers. In accordance with OECD Guidance, including its audit
recommendations for downstream companies, GE implements upstream audits by participating in and cooperating with industry organizations. GE is a partner company of CFSI (member code GECO) and has, periodically, supported CFSI and CFSP through membership on governance committees and providing financial assistance and in-kind assistance with CFSP smelter validation. As such, GE relied on the CFSP to conduct risk assessment at the upstream level. For each smelter identified in its supply chain at the first or lower tiers, each GE business assessed the information available from the CFSP and an independent third-party supply chain expert to determine whether there were any “red flags” (as defined in OECD Guidance) and, if needed, develop a corrective action plan. This
includes working to remove any high-risk smelters from our supply chain.

Step 3: Design and implement a strategy to respond to identified risks

A. Report findings to designated senior management

See “Structure internal management systems to support supply chain due diligence” above for a description of GE’s Conflict Minerals due diligence internal reporting processes.

B. Devise and adopt a risk management plan

Across GE. Each GE business periodically compiles a report of Conflict Minerals risks identified in its supply chain for review by the GE business executive-level program owner to determine appropriate steps to take in mitigating any risks identified in the reports. In 2015, these steps focused on reducing risk by engaging all Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as conflict-free by the CFSP or a similar program.

GE Lighting. As noted above, GE Lighting has first-tier tungsten smelters in its supply chain. GE
Lighting’s engagement efforts with these smelters began as early as 2009. GE Lighting and GE Corporate have also participated in meetings with representatives of the tungsten smelter industry to encourage tungsten smelter participation in the CFSP. Currently, 100% of the first-tier tungsten smelters that provided product to GE Lighting in 2015 have been verified as conflict-free under the CFSP, and GE Lighting has suspended purchases from first-tier tungsten smelters that are not verified or scheduled for a verification audit.

Step 4: Carry out independent 3rd-party audit of smelters/refiners’ due diligence practices

See “Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities
(including through participation in industry-driven programs)” above for a discussion of how GE conducted risk assessment at the upstream level.

Step 5: Report annually on supply chain due diligence

In addition to filing this Report, GE’s Sustainability Report describes our Conflict Minerals program and discusses our due diligence process and progress in accomplishing the goals of our Statement on Conflict Minerals (see “Where You Can Find Additional Information” below).

3. Continuous improvement

2015 progress. For 2015, GE continued to focus on:

- conducting due diligence and a reasonable country of origin inquiry to improve the transparency in our Conflict Minerals supply chain, increasing the number of identified 3TG smelters and refiners in our supply chain by 26% to 324 in 2015 and more precisely identifying the countries of origin of 3TG in our supply chain; and

- engaging with suppliers to reduce Conflict Minerals supply chain risk, increasing the number of
smelters and refiners in our supply chain that have been verified to be conflict-free by 58% to 216 in
2015. As a result, more than 66% of the smelters and refiners in our supply chain have been verified to be conflict-free (up from 53% in 2014).

2016 actions to improve due diligence and supplier engagement. GE intends to take the following steps in 2016 to improve due diligence and thereby mitigate the risk that Conflict Minerals in GE products may benefit armed groups:

- intensify communication with suppliers and spread best practices learned during execution of the due diligence process in 2015 across the GE businesses to continue to work to improve the percentage of Significant Suppliers responding to GE’s supply chain surveys and the quality of their responses; and

- intensify the identification of and communication with smelters and refiners in GE’s supply chain in
order to continue to increase the number of smelters and refiners that participate in the CFSP. As an
example, in April 2016, the Aerospace Industries Association, of which GE is a member, sent a letter
to a number of smelters in the aerospace industry supply chain urging them to participate in the CFSP.

In addition, GE has hired an independent, third-party supply chain expert to prepare an audit readiness assessment for our Conflict Minerals program and help us to enhance our due diligence practices.

Information Known to GE about 3TG in GE products

GE manufactures a wide range of products that contain Conflict Minerals, but GE does not purchase ore or unrefined conflict minerals from mines and generally is many steps removed in the supply chain from the mining, smelting and refining of these minerals. For a description of the products manufactured by GE in 2015, see the products description for each of our industrial businesses—Power (formerly Power & Water), Renewable Energy, Oil & Gas, Energy Connections (formerly Energy Management), Aviation, Healthcare, Transportation and Appliances & Lighting—on pages 37 through 60 of our 2015 Annual Report on Form 10-K, which are incorporated into this Report by reference and which you can find at www.ge.com/annualreport.

GE purchases materials from a wide network of suppliers so we necessarily rely on them to assist with our reasonable country of origin inquiry. After performing a reasonable country of origin inquiry and due diligence for 2015, we have not been able to establish the conflict status of our products, due to the continued unavailability of complete information across our broad and deep supply chain.

Facilities Used to Process 3TG in GE Products
GE obtained information about the facilities used to process 3TG in GE products through the due diligence activities described in this Report. Table A below contains a list of smelters and refiners that GE’s Significant Suppliers identified as being present in their supply chains that GE believes may have processed 3TG contained in GE products.

Countries of Origin of 3TG in GE Products

GE obtained information about the country of origin and mine or location of origin of 3TG in GE products through reliance on the CFSP’s upstream audits of smelters and refiners in GE’s supply chain and using information provided by an independent third-party supply chain expert, as described in this Report. Table B below contains a list of known countries of origin of 3TG used by smelters and refiners that GE suppliers identified as being present in their supply chains.


Smelter List and Country of Origin List

Metal Smelter Name (* indicates CFSI Compliant Conflict-Free Smelter, ** indicates CFSI Active Smelter)

Gold Advanced Chemical Company **
Gold Aida Chemical Industries Co. Ltd.*
Gold Al Etihad Gold Refinery DMCC
Gold Allgemeine Gold-und Silberscheideanstalt A.G.*
Gold Almalyk Mining and Metallurgical Complex (AMMC)**
Gold AngloGold Ashanti Córrego do Sítio Minerção*
Gold Argor-Heraeus SA*
Gold Asahi Pretec Corp*
Gold Asaka Riken Co Ltd*
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Gold Aurubis AG*
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines)*
Gold Boliden AB*
Gold C. Hafner GmbH + Co. KG*
Gold Caridad Gold CCR Refinery – Glencore Canada Corporation*
Gold Cendres + Métaux SA**
Gold Chimet S.p.A.*
Gold Chugai Mining
Gold Daejin Indus Co., Ltd.**
Gold Daye Non-Ferrous Metals Mining Ltd.
Gold Do Sung Corporation**
Gold Doduco*
Gold Dowa*
Gold Eco-System Recycling Co., Ltd.*
Gold Emirates Gold DMCC*
Gold Faggi Enrico S.p.A.**
Gold Fidelity Printers and Refiners Ltd.
Gold FSE Novosibirsk Refinery*
Gold Gansu Seemine Material Hi-Tech Co., Ltd.
Gold Geib Refining Corporation**
Gold Great Wall Precious Metals Co., Ltd. of CBPM
Gold Guangdong Jinding Gold Limited
Gold Guoda Safina High-Tech Environmental Refinery Co., Ltd.
Gold Hangzhou Fuchunjiang Smelting Co., Ltd.
Gold Heimerle + Meule GmbH*
Gold Heraeus Ltd. Hong Kong*
Gold Heraeus Precious Metals GmbH & Co. KG*
Gold Hunan Chenzhou Mining Group Co., Ltd.
Gold Hwasung CJ Co., Ltd.
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited*
Gold Ishifuku Metal Industry Co., Ltd.*
Gold Istanbul Gold Refinery*
Gold Japan Mint*
Gold Jiangxi Copper Company Limited*
Gold Johnson Matthey Inc*
Gold Johnson Matthey Ltd*
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant*
Gold JSC Uralectromed*
Gold JX Nippon Mining & Metals Co., Ltd*
Gold Kaloti Precious Metals
Gold Kazakhmys Smelting LLC
Gold Kazzinc Ltd*
Gold Kennecott Utah Copper LLC*
Gold Gold Kojima Chemicals Co., Ltd*
Gold Korea Zinc Co. Ltd.**
Gold Kyrgyzaltyn JSC
Gold L' azurde Company For Jewelry
Gold Lingbao Gold Company Limited 
Gold Lingbao Jinyuan Tonghui Refinery Co., Ltd.
Gold LS-NIKKO Copper Inc.*
Gold Luoyang Zijin Yinhui Gold Refinery 
Co., Ltd. Gold Materion*
Gold Matsuda Sangyo Co., Ltd.*
Gold Met-Mex Peñoles, S.A.*
Gold Metalor Technologies (Hong Kong) Ltd*
Gold Metalor Technologies (Singapore) Pte. Ltd.*
Gold Metalor Technologies (Suzhou) Ltd.**
Gold Metalor Technologies SA*
Gold Metalor USA Refining Corporation*
Gold Mitsubishi Materials Corporation*
Gold Mitsui Mining and Smelting Co., Ltd.*
Gold MMTC-PAMP India Pvt., Ltd.*
Gold Morris and Watson
Gold Moscow Special Alloys Processing Plant*
Gold Gold Navoi Mining and Metallurgical Combinat**
Gold Nihon Material Co. LTD*
Gold Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH*
Gold Ohio Precious Metals, LLC*
Gold Ohura Precious Metal Industry Co., Ltd*
Gold OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)*
Gold PAMP SA*
Gold Penglai Penggang Gold Industry Co., Ltd. 
Gold Prioksky Plant of Non-Ferrous Metals*
Gold PT Aneka Tambang (Persero) Tbk*
Gold PX Précinox SA*
Gold Rand Refinery (Pty) Ltd*
Gold Republic Metals Corporation*
Gold Royal Canadian Mint*
Gold Sabin Metal Corp.
Gold Samduck Precious Metals**
Gold SAMWON METALS Corp.
Gold SAXONIA Edelmetalle GmbH**
Gold Schone Edelmetaal*
Gold SEMPSA Joyería Platería SA*
Gold Shandong Tiancheng Biological Gold Industrial Co., Ltd.
Gold Shandong Zhaojin Gold & Silver Refinery Co. Ltd*
Gold Sichuan Tianze Precious Metals Co., Ltd.*
Gold Singway Technology Co., Ltd.*
Gold So Accurate Group, Inc.
Gold SOE Shyolkovsky Factory of Secondary Precious Metals*
Gold Solar Applied Materials Technology Corp.*
Gold Sumitomo Metal Mining Co., Ltd.*
Gold T.C.A S.p.A*
Gold Tanaka Kikinzoku Kogyo K.K.*
Gold The Refinery of Shandong Gold Mining Co. Ltd*
Gold Tokuriki Honten Co. Ltd*
Gold Tongling nonferrous Metals Group Co.,Ltd
Gold Torecom**
Gold Umicore Brasil Ltda*
Gold Umicore Precious Metals Thailand*
Gold Umicore SA Business Unit Precious Metals Refining*
Gold United Precious Metal Refining, Inc.*
Gold Valcambi SA*
Gold Western Australian Mint trading as The Perth Mint*
Gold WIELAND Edelmetalle GmbH**
Gold YAMAMOTO PRECIOUS METAL CO., LTD.*
Gold Yokohama Metal Co Ltd*
Gold Yunnan Copper Industry Co Ltd
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation*
Gold Zijin Mining Group Co. Ltd*

Tantalum Changsha South
Tantalum Niobium Co., Ltd.*
Tantalum Conghua Tantalum and Niobium Smeltry*
Tantalum D Block Metals, LLC*
Tantalum Duoluoshan*
Tantalum Exotech Inc.*
Tantalum F&X Electro-Materials Ltd.*
Tantalum FIR Metals & Resource Ltd.*
Tantalum Global Advanced Metals Boyertown*
Tantalum Global Advanced Metals*
Tantalum Guangdong Zhiyuan New Material Co., Ltd.*
Tantalum H.C. Starck Co., Ltd.*
Tantalum H.C. Starck GmbH Goslar*
Tantalum H.C. Starck GmbH Laufenburg*
Tantalum H.C. Starck Hermsdorf GmbH*
Tantalum H.C. Starck Inc.*
Tantalum H.C. Starck Ltd.*
Tantalum H.C. Starck Smelting GmbH & Co.KG*
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd.*
Tantalum Hi-Temp* Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd.*
Tantalum Jiujiang Tanbre Co., Ltd.*
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd.*
Tantalum KEMET Blue Metals*
Tantalum Kemet Blue Powder*
Tantalum King-Tan Tantalum Industry Ltd* Tantalum LSM Brasil S.A.* Tantalum Metallurgical Products India (Pvt.) Ltd.*
Tantalum Mineração Taboca S.A.*
Tantalum Mitsui Mining & Smelting*
Tantalum Molycorp Silmet A.S.*
Tantalum Ningxia Orient Tantalum Industry Co., Ltd.*
Tantalum Plansee SE Liezen* Tantalum Plansee SE Reutte*
Tantalum QuantumClean* Tantalum Resind Indústria e Comércio Ltda.*
Tantalum RFH Tantalum Smeltry Co., Ltd* Tantalum Solikamsk Metal Works* Tantalum Taki Chemicals* Tantalum Telex*
Tantalum Tranzact, Inc.* Tantalum Ulba*
Tantalum XinXing HaoRong Electronic Material Co., Ltd.*
Tantalum Yichun Jin Yang Rare Metal Co., Ltd.*
Tantalum Zhuzhou Cement Carbide* Tin Alpha*

Tin An Vinh Joint Stock Mineral Processing Company**
Tin Chenzhou Yunxiang Mining Smelting Company LTD**
Tin China Tin Group Co., Ltd.*
Tin CNMC (Guangxi) PGMA Co. Ltd. Tin Cooper Santa*
Tin CV Ayi Jaya* Tin CV Gita Pesona* Tin CV JusTindo*
Tin CV Nurjanah*
Tin CV Serumpun Sebalai* Tin CV United Smelting*
Tin CV Venus Inti Perkasa* Tin Dowa*
Tin Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company**
Tin Elmet S.L.U. (Metallo Group)*
Tin EM Vinto*
Tin Estanho de Rondônia S.A.
Tin Fenix Metals*
Tin Gejiu Jin Ye Mineral Co., Ltd.**
Tin Gejiu Kai Meng Industry and Trade LLC**
Tin Gejiu Non-Ferrous Metal Processing Co. Ltd.*
Tin Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.**
Tin Gejiu Zi-Li Tin Huichang Jinshunda Tin Co. Ltd
Tin Jiangxi Ketai Advanced Material Co., Ltd.*
Tin Jiangxi Nanshan Tin Linwu Xianggui Ore Smelting Co., Ltd.
Tin Magnu's Minerais Metais e Ligas LTDA*
Tin Malaysia Smelting Corporation (MSC)*
Tin Melt Metais e Ligas S/A*
Tin Metallic Resources Inc*
Tin METALLO-CHIMIQUE N.V. (MC)*
Tin Mineração Taboca S.A.* Tin Minsur*
Tin Mitsubishi Materials Corporation*
Tin Nghe Tinh Non-Ferrous Metals Joint Stock Company**
Tin O.M. Manufacturing (Thailand) Co., Ltd.*
Tin O.M. Manufacturing Philippines, Inc.*
Tin Operaciones Metalurgical S.A.*
Tin Phoenix Metal Ltd.**
Tin PT Artha Cipta Langgeng*
Tin PT ATD Makmur Mandiri Jaya*
Tin PT Babel Inti Perkasa*
Tin PT Bangka Prima Tin*
Tin PT Bangka Tin Industry*
Tin PT Belitung Industri Sejahtera*
Tin PT BilliTin Makmur Lestari*
Tin PT Bukit Timah*
Tin PT Cipta Persada Mulia*
Tin PT DS Jaya Abadi*
Tin PT DS Jaya Abadi**
Tin PT Eunindo Usaha Mandiri*
Tin PT Inti Stania Prima*
Tin PT Karimun Mining**
Tin PT Mitra Stania Prima*
Tin PT Panca Mega Persada*
Tin PT Prima Timah Utama*
Tin PT REFINED BANGKA TIN*
Tin PT Sariwiguna Binasentosa*
Tin PT Stanindo Inti Perkasa*
Tin PT Sukses Inti Makmur*
Tin PT Sumber Jaya Indah*
Tin PT Tambang Timah*
Tin PT Timah (Persero) Tbk Mentok*
Tin PT Tinindo Inter Nusa*
Tin PT Tirus Putra Mandiri Tin PT Tommy Utama*
Tin PT Wahana Perkit Jaya*
Tin Resind Indústria e Comércio Ltda.*
Tin Rui Da Hung* Tin Soft Metais, Ltda.* Tin Thaisarco*
Tin Tuyen Quang Non-Ferrous Metals Joint Stock Company**
Tin VQB Mineral and Trading Group JSC*
Tin White Solder Metalurgia e Mineração Ltda.*
Tin Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.**
Tin Yunnan Tin Company, Ltd.* Tungsten A.L.M.T. Corp.*

Tungsten Asia Tungsten Products Vietnam Ltd.*
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd.*
Tungsten Chongyi Zhangyuan Tungsten Co Ltd*
Tungsten Dayu Jincheng Tungsten Industry Co., Ltd.
Tungsten Dayu Weiliang Tungsten Co., Ltd.
Tungsten Fujian Jinxin Tungsten Co., Ltd.*
Tungsten Ganxian Shirui New Material Co., Ltd.
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd.*
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd.*
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd.
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd.**
Tungsten Ganzhou Seadragon W & Mo Co., Ltd.*
Tungsten Ganzhou Yatai Tungsten Co., Ltd.*
Tungsten Global Tungsten & Powders Corp.*
Tungsten Guangdong Xianglu Tungsten Co., Ltd.*
Tungsten H.C. Starck GmbH*
Tungsten H.C. Starck Smelting GmbH & Co.KG*
Tungsten Hunan Chenzhou Mining Group Co., Ltd.*
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji*
Tungsten Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.* Tungsten Hydrometallurg, JSC*
Tungsten Japan New Metals Co Ltd*
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd.**
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd.*
Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd.**
Tungsten Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.*
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd.**
Tungsten Kennametal Fallon**
Tungsten Kennametal Huntsville*
Tungsten Malipo Haiyu Tungsten Co., Ltd.*
Tungsten Niagara Refining LLC*
Tungsten Nui Phao H.C. Starck
Tungsten Chemicals Manufacturing LLC*
Tungsten Tejing (Vietnam) Tungsten Co., Ltd.*
Tungsten Vietnam Youngsun
Tungsten Industry Co., Ltd*
Tungsten Wolfram Bergbau und Hütten AG*
Tungsten Wolfram Company CJSC Tungsten Xiamen Tungsten (H.C.) Co., Ltd.* Tungsten Xiamen Tungsten Co., Ltd*
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd.*

Country of Origin List 3
Angola France Portugal Argentina Germany Republic of Congo Australia Guyana Russia Austria Hungary Rwanda Belgium India Sierra Leone Bolivia Indonesia Singapore Brazil Ireland Slovakia Burundi Israel South Africa Cambodia Japan South Korea Canada Kazakhstan South Sudan Central African Republic Kenya Spain Chile Laos Suriname China Luxembourg Switzerland Colombia Madagascar Taiwan Côte D'Ivoire Malaysia Tanzania Czech Republic Mongolia Thailand Democratic Republic of Congo Mozambique Uganda Djibouti Myanmar United Kingdom Ecuador Namibia United States of America Egypt Netherlands Vietnam Estonia Nigeria Zambia Ethiopia Peru Zimbabwe

3 The CFSI generally does not specify individual countries of origin of the conflict minerals processed by compliant smelters and refiners and thus we were not able to determine with certainty the specific countries of origin of the conflict minerals processed by the listed compliant smelters and refiners. In addition, for some of the listed compliant smelters and refiners, origin information is not disclosed. The list is based on the country of origin data provided to the CFSI for compliant smelters only.


Helpful Resources

Acronyms Used in This Report

3TG              Tin, Tantalum, Tungsten or Gold
CFSI             Conflict-Free Sourcing Initiative
CFSP            Conflict-Free Smelter Program
CMRT          Conflict Minerals Reporting Template
DRC             Democratic Republic of the Congo
OECD          Organization for Economic Cooperation and Development
SEC              U.S. Securities and Exchange Commission

Forward-Looking Statements

This Report contains "forward-looking statements" – that is, statements related to future events that by their nature address matters that are, to different degrees, uncertain. For details on the uncertainties that may cause our actual future results to be materially different than those expressed in our forward-looking statements, see http://www.ge.com/investor-relations/disclaimer-caution-concerning-forward-looking-statements as well as our annual reports on Form 10-K and quarterly reports on Form 10-Q. We do not undertake to update our forward-looking statements.

Where You Can Find Additional Information*

GE’s Sustainability Report – Conflict Minerals
www.gesustainability.com/building-things-that-matter/supply-chain/conflict-minerals/

GE’s Statement on Conflict Minerals
www.gesustainability.com/building-things-that-matter/supply-chain/conflict-minerals/

GE’s Integrity Guide for Suppliers, Contractors and Consultants
www.gesupplier.com/html/SuppliersIntegrityGuide.htm

GE’s Spirit & Letter
www.ge.com/files/usa/citizenship/pdf/english.pdf

Conflict-Free Sourcing Initiative
www.conflictfreesourcing.org/

OECD Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf

GE’s 2015 Annual Report on Form 10-K
www.ge.com/annualreport

*These web links are provided for convenience only, and the content on the referenced websites does not constitute a part of this Report.

GE and the GE logo are trademarks and service marks of General Electric Company. Other marks used throughout are trademarks and service marks of their respective owners.