%PDF-1.5 1 0 obj <> endobj 3 0 obj <> endobj 4 0 obj <> stream BT /F1 10.00 Tf ET 0 Tr /GS0 gs 0 Tw 0 Tc 100 Tz 0 TL BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 1 of 9) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 676.00 Td (Johnson Controls International plc) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 662.80 Td (Conflict Minerals Report) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (For the Calendar ) Tj ET Q q 0 0 0 rg BT 144.26 649.60 Td (Y) Tj ET Q q 0 0 0 rg BT 150.99 649.60 Td (ear Ended December 31, 2017) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 612.40 Td (I. ) Tj ET Q BT /F3 11.00 Tf ET 0 0 0 RG /GS0 gs 1.15 w 0 i [] 0 d 1 J 1 j 3 M 63.16845703125 610.657080078125 m 127.34228515625 610.657080078125 l s q 0 0 0 rg BT 63.17 612.40 Td (Background) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 586.00 Td (This is the Conflict Minerals Report \(Report\) of Johnson Controls International plc for calendar year ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 572.80 Td (2017 in accordance with Rule 13p-1 under the Securities Exchange ) Tj ET Q q 0 0 0 rg BT 384.82 572.80 Td (Act of 1934 \(the Rule\). ) Tj ET Q q 0 0 0 rg BT 504.66 572.80 Td (As used in ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 559.60 Td (this Report, and except where the context otherwise requires, the "Company", "Johnson Controls", we ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 546.40 Td (and our refer to Johnson Controls International plc and its majority-owned subsidiaries and variable ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 533.20 Td (interest entities that are required to be consolidated. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 506.80 Td (The term conflict mineral is defined to include cassiterite, columbite-tantalite, gold, and wolframite and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 493.60 Td (their derivatives, including tantalum, tin and tungsten \(3TG\), regardless of their source.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 467.20 Td (The term "Covered Countries" is defined as the Democratic Republic of the Congo \(the DRC\) and the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 454.00 Td (countries adjoining the Democratic Republic of the Congo.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 414.40 Td (II. ) Tj ET Q BT /F3 11.00 Tf ET 0 0 0 RG /GS0 gs 1.15 w 0 i [] 0 d 1 J 1 j 3 M 66.224609375 412.657080078125 m 168.318359375 412.657080078125 l s q 0 0 0 rg BT 66.22 414.40 Td (Company ) Tj ET Q q 0 0 0 rg BT 119.40 414.40 Td (Overview) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 388.00 Td (Johnson Controls is a global diversified technology and multi-industrial leader serving a wide range of ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 374.80 Td (customers in more than 150 countries. ) Tj ET Q q 0 0 0 rg BT 243.95 374.80 Td (The Company creates quality products, services and solutions ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 361.60 Td (to optimize energy and operational ef) Tj ET Q q 0 0 0 rg BT 234.81 361.60 Td (ficiencies of buildings; lead-acid automotive batteries and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 348.40 Td (advanced batteries for hybrid and electric vehicles. ) Tj ET Q q 0 0 0 rg BT 303.47 348.40 Td (Additional information about the Company and its ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 335.20 Td (core businesses may be obtained by accessing Johnson Controls) Tj ET Q q 0 0 0 rg BT 375.22 335.20 Td ( corporate website at: ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 54 320.431640625 m 181.166015625 320.431640625 l s q 0 0 0 rg BT 54.00 322.00 Td (www) Tj ET Q q 0 0 0 rg BT 77.22 322.00 Td (.johnsoncontrols.com) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 181.17 322.00 Td (. ) Tj ET Q q 0 0 0 rg BT 186.67 322.00 Td (A) Tj ET Q q 0 0 0 rg BT 193.40 322.00 Td ( copy of this Report can be found at: ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 373.17724609375 320.431640625 m 530.91552734375 320.431640625 l s q 0 0 0 rg BT 373.18 322.00 Td (http://www) Tj ET Q q 0 0 0 rg BT 423.92 322.00 Td (.johnsoncontrols.com/) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 54 307.231640625 m 275.9443359375 307.231640625 l s q 0 0 0 rg BT 54.00 308.80 Td (corporate-sustainability/reporting-and-policies) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 275.94 308.80 Td (.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 269.20 Td (III. ) Tj ET Q BT /F3 11.00 Tf ET 0 0 0 RG /GS0 gs 1.15 w 0 i [] 0 d 1 J 1 j 3 M 69.28076171875 267.45708007812505 m 162.81298828125 267.45708007812505 l s q 0 0 0 rg BT 69.28 269.20 Td (Product ) Tj ET Q q 0 0 0 rg BT 113.89 269.20 Td (Overview) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 242.80 Td (During calendar 2017, the Company) Tj ET Q q 0 0 0 rg BT 232.96 242.80 Td (s products and services were of) Tj ET Q q 0 0 0 rg BT 387.45 242.80 Td (fered by two business platforms ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 229.60 Td (with operations throughout the world: Building ) Tj ET Q q 0 0 0 rg BT 279.44 229.60 Td (T) Tj ET Q q 0 0 0 rg BT 284.94 229.60 Td (echnologies & Solutions and Power Solutions.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 203.20 Td (The Building ) Tj ET Q q 0 0 0 rg BT 118.01 203.20 Td (T) Tj ET Q q 0 0 0 rg BT 123.51 203.20 Td (echnologies & Solutions \("Buildings"\) business is a global leader in engineering, ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 190.00 Td (developing, manufacturing and installing building products and systems around the world, including ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 176.80 Td (HV) Tj ET Q q 0 0 0 rg BT 68.46 176.80 Td (AC equipment, HV) Tj ET Q q 0 0 0 rg BT 158.75 176.80 Td (AC controls, energy-management systems, security systems, fire detection ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 163.60 Td (systems and fire suppression solutions. ) Tj ET Q q 0 0 0 rg BT 248.84 163.60 Td (The Buildings business further serves customers by providing ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 150.40 Td (technical services \(in the HV) Tj ET Q q 0 0 0 rg BT 191.96 150.40 Td (AC, security and fire-protection space\), energy-management consulting ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 137.20 Td (and data-driven solutions via its recently launched data-enabled business. Finally) Tj ET Q q 0 0 0 rg BT 448.20 137.20 Td (, the Company is a ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 124.00 Td (North ) Tj ET Q q 0 0 0 rg BT 83.35 124.00 Td (American leader in residential air conditioning and heating systems and a global market leader in ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 110.80 Td (industrial refrigeration products.) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I1 Do Q endstream endobj 5 0 obj <> endobj 6 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 2 of 9) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 676.00 Td (The Power Solutions business is a leading global supplier of lead-acid automotive batteries for virtually ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 662.80 Td (every type of passenger car) Tj ET Q q 0 0 0 rg BT 189.13 662.80 Td (, light truck and utility vehicle. ) Tj ET Q q 0 0 0 rg BT 335.05 662.80 Td (The Company serves both automotive ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (original equipment manufacturers \("OEMs"\) and the general vehicle battery aftermarket. ) Tj ET Q q 0 0 0 rg BT 484.09 649.60 Td (The Company ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 636.40 Td (also supplies advanced battery technologies to power start-stop, hybrid and electric vehicles.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 596.80 Td (IV) Tj ET Q q 0 0 0 rg BT 63.38 596.80 Td (. ) Tj ET Q BT /F3 11.00 Tf ET 0 0 0 RG /GS0 gs 1.15 w 0 i [] 0 d 1 J 1 j 3 M 69.49560546875 595.057080078125 m 203.34326171875 595.057080078125 l s q 0 0 0 rg BT 69.50 596.80 Td (Supply ) Tj ET Q q 0 0 0 rg BT 109.22 596.80 Td (Chain ) Tj ET Q q 0 0 0 rg BT 142.83 596.80 Td (Description) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 570.40 Td (The Company is committed to the responsible sourcing of conflict minerals and is a member of the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 557.20 Td (Responsible Minerals Initiative \(RMI\), formerly the Conflict-Free Sourcing initiative \(CFSI\). Founded in ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (2008 by members of the Responsible Business ) Tj ET Q q 0 0 0 rg BT 286.35 544.00 Td (Alliance and the Global e-Sustainability Initiative, the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (RMI has grown into one of the most utilized and respected resources for companies from a range of ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 517.60 Td (industries addressing responsible mineral sourcing issues in their supply chains. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 491.20 Td (The Company encourages its suppliers to source from smelters or refiners that follow the Responsible ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 478.00 Td (Minerals ) Tj ET Q q 0 0 0 rg BT 98.02 478.00 Td (Assurance Process assessment protocols.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 451.60 Td (As a large multinational company) Tj ET Q q 0 0 0 rg BT 215.21 451.60 Td (, Johnson Controls has a complex, multi-tiered supply chain. ) Tj ET Q q 0 0 0 rg BT 514.60 451.60 Td (The ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 438.40 Td (products that the Company manufactures are typically highly engineered, complex and contain ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 425.20 Td (thousands of parts from a vast network of globally dispersed suppliers.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 398.80 Td (As a downstream consumer with many tiers in its supply chain, Johnson Controls generally does not ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 385.60 Td (have a direct relationship with smelters and refiners. ) Tj ET Q q 0 0 0 rg BT 310.59 385.60 Td (Thus, the Company must rely on its direct ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 372.40 Td (suppliers to provide information on the origin of any conflict minerals contained in the components and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 359.20 Td (parts supplied to it.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 319.60 Td (V) Tj ET Q q 0 0 0 rg BT 60.33 319.60 Td (. ) Tj ET Q BT /F3 11.00 Tf ET 0 0 0 RG /GS0 gs 1.15 w 0 i [] 0 d 1 J 1 j 3 M 66.439453125 317.857080078125 m 271.185546875 317.857080078125 l s q 0 0 0 rg BT 66.44 319.60 Td (Reasonable ) Tj ET Q q 0 0 0 rg BT 131.24 319.60 Td (Country ) Tj ET Q q 0 0 0 rg BT 176.46 319.60 Td (of ) Tj ET Q q 0 0 0 rg BT 189.90 319.60 Td (Original ) Tj ET Q q 0 0 0 rg BT 234.52 319.60 Td (Inquiry) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 293.20 Td (A. ) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 72.00 293.20 Td (Process Summary ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 266.80 Td (The Company) Tj ET Q q 0 0 0 rg BT 125.33 266.80 Td (s Reasonable Country of Origin Inquiry \(RCOI\) for calendar year 2017 was designed to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 253.60 Td (determine whether the conflict minerals necessary to the functionality or production of a product ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 240.40 Td (manufactured \(or contracted to be manufactured\) by the Company originated in the Covered Countries, ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 227.20 Td (or are from recycled or scrap sources. ) Tj ET Q q 0 0 0 rg BT 242.08 227.20 Td (The Company established a system of controls designed to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 214.00 Td (promote transparency over the conflict minerals in its supply chain. ) Tj ET Q q 0 0 0 rg BT 381.51 214.00 Td (The Company identified suppliers ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 200.80 Td (that were considered in-scope and subject to the RCOI \(In-Scope Suppliers\). ) Tj ET Q q 0 0 0 rg BT 437.76 200.80 Td (Through ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 187.60 Td (communications with these suppliers, the Company attempted to identify smelters and refiners of ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 174.40 Td (conflict minerals that may be utilized in its products.) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I2 Do Q endstream endobj 7 0 obj <> endobj 8 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 3 of 9) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 676.00 Td (Due to the complexity of the Company) Tj ET Q q 0 0 0 rg BT 242.73 676.00 Td (s supply chain, the Company relied on its first tier suppliers to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 662.80 Td (provide information on the origin of conflict minerals potentially present in components and parts. ) Tj ET Q q 0 0 0 rg BT 527.06 662.80 Td (The ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (Company gathers information from its suppliers regarding conflict minerals on an annual basis. In ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 636.40 Td (addition, the Company sent the RMI Conflict Minerals Reporting ) Tj ET Q q 0 0 0 rg BT 367.45 636.40 Td (T) Tj ET Q q 0 0 0 rg BT 372.95 636.40 Td (emplate \(CMR) Tj ET Q q 0 0 0 rg BT 447.32 636.40 Td (T\) to In-Scope ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 623.20 Td (Suppliers to gather information on the chain of custody of the conflict minerals potentially included in ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 610.00 Td (the Company) Tj ET Q q 0 0 0 rg BT 121.67 610.00 Td (s products. During 2017, depending on the business, the Company focused on the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 596.80 Td (following: high-spend suppliers, suppliers delivering a significant number of dif) Tj ET Q q 0 0 0 rg BT 432.90 596.80 Td (ferent parts and suppliers ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 583.60 Td (delivering products with high potential of having 3TG present in materials provided to the Company) Tj ET Q q 0 0 0 rg BT 533.78 583.60 Td (. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 557.20 Td (The Company elected to utilize, without alteration, the CMR) Tj ET Q q 0 0 0 rg BT 343.61 557.20 Td (T) Tj ET Q q 0 0 0 rg BT 349.11 557.20 Td (, as well as tracking tools to facilitate its ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (RCOI. ) Tj ET Q q 0 0 0 rg BT 87.41 544.00 Td (The questions on the CMR) Tj ET Q q 0 0 0 rg BT 218.06 544.00 Td (T) Tj ET Q q 0 0 0 rg BT 224.58 544.00 Td ( include, but are not limited to, the use of conflict minerals and their ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (necessity to product functionality or production, the origin of such conflict minerals, and whether ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 517.60 Td (smelters have been validated as RMI compliant. ) Tj ET Q q 0 0 0 rg BT 291.03 517.60 Td (The Company communicated with In-Scope Suppliers, ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 504.40 Td (notifying them of the RCOI, the Company) Tj ET Q q 0 0 0 rg BT 257.40 504.40 Td (s expectations of its suppliers, and provided instructions to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 491.20 Td (assist with the completion of the CMR) Tj ET Q q 0 0 0 rg BT 237.82 491.20 Td (T) Tj ET Q q 0 0 0 rg BT 243.32 491.20 Td (. In addition to the RCOI ef) Tj ET Q q 0 0 0 rg BT 376.42 491.20 Td (forts described above, the Company ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 478.00 Td (undertook the following measures to determine mine or country of origin:) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 451.60 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 451.60 Td (The Company considered the following supply base categories as in-scope for RCOI purposes: ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 438.40 Td (manufactured products and, products contracted to be manufactured.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 425.20 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 425.20 Td (The Company required each supplier deemed to be in-scope to provide information regarding ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 412.00 Td (the use of conflict minerals from their suppliers, who in turn, were expected and encouraged to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 398.80 Td (solicit that information from their next tier of suppliers.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 385.60 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 385.60 Td (The Company provided explanations and training to its suppliers regarding the relevant ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 372.40 Td (requirements of the Rule and its obligations under the Rule, and reiterated the Company) Tj ET Q q 0 0 0 rg BT 521.50 372.40 Td (s ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 359.20 Td (expectation that suppliers cooperate to support the Company) Tj ET Q q 0 0 0 rg BT 389.43 359.20 Td (s conflict minerals compliance ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 346.00 Td (ef) Tj ET Q q 0 0 0 rg BT 98.98 346.00 Td (forts. Refer to the Supplier Engagement and ) Tj ET Q q 0 0 0 rg BT 320.74 346.00 Td (T) Tj ET Q q 0 0 0 rg BT 327.05 346.00 Td (raining section of this report for more ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 332.80 Td (information. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 319.60 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 319.60 Td (The responses received from the Company) Tj ET Q q 0 0 0 rg BT 303.18 319.60 Td (s In-Scope Suppliers about the country of origin of ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 306.40 Td (any conflict minerals necessary to functionality or production were reviewed for accuracy and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 293.20 Td (completeness, and, if necessary) Tj ET Q q 0 0 0 rg BT 246.32 293.20 Td (, were flagged for additional follow up and/or due diligence.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 280.00 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 280.00 Td (Suppliers who sent incomplete or inconsistent responses were asked to review their responses ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 266.80 Td (and resubmit their surveys.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 227.20 Td (B. ) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 72.00 227.20 Td (RCOI Results) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 200.80 Td (There were 3,366 In-Scope Suppliers for calendar year 2017, which represented 40% of the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 187.60 Td (Company) Tj ET Q q 0 0 0 rg BT 103.32 187.60 Td (s total direct suppliers. During 2017 the Company sent communications to 97% of its In-) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 174.40 Td (Scope Suppliers, notifying them of the RCOI.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 148.00 Td (Of the In-Scope Suppliers surveyed, the overall response rate was 55%, including 1,340 responses that ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 134.80 Td (were received and accepted \(representing 41% of the suppliers surveyed\). ) Tj ET Q q 0 0 0 rg BT 422.51 134.80 Td (The Company considers a ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 121.60 Td (response as received and accepted when a completed CMR) Tj ET Q q 0 0 0 rg BT 347.91 121.60 Td (T) Tj ET Q q 0 0 0 rg BT 354.43 121.60 Td ( has been returned to the Company and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 108.40 Td (the CMR) Tj ET Q q 0 0 0 rg BT 97.20 108.40 Td (T) Tj ET Q q 0 0 0 rg BT 103.72 108.40 Td ( has been validated as accurate by its Compliance Specialists. Below are the results of the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 95.20 Td (RCOI survey:) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 82.00 Td ( ) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I3 Do Q endstream endobj 9 0 obj <> endobj 10 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 4 of 9) Tj ET Q 0.06666666666666667 0.047058823529411764 0.4588235294117647 rg /GS0 gs 75.00 683.50 461.00 -14.00 re f /GS0 gs 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 683.5 m 75 669.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 683.5 m 457 683.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 669.5 m 457 669.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 536 683.5 m 536 669.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 683.5 m 536 683.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 669.5 m 536 669.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 669.5 m 75 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 669.5 m 457 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 669.5 m 457 669.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 654.5 m 457 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 669.5 m 457 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 536 669.5 m 536 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 669.5 m 536 669.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 654.5 m 536 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 654.5 m 75 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 654.5 m 457 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 654.5 m 457 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 639.5 m 457 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 654.5 m 457 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 536 654.5 m 536 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 654.5 m 536 654.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 639.5 m 536 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 639.5 m 75 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 639.5 m 457 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 639.5 m 457 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 624.5 m 457 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 639.5 m 457 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 536 639.5 m 536 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 639.5 m 536 639.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 624.5 m 536 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 624.5 m 75 609.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 624.5 m 457 609.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 624.5 m 457 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 75 609.5 m 457 609.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 624.5 m 457 609.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 536 624.5 m 536 609.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 624.5 m 536 624.5 l s 0 0 0 RG /GS0 gs 1.00 w 0 i [] 0 d 0 J 0 j 3 M 457 609.5 m 536 609.5 l s BT /F3 11.00 Tf ET 0 Tr /GS0 gs 0 Tw 0 Tc 100 Tz 0 TL q 1 1 1 rg BT 249.95 672.99 Td (RCOI Survey Results) Tj ET Q BT /F2 11.00 Tf ET 0 Tr /GS0 gs 0 Tw 0 Tc 100 Tz 0 TL q 0 0 0 rg BT 77.50 658.99 Td (No 3TG) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 484.95 658.99 Td (75%) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 77.50 643.99 Td (Acknowledged 3TG Sourced from DRC \(Covered Countries\)) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 484.95 643.99 Td (10%) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 77.50 628.99 Td (Acknowledged 3TG Not Sourced from DRC) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 488.05 628.99 Td (7%) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 77.50 613.99 Td (3TG Origin Uncertain or Unknown) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 488.05 613.99 Td (8%) Tj ET Q BT /F1 10.00 Tf ET BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 570.40 Td (C. ) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 72.00 570.40 Td (Improvement Measures to Be T) Tj ET Q q 0 0 0 rg BT 234.40 570.40 Td (aken) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (The Company continues to look for ways to improve its processes and to mitigate any risk that conflict ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (minerals in its products could benefit armed groups in the Covered Countries. Specifically) Tj ET Q q 0 0 0 rg BT 487.90 530.80 Td (, the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 517.60 Td (Company is undertaking, and will continue to undertake, the following steps:) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 491.25 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 491.25 Td (Engage with those suppliers that have not responded to the Company) Tj ET Q q 0 0 0 rg BT 432.25 491.25 Td (s request for conflict ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 478.05 Td (minerals information;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 464.85 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 464.85 Td (Reconsider ) Tj ET Q q 0 0 0 rg BT 149.03 464.85 Td (supply ) Tj ET Q q 0 0 0 rg BT 184.21 464.85 Td (arrangements ) Tj ET Q q 0 0 0 rg BT 255.47 464.85 Td (and ) Tj ET Q q 0 0 0 rg BT 277.21 464.85 Td (potentially ) Tj ET Q q 0 0 0 rg BT 330.13 464.85 Td (implement ) Tj ET Q q 0 0 0 rg BT 384.25 464.85 Td (remedies ) Tj ET Q q 0 0 0 rg BT 432.88 464.85 Td (available ) Tj ET Q q 0 0 0 rg BT 479.69 464.85 Td (to ) Tj ET Q q 0 0 0 rg BT 492.25 464.85 Td (the ) Tj ET Q q 0 0 0 rg BT 510.93 464.85 Td (Company ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 451.65 Td (for ) Tj ET Q q 0 0 0 rg BT 106.59 451.65 Td (suppliers ) Tj ET Q q 0 0 0 rg BT 154.37 451.65 Td (that ) Tj ET Q q 0 0 0 rg BT 176.48 451.65 Td (refuse ) Tj ET Q q 0 0 0 rg BT 210.81 451.65 Td (to ) Tj ET Q q 0 0 0 rg BT 223.74 451.65 Td (cooperate ) Tj ET Q q 0 0 0 rg BT 276.42 451.65 Td (with ) Tj ET Q q 0 0 0 rg BT 299.74 451.65 Td (the ) Tj ET Q q 0 0 0 rg BT 318.79 451.65 Td (Company) Tj ET Q q 0 0 0 rg BT 368.11 451.65 Td (s ) Tj ET Q q 0 0 0 rg BT 377.37 451.65 Td (compliance ) Tj ET Q q 0 0 0 rg BT 436.77 451.65 Td (ef) Tj ET Q q 0 0 0 rg BT 445.74 451.65 Td (forts ) Tj ET Q q 0 0 0 rg BT 470.89 451.65 Td (or ) Tj ET Q q 0 0 0 rg BT 484.43 451.65 Td (do ) Tj ET Q q 0 0 0 rg BT 500.42 451.65 Td (not ) Tj ET Q q 0 0 0 rg BT 519.47 451.65 Td (conduct ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 438.45 Td (conflict-free ) Tj ET Q q 0 0 0 rg BT 149.91 438.45 Td (sourcing ) Tj ET Q q 0 0 0 rg BT 194.54 438.45 Td (from ) Tj ET Q q 0 0 0 rg BT 219.60 438.45 Td (Covered ) Tj ET Q q 0 0 0 rg BT 264.23 438.45 Td (Countries;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 425.25 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 425.25 Td (W) Tj ET Q q 0 0 0 rg BT 100.18 425.25 Td (ork ) Tj ET Q q 0 0 0 rg BT 118.18 425.25 Td (with ) Tj ET Q q 0 0 0 rg BT 140.46 425.25 Td (suppliers ) Tj ET Q q 0 0 0 rg BT 187.20 425.25 Td (to ) Tj ET Q q 0 0 0 rg BT 199.10 425.25 Td (educate ) Tj ET Q q 0 0 0 rg BT 240.96 425.25 Td (them ) Tj ET Q q 0 0 0 rg BT 268.13 425.25 Td (on ) Tj ET Q q 0 0 0 rg BT 283.09 425.25 Td (the ) Tj ET Q q 0 0 0 rg BT 301.10 425.25 Td (necessary ) Tj ET Q q 0 0 0 rg BT 353.95 425.25 Td (processes ) Tj ET Q q 0 0 0 rg BT 406.80 425.25 Td (they ) Tj ET Q q 0 0 0 rg BT 430.31 425.25 Td (need ) Tj ET Q q 0 0 0 rg BT 457.50 425.25 Td (to ) Tj ET Q q 0 0 0 rg BT 469.39 425.25 Td (undertake ) Tj ET Q q 0 0 0 rg BT 521.04 425.25 Td (in ) Tj ET Q q 0 0 0 rg BT 532.32 425.25 Td (order ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 412.05 Td (to ) Tj ET Q q 0 0 0 rg BT 102.23 412.05 Td (allow ) Tj ET Q q 0 0 0 rg BT 130.35 412.05 Td (them ) Tj ET Q q 0 0 0 rg BT 157.86 412.05 Td (to ) Tj ET Q q 0 0 0 rg BT 170.09 412.05 Td (assist ) Tj ET Q q 0 0 0 rg BT 201.27 412.05 Td (the ) Tj ET Q q 0 0 0 rg BT 219.62 412.05 Td (Company ) Tj ET Q q 0 0 0 rg BT 269.75 412.05 Td (in ) Tj ET Q q 0 0 0 rg BT 281.37 412.05 Td (its ) Tj ET Q q 0 0 0 rg BT 295.42 412.05 Td (compliance ) Tj ET Q q 0 0 0 rg BT 354.12 412.05 Td (process;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 398.85 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 398.85 Td (Continue devising and developing a strategy for managing and mitigating conflict minerals risk ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 385.65 Td (in the Company) Tj ET Q q 0 0 0 rg BT 169.29 385.65 Td (s supply chain; ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 372.45 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 372.45 Td (Continue training initiatives to increase the level of awareness within Johnson Controls and at ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 359.25 Td (its suppliers.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 319.65 Td (VI. ) Tj ET Q BT /F3 11.00 Tf ET 0 0 0 RG /GS0 gs 1.15 w 0 i [] 0 d 1 J 1 j 3 M 70.50537109375 317.907080078125 m 234.92529296875 317.907080078125 l s q 0 0 0 rg BT 70.51 319.65 Td (Conflict ) Tj ET Q q 0 0 0 rg BT 114.50 319.65 Td (Minerals ) Tj ET Q q 0 0 0 rg BT 162.18 319.65 Td (Due ) Tj ET Q q 0 0 0 rg BT 186.02 319.65 Td (Diligence) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 293.25 Td (A. ) Tj ET Q q 0 0 0 rg BT 68.06 293.25 Td ( ) Tj ET Q q 0 0 0 rg BT 71.11 293.25 Td (Compliance ) Tj ET Q q 0 0 0 rg BT 136.52 293.25 Td (Framework) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 54 265.281640625 m 216.60986328125 265.281640625 l s q 0 0 0 rg BT 54.00 266.85 Td (Framework Design and Overview) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 240.45 Td (The Company designed a compliance framework that conforms to the primary principles of the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 227.25 Td (internationally recognized due diligence framework developed by the OECD Guidance. ) Tj ET Q q 0 0 0 rg BT 478.77 227.25 Td (The Company) Tj ET Q q 0 0 0 rg BT 550.10 227.25 Td (s ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 214.05 Td (compliance framework included the following elements: 1\) establish strong company management ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 200.85 Td (systems; 2\) identify and assess risk in the supply chain; 3\) design and implement a strategy to respond ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 187.65 Td (to identified risks; 4\) access and use independent third-party audit of smelters/refiners) Tj ET Q q 0 0 0 rg BT 478.53 187.65 Td ( due diligence ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 174.45 Td (practices; and 5\) report annually on supply chain due diligence.) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I4 Do Q endstream endobj 11 0 obj <> endobj 12 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 5 of 9) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 676.00 Td (1. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 674.431640625 m 314.72509765625 674.431640625 l s q 0 0 0 rg BT 72.00 676.00 Td (Establish Strong Company Management Systems) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (Conflict Minerals Policy) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 623.20 Td (The Company is committed to the responsible sourcing of conflict minerals and it supports the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 610.00 Td (humanitarian goal of ending violent conflict in the Covered Countries. ) Tj ET Q q 0 0 0 rg BT 392.15 610.00 Td (Among other things, the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 596.80 Td (Company) Tj ET Q q 0 0 0 rg BT 103.32 596.80 Td (s corporate policy expresses that it continues to promote and encourage its suppliers to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 583.60 Td (conduct conflict-free sourcing from the Covered Countries, and to use responsible sourcing practices. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 570.40 Td (The Company expects its suppliers to conduct due diligence on their respective supply chains and to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 557.20 Td (assist the Company with compliance with these rules. ) Tj ET Q q 0 0 0 rg BT 320.36 557.20 Td (T) Tj ET Q q 0 0 0 rg BT 325.86 557.20 Td (o the extent that a supplier refuses to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (cooperate with the Company) Tj ET Q q 0 0 0 rg BT 196.27 544.00 Td (s compliance ef) Tj ET Q q 0 0 0 rg BT 272.50 544.00 Td (forts or does not conduct conflict-free sourcing from the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (Covered Countries, we may reconsider our supply arrangement and implement available remedies. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 517.60 Td (The Company) Tj ET Q q 0 0 0 rg BT 125.33 517.60 Td (s Conflict Minerals Policy Statement is publicly available on the Company) Tj ET Q q 0 0 0 rg BT 484.02 517.60 Td (s website at ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 54 502.831640625 m 433.6826171875 502.831640625 l s q 0 0 0 rg BT 54.00 504.40 Td (http://www) Tj ET Q q 0 0 0 rg BT 104.74 504.40 Td (.johnsoncontrols.com/corporate-sustainability/reporting-and-policies) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 464.80 Td (Internal Management System) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 438.40 Td (The Company maintains an internal management system, where senior management, having the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 425.20 Td (necessary expertise, knowledge and experience, oversees the supply chain country of origin inquiries ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 412.00 Td (and due diligence process. ) Tj ET Q q 0 0 0 rg BT 187.72 412.00 Td (The Company continues to seek ways to address risk in its supply chain ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 398.80 Td (process through initiatives that often involve stakeholder engagement or consultation with outside ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 385.60 Td (experts.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 359.20 Td (The Company maintains a Conflict Minerals Executive Steering Committee \(Steering Committee\) ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 346.00 Td (comprised of leaders from Procurement, Communications, Legal, Internal ) Tj ET Q q 0 0 0 rg BT 413.50 346.00 Td (Audit and Finance. ) Tj ET Q q 0 0 0 rg BT 508.08 346.00 Td (The ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 332.80 Td (Steering Committee reports to the Executive Committee, which consists of the Chairman and CEO and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 319.60 Td (his direct reports. ) Tj ET Q q 0 0 0 rg BT 141.22 319.60 Td (The Steering Committee oversees and supports the Company) Tj ET Q q 0 0 0 rg BT 445.51 319.60 Td (s conflict minerals ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 306.40 Td (compliance. ) Tj ET Q q 0 0 0 rg BT 115.55 306.40 Td (The Steering Committee meets on a regular basis to develop and monitor plans to comply ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 293.20 Td (with the reporting requirements of the Rule. ) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 253.60 Td (System of Controls and T) Tj ET Q q 0 0 0 rg BT 187.04 253.60 Td (ransparency) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 227.20 Td (Due to the complexity of the Company) Tj ET Q q 0 0 0 rg BT 242.73 227.20 Td (s supply chain, the Company relies on its first tier suppliers to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 214.00 Td (provide information on the origin of conflict minerals potentially present in materials supplied to the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 200.80 Td (Company) Tj ET Q q 0 0 0 rg BT 100.26 200.80 Td (. ) Tj ET Q q 0 0 0 rg BT 106.17 200.80 Td (The Company) Tj ET Q q 0 0 0 rg BT 177.51 200.80 Td (s RCOI and due diligence processes are designed to gather information on ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 187.60 Td (the chain of custody of the necessary conflict minerals potentially included in the Company) Tj ET Q q 0 0 0 rg BT 496.49 187.60 Td (s products. ) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 148.00 Td (Supplier Engagement and T) Tj ET Q q 0 0 0 rg BT 199.26 148.00 Td (raining) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 121.60 Td (The Company provides a conflict minerals presentation to its In-Scope Suppliers that summarizes the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 108.40 Td (relevant requirements of the Rule, the Company) Tj ET Q q 0 0 0 rg BT 290.42 108.40 Td (s obligations under the Rule, and reiterates the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 95.20 Td (Company) Tj ET Q q 0 0 0 rg BT 103.32 95.20 Td (s expectation that its suppliers cooperate to support conflict minerals compliance ef) Tj ET Q q 0 0 0 rg BT 507.28 95.20 Td (forts. ) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I5 Do Q endstream endobj 13 0 obj <> endobj 14 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 6 of 9) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 662.80 Td (The Company also provides the In-Scope Suppliers with instructions for responding to the survey and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (the Company) Tj ET Q q 0 0 0 rg BT 121.67 649.60 Td (s Compliance Specialists have scripts to help explain the Company) Tj ET Q q 0 0 0 rg BT 450.41 649.60 Td (s requests, and the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 636.40 Td (reason behind the requests. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 610.00 Td (The Company publicly shares its position statement on conflict minerals through its Conflict Minerals ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 596.80 Td (Policy Statement. In addition, as Johnson Controls renews or enters into new agreements with ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 583.60 Td (suppliers with products that may contain Conflict Minerals, the Company includes a conflict minerals ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 570.40 Td (compliance provision. ) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (Internal T) Tj ET Q q 0 0 0 rg BT 103.31 530.80 Td (raining) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 504.40 Td (The Company has a web-based training module in order to increase employee awareness and ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 491.20 Td (education about the relevant requirements of the Rule, Johnson Controls) Tj ET Q q 0 0 0 rg BT 410.09 491.20 Td ( obligations under the Rule, ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 478.00 Td (and the processes the Company uses to evaluate and respond to the risk of conflict minerals in our ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 464.80 Td (supply chain.) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 425.20 Td (Records Management) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 398.80 Td (The Company retains relevant conflict minerals documentation in accordance with its existing corporate ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 385.60 Td (retention policy and procedures.) Tj ET Q BT /F4 11.00 Tf ET q 0 0 0 rg BT 54.00 346.00 Td (Grievance Mechanism) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 319.60 Td (The Company maintains a web- and telephone-based, 24-hour Integrity Helpline \() Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 451.4501953125 318.031640625 m 478.96630859375 318.031640625 l s q 0 0 0 rg BT 451.45 319.60 Td (http://) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 54 304.831640625 m 357.875 304.831640625 l s q 0 0 0 rg BT 54.00 306.40 Td (www) Tj ET Q q 0 0 0 rg BT 77.22 306.40 Td (.johnsoncontrols.com/corporate-sustainability/governance) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 357.88 306.40 Td (\), providing any interested party with a ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 293.20 Td (confidential reporting mechanism to communicate concerns regarding the Company) Tj ET Q q 0 0 0 rg BT 464.07 293.20 Td (s supply chain. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 280.00 Td (Our internal specialists track information relative to Conflict Minerals via this mechanism.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 253.60 Td (2. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 252.03164062500002 m 289.67431640625 252.03164062500002 l s q 0 0 0 rg BT 72.00 253.60 Td (Identify and ) Tj ET Q q 0 0 0 rg BT 131.32 253.60 Td (Assess Risk in the Supply Chain) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 227.20 Td (The Company) Tj ET Q q 0 0 0 rg BT 125.33 227.20 Td (s RCOI was designed to determine whether the conflict minerals necessary to the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 214.00 Td (functionality or production of a product manufactured \(or contracted to be manufactured\) by the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 200.80 Td (Company originated in the Covered Countries, or were from recycled or scrap sources. ) Tj ET Q q 0 0 0 rg BT 479.32 200.80 Td (Through ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 187.60 Td (communications with these suppliers, the Company attempted to identify smelters and refiners of ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 174.40 Td (conflict minerals that may be utilized in its products.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 148.00 Td (The Company followed up, and continues to follow up, with suppliers who indicated that they might be ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 134.80 Td (sourcing conflict minerals from the Covered Countries in order to exercise due diligence on the source ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 121.60 Td (and chain of custody of the conflict minerals.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 95.20 Td (3. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 93.63164062500005 m 384.447265625 93.63164062500005 l s q 0 0 0 rg BT 72.00 95.20 Td (Design and Implement a Strategy to Respond to Identified Risks) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I6 Do Q endstream endobj 15 0 obj <> endobj 16 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 7 of 9) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 676.00 Td (Johnson Controls has established due diligence guidelines to be followed if the Company identifies a ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 662.80 Td (risk or red flag that a supplier sourced conflict minerals from the Covered Countries through a review of ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (the received CMR) Tj ET Q q 0 0 0 rg BT 141.83 649.60 Td (T) Tj ET Q q 0 0 0 rg BT 147.33 649.60 Td (. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 623.20 Td (Once an In-Scope Supplier identified in its CMR) Tj ET Q q 0 0 0 rg BT 286.75 623.20 Td (T) Tj ET Q q 0 0 0 rg BT 293.27 623.20 Td ( response that it might be sourcing conflict minerals ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 610.00 Td (from the Covered Countries, the Company initiated due diligence procedures to collect more detailed ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 596.80 Td (information from that supplier) Tj ET Q q 0 0 0 rg BT 195.85 596.80 Td (. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 570.40 Td (The Company created a shared listing of suppliers identified as using conflict minerals from a Covered ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 557.20 Td (Country as well as the indicated smelters. ) Tj ET Q q 0 0 0 rg BT 259.84 557.20 Td (This list was then compared to the RMI smelter database to ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (verify the accuracy of the supplier responses as well as the conflict minerals source. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 517.60 Td (In addition, the Company engaged with industry groups, including RMI. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 491.20 Td (4. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 489.631640625 m 495.68798828125 489.631640625 l s q 0 0 0 rg BT 72.00 491.20 Td (Carry Out Independent ) Tj ET Q q 0 0 0 rg BT 186.76 491.20 Td (Third-Party ) Tj ET Q q 0 0 0 rg BT 243.61 491.20 Td (Audit of Smelters/Refiners) Tj ET Q q 0 0 0 rg BT 375.86 491.20 Td ( Due Diligence Practices) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 464.80 Td (Johnson Controls supports independent third-party audits by being a member of RMI. ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 438.40 Td (The Company encourages its suppliers to source from smelters or refiners that are in compliance with ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 425.20 Td (the Responsible Minerals ) Tj ET Q q 0 0 0 rg BT 179.96 425.20 Td (Assurance Process assessment protocols.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 398.80 Td (The Company is a downstream consumer of conflict minerals and is many steps removed from the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 385.60 Td (mining of conflict minerals. ) Tj ET Q q 0 0 0 rg BT 186.46 385.60 Td (The Company does not purchase raw ore or unrefined conflict minerals, ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 372.40 Td (and, to the best of its knowledge, conducts no purchasing activities directly in the Covered Countries.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 346.00 Td (5. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 344.431640625 m 304.9765625 344.431640625 l s q 0 0 0 rg BT 72.00 346.00 Td (Report ) Tj ET Q q 0 0 0 rg BT 107.47 346.00 Td (Annually on Supply Chain Due Diligence) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 319.60 Td (This Report \(and the related Form SD\) was filed with the SEC and is available on the Company) Tj ET Q q 0 0 0 rg BT 519.08 319.60 Td (s ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 306.40 Td (website at:) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 106.5830078125 304.831640625 m 492.3779296875 304.831640625 l s q 0 0 0 rg BT 106.58 306.40 Td ( http://www) Tj ET Q q 0 0 0 rg BT 160.38 306.40 Td (.johnsoncontrols.com/corporate-sustainability/reporting-and-policies.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 266.80 Td (B. Due Diligence Results) Tj ET Q BT /F1 10.00 Tf ET q 0 0 0 rg BT 54.00 241.60 Td (1. ) Tj ET Q BT /F1 10.00 Tf ET BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 228.40 Td (1. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 226.83164062499998 m 454.08349609375 226.83164062499998 l s q 0 0 0 rg BT 72.00 228.40 Td (Facilities Used to Process Necessary 3TG Originating from Covered Countries) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 454.08 228.40 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 202.00 Td (The ) Tj ET Q q 0 0 0 rg BT 75.33 202.00 Td (RCOI, ) Tj ET Q q 0 0 0 rg BT 108.27 202.00 Td (including ) Tj ET Q q 0 0 0 rg BT 154.07 202.00 Td (the ) Tj ET Q q 0 0 0 rg BT 171.74 202.00 Td (use ) Tj ET Q q 0 0 0 rg BT 191.85 202.00 Td (of ) Tj ET Q q 0 0 0 rg BT 203.40 202.00 Td (the ) Tj ET Q q 0 0 0 rg BT 221.08 202.00 Td (CMR) Tj ET Q q 0 0 0 rg BT 245.93 202.00 Td (T) Tj ET Q q 0 0 0 rg BT 251.43 202.00 Td (, ) Tj ET Q q 0 0 0 rg BT 256.86 202.00 Td (and ) Tj ET Q q 0 0 0 rg BT 277.59 202.00 Td (the ) Tj ET Q q 0 0 0 rg BT 295.26 202.00 Td (Company) Tj ET Q q 0 0 0 rg BT 344.59 202.00 Td (s ) Tj ET Q q 0 0 0 rg BT 352.47 202.00 Td (due ) Tj ET Q q 0 0 0 rg BT 373.20 202.00 Td (diligence ) Tj ET Q q 0 0 0 rg BT 419.00 202.00 Td (ef) Tj ET Q q 0 0 0 rg BT 427.97 202.00 Td (forts ) Tj ET Q q 0 0 0 rg BT 451.74 202.00 Td (described ) Tj ET Q q 0 0 0 rg BT 501.82 202.00 Td (above ) Tj ET Q q 0 0 0 rg BT 534.17 202.00 Td (were ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 188.80 Td (designed ) Tj ET Q q 0 0 0 rg BT 100.45 188.80 Td (to ) Tj ET Q q 0 0 0 rg BT 111.43 188.80 Td (provide ) Tj ET Q q 0 0 0 rg BT 149.31 188.80 Td (the ) Tj ET Q q 0 0 0 rg BT 166.41 188.80 Td (Company ) Tj ET Q q 0 0 0 rg BT 215.29 188.80 Td (with ) Tj ET Q q 0 0 0 rg BT 236.66 188.80 Td (information ) Tj ET Q q 0 0 0 rg BT 292.88 188.80 Td (on ) Tj ET Q q 0 0 0 rg BT 306.92 188.80 Td (the ) Tj ET Q q 0 0 0 rg BT 324.01 188.80 Td (smelters ) Tj ET Q q 0 0 0 rg BT 367.38 188.80 Td (and ) Tj ET Q q 0 0 0 rg BT 387.53 188.80 Td (refiners ) Tj ET Q q 0 0 0 rg BT 426.02 188.80 Td (that ) Tj ET Q q 0 0 0 rg BT 446.17 188.80 Td (the ) Tj ET Q q 0 0 0 rg BT 463.27 188.80 Td (In-Scope ) Tj ET Q q 0 0 0 rg BT 509.10 188.80 Td (Suppliers, ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 175.60 Td (and ) Tj ET Q q 0 0 0 rg BT 75.64 175.60 Td (their ) Tj ET Q q 0 0 0 rg BT 100.32 175.60 Td (suppliers, ) Tj ET Q q 0 0 0 rg BT 150.69 175.60 Td (used ) Tj ET Q q 0 0 0 rg BT 177.83 175.60 Td (to ) Tj ET Q q 0 0 0 rg BT 190.29 175.60 Td (process ) Tj ET Q q 0 0 0 rg BT 232.09 175.60 Td (conflict ) Tj ET Q q 0 0 0 rg BT 269.61 175.60 Td (minerals ) Tj ET Q q 0 0 0 rg BT 314.46 175.60 Td (in ) Tj ET Q q 0 0 0 rg BT 326.31 175.60 Td (the ) Tj ET Q q 0 0 0 rg BT 344.89 175.60 Td (products ) Tj ET Q q 0 0 0 rg BT 390.36 175.60 Td (supplied ) Tj ET Q q 0 0 0 rg BT 434.63 175.60 Td (to ) Tj ET Q q 0 0 0 rg BT 447.09 175.60 Td (Johnson ) Tj ET Q q 0 0 0 rg BT 491.96 175.60 Td (Controls. ) Tj ET Q q 0 0 0 rg BT 539.05 175.60 Td (The ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 162.40 Td (Company ) Tj ET Q q 0 0 0 rg BT 104.38 162.40 Td (must ) Tj ET Q q 0 0 0 rg BT 131.51 162.40 Td (rely ) Tj ET Q q 0 0 0 rg BT 152.54 162.40 Td (on ) Tj ET Q q 0 0 0 rg BT 168.07 162.40 Td (responses ) Tj ET Q q 0 0 0 rg BT 222.12 162.40 Td (from ) Tj ET Q q 0 0 0 rg BT 247.42 162.40 Td (the ) Tj ET Q q 0 0 0 rg BT 266.01 162.40 Td (suppliers ) Tj ET Q q 0 0 0 rg BT 313.33 162.40 Td (in ) Tj ET Q q 0 0 0 rg BT 325.19 162.40 Td (order ) Tj ET Q q 0 0 0 rg BT 354.17 162.40 Td (to ) Tj ET Q q 0 0 0 rg BT 366.65 162.40 Td (determine ) Tj ET Q q 0 0 0 rg BT 418.86 162.40 Td (the ) Tj ET Q q 0 0 0 rg BT 437.45 162.40 Td (facilities ) Tj ET Q q 0 0 0 rg BT 479.87 162.40 Td (used ) Tj ET Q q 0 0 0 rg BT 507.03 162.40 Td (to ) Tj ET Q q 0 0 0 rg BT 519.50 162.40 Td (process ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 149.20 Td (conflict ) Tj ET Q q 0 0 0 rg BT 91.81 149.20 Td (minerals. ) Tj ET Q q 0 0 0 rg BT 140.00 149.20 Td (Similar ) Tj ET Q q 0 0 0 rg BT 177.19 149.20 Td (to ) Tj ET Q q 0 0 0 rg BT 189.93 149.20 Td (the ) Tj ET Q q 0 0 0 rg BT 208.80 149.20 Td (Company) Tj ET Q q 0 0 0 rg BT 255.06 149.20 Td (, ) Tj ET Q q 0 0 0 rg BT 261.69 149.20 Td (suppliers ) Tj ET Q q 0 0 0 rg BT 309.28 149.20 Td (generally ) Tj ET Q q 0 0 0 rg BT 357.49 149.20 Td (do ) Tj ET Q q 0 0 0 rg BT 373.30 149.20 Td (not ) Tj ET Q q 0 0 0 rg BT 392.16 149.20 Td (have ) Tj ET Q q 0 0 0 rg BT 419.59 149.20 Td (a ) Tj ET Q q 0 0 0 rg BT 429.28 149.20 Td (direct ) Tj ET Q q 0 0 0 rg BT 459.75 149.20 Td (relationship ) Tj ET Q q 0 0 0 rg BT 519.58 149.20 Td (with ) Tj ET Q q 0 0 0 rg BT 542.71 149.20 Td (the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 136.00 Td (facilities ) Tj ET Q q 0 0 0 rg BT 95.93 136.00 Td (used ) Tj ET Q q 0 0 0 rg BT 122.59 136.00 Td (to ) Tj ET Q q 0 0 0 rg BT 134.57 136.00 Td (process ) Tj ET Q q 0 0 0 rg BT 175.89 136.00 Td (conflict 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ET Q q 0 0 0 rg BT 371.61 122.80 Td (the ) Tj ET Q q 0 0 0 rg BT 389.94 122.80 Td (Company ) Tj ET Q q 0 0 0 rg BT 440.07 122.80 Td (does ) Tj ET Q q 0 0 0 rg BT 466.96 122.80 Td (not ) Tj ET Q q 0 0 0 rg BT 485.30 122.80 Td (know ) Tj ET Q q 0 0 0 rg BT 514.02 122.80 Td (as ) Tj ET Q q 0 0 0 rg BT 528.68 122.80 Td (of ) Tj ET Q q 0 0 0 rg BT 540.90 122.80 Td (this ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 109.60 Td (reporting ) Tj ET Q q 0 0 0 rg BT 99.50 109.60 Td (period ) Tj ET Q q 0 0 0 rg BT 132.16 109.60 Td (all ) Tj ET Q q 0 0 0 rg BT 145.24 109.60 Td (the ) Tj ET Q q 0 0 0 rg BT 162.62 109.60 Td (facilities ) Tj ET Q q 0 0 0 rg BT 203.82 109.60 Td (used ) Tj ET Q q 0 0 0 rg BT 229.75 109.60 Td (to ) Tj ET Q q 0 0 0 rg BT 241.01 109.60 Td (process, ) Tj ET Q q 0 0 0 rg BT 284.66 109.60 Td (or ) Tj ET Q q 0 0 0 rg BT 296.53 109.60 Td (the ) Tj ET Q q 0 0 0 rg BT 313.90 109.60 Td (country ) Tj ET Q q 0 0 0 rg BT 352.05 109.60 Td (of ) Tj ET Q q 0 0 0 rg BT 363.31 109.60 Td (origin ) Tj ET Q q 0 0 0 rg BT 392.29 109.60 Td (of, ) Tj ET Q q 0 0 0 rg BT 406.60 109.60 Td (all ) Tj ET Q q 0 0 0 rg BT 419.69 109.60 Td (the ) Tj ET Q q 0 0 0 rg BT 437.06 109.60 Td (conflict ) Tj ET Q q 0 0 0 rg BT 473.38 109.60 Td (minerals ) Tj ET Q q 0 0 0 rg BT 517.03 109.60 Td (included ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 96.40 Td (in ) Tj ET Q q 0 0 0 rg BT 65.62 96.40 Td (its ) Tj ET Q q 0 0 0 rg BT 79.67 96.40 Td (products.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 70.00 Td (Based ) Tj ET Q q 0 0 0 rg BT 87.68 70.00 Td (on ) Tj ET Q q 0 0 0 rg BT 102.41 70.00 Td (a ) Tj ET Q q 0 0 0 rg BT 111.02 70.00 Td (review ) Tj ET Q q 0 0 0 rg BT 145.29 70.00 Td (of ) Tj ET Q q 0 0 0 rg BT 156.96 70.00 Td (the ) Tj ET Q q 0 0 0 rg BT 174.74 70.00 Td (received ) Tj ET Q q 0 0 0 rg BT 218.81 70.00 Td (and ) Tj ET Q q 0 0 0 rg BT 239.65 70.00 Td (accepted ) Tj ET Q q 0 0 0 rg BT 286.79 70.00 Td (responses, ) Tj ET Q q 0 0 0 rg BT 343.08 70.00 Td (10% ) Tj ET Q q 0 0 0 rg BT 367.59 70.00 Td (of ) Tj ET Q q 0 0 0 rg BT 379.26 70.00 Td (the ) Tj ET Q q 0 0 0 rg BT 397.04 70.00 Td (suppliers ) Tj ET Q q 0 0 0 rg BT 443.55 70.00 Td (acknowledged ) Tj ET Q q 0 0 0 rg BT 516.37 70.00 Td (that ) Tj ET Q q 0 0 0 rg BT 537.21 70.00 Td (they ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 56.80 Td (sourced ) Tj ET Q q 0 0 0 rg BT 95.98 56.80 Td (3TG ) Tj ET Q q 0 0 0 rg BT 120.22 56.80 Td (from ) Tj ET Q q 0 0 0 rg BT 145.07 56.80 Td (the ) Tj ET Q q 0 0 0 rg BT 163.21 56.80 Td (Covered ) Tj ET Q q 0 0 0 rg BT 207.64 56.80 Td (Countries. ) Tj ET Q q 0 0 0 rg BT 260.06 56.80 Td (Approximately ) Tj ET Q q 0 0 0 rg BT 332.60 56.80 Td (half ) Tj ET Q q 0 0 0 rg BT 353.18 56.80 Td (of ) Tj ET Q q 0 0 0 rg BT 365.21 56.80 Td (the ) Tj ET Q q 0 0 0 rg BT 383.35 56.80 Td (responses ) Tj ET Q q 0 0 0 rg BT 436.95 56.80 Td (\(49%\) ) Tj ET Q q 0 0 0 rg BT 469.14 56.80 Td (indicated ) Tj ET Q q 0 0 0 rg BT 516.02 56.80 Td (that ) Tj ET Q q 0 0 0 rg BT 537.21 56.80 Td (they ) Tj ET Q /GS0 gs q 141.06 0 0 66.00 413.90 710.52 cm /I7 Do Q endstream endobj 17 0 obj <> endobj 18 0 obj <> stream BT /F1 10.00 Tf ET BT /F1 10.00 Tf ET BT /F2 10.00 Tf ET q 0 0 0 rg BT 280.40 42.25 Td (Page 8 of 9) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 676.00 Td (only ) Tj ET Q q 0 0 0 rg BT 80.23 676.00 Td (sourced ) Tj ET Q q 0 0 0 rg BT 125.41 676.00 Td (from ) Tj ET Q q 0 0 0 rg BT 153.45 676.00 Td (smelters ) Tj ET Q q 0 0 0 rg BT 201.06 676.00 Td (that ) Tj ET Q q 0 0 0 rg BT 225.46 676.00 Td (the ) Tj ET Q q 0 0 0 rg BT 246.79 676.00 Td (RMI ) Tj ET Q q 0 0 0 rg BT 273.00 676.00 Td (identifies ) Tj ET Q q 0 0 0 rg BT 322.47 676.00 Td (as ) Tj ET Q q 0 0 0 rg BT 340.13 676.00 Td (DRC ) Tj ET Q q 0 0 0 rg BT 370.01 676.00 Td (conflict ) Tj ET Q q 0 0 0 rg BT 410.29 676.00 Td (free. ) Tj ET Q q 0 0 0 rg BT 438.35 676.00 Td (None ) Tj ET Q q 0 0 0 rg BT 470.69 676.00 Td (of ) Tj ET Q q 0 0 0 rg BT 485.91 676.00 Td (the ) Tj ET Q q 0 0 0 rg BT 507.25 676.00 Td (responses ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 662.80 Td (acknowledged ) Tj ET Q q 0 0 0 rg BT 127.40 662.80 Td (that ) Tj ET Q q 0 0 0 rg BT 148.82 662.80 Td (3TG ) Tj ET Q q 0 0 0 rg BT 173.28 662.80 Td (was ) Tj ET Q q 0 0 0 rg BT 195.92 662.80 Td (sourced ) Tj ET Q q 0 0 0 rg BT 238.12 662.80 Td (from ) Tj ET Q q 0 0 0 rg BT 263.19 662.80 Td (smelters/mines ) Tj ET Q q 0 0 0 rg BT 340.22 662.80 Td (that ) Tj ET Q q 0 0 0 rg BT 361.64 662.80 Td (financed ) Tj ET Q q 0 0 0 rg BT 406.30 662.80 Td (or ) Tj ET Q q 0 0 0 rg BT 419.15 662.80 Td (benefited ) Tj ET Q q 0 0 0 rg BT 467.49 662.80 Td (armed ) Tj ET Q q 0 0 0 rg BT 501.74 662.80 Td (groups. ) Tj ET Q q 0 0 0 rg BT 541.50 662.80 Td (For ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 649.60 Td (the ) Tj ET Q q 0 0 0 rg BT 72.79 649.60 Td (remainder ) Tj ET Q q 0 0 0 rg BT 125.81 649.60 Td (\(51%\), ) Tj ET Q q 0 0 0 rg BT 161.71 649.60 Td (the ) Tj ET Q q 0 0 0 rg BT 180.50 649.60 Td (suppliers ) Tj ET Q q 0 0 0 rg BT 228.02 649.60 Td (were ) Tj ET Q q 0 0 0 rg BT 255.36 649.60 Td (not ) Tj ET Q q 0 0 0 rg BT 274.15 649.60 Td (able ) Tj ET Q q 0 0 0 rg BT 298.45 649.60 Td (to ) Tj ET Q q 0 0 0 rg BT 311.12 649.60 Td (determine ) Tj ET Q q 0 0 0 rg BT 363.54 649.60 Td (if ) Tj ET Q q 0 0 0 rg BT 372.54 649.60 Td (the ) Tj ET Q q 0 0 0 rg BT 391.33 649.60 Td (3TG ) Tj ET Q q 0 0 0 rg BT 416.22 649.60 Td (had ) Tj ET Q q 0 0 0 rg BT 438.07 649.60 Td (been ) Tj ET Q q 0 0 0 rg BT 466.04 649.60 Td (sourced ) Tj ET Q q 0 0 0 rg BT 508.68 649.60 Td (from ) Tj ET Q q 0 0 0 rg BT 534.18 649.60 Td (DRC ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 636.40 Td (smelters/mines ) Tj ET Q q 0 0 0 rg BT 131.02 636.40 Td (financing ) Tj ET Q q 0 0 0 rg BT 178.10 636.40 Td (or ) Tj ET Q q 0 0 0 rg BT 190.94 636.40 Td (benefiting ) Tj ET Q q 0 0 0 rg BT 241.70 636.40 Td (armed ) Tj ET Q q 0 0 0 rg BT 275.94 636.40 Td (groups.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 596.80 Td (2. ) Tj ET Q BT /F2 11.00 Tf ET 0 0 0 RG /GS0 gs 0.81 w 0 i [] 0 d 1 J 1 j 3 M 72 595.231640625 m 138.62841796875 595.231640625 l s q 0 0 0 rg BT 72.00 596.80 Td (Smelter Lists ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 570.40 Td (The Company compared the smelter lists provided in responses from its In-Scope Suppliers with the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 557.20 Td (RMI smelter database to determine which smelters the RMI identifies as DRC conflict free. ) Tj ET Q q 0 0 0 rg BT 499.47 557.20 Td (The ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (information provided by suppliers was used to conduct due diligence, including assessing reports for ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (completeness and consistency) Tj ET Q q 0 0 0 rg BT 202.99 530.80 Td (.) Tj ET Q BT /F3 11.00 Tf ET q 0 0 0 rg BT 54.00 491.20 Td (C. Risk Mitigation Measures) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 464.80 Td (In order to mitigate risk related to conflict minerals in Johnson Controls) Tj ET Q q 0 0 0 rg BT 399.02 464.80 Td ( supply chain, the Company) Tj ET Q q 0 0 0 rg BT 537.01 464.80 Td (s ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 451.60 Td (current processes and procedures include:) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 438.40 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 438.40 Td (Being a member of the RMI, which allows for the comparison of supplier responses to the RMI ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 425.20 Td (Smelter database to confirm the accuracy of supplier responses;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 412.00 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 412.00 Td (The Company) Tj ET Q q 0 0 0 rg BT 161.33 412.00 Td (s global terms and conditions of purchase to require suppliers to disclose to the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 398.80 Td (Company) Tj ET Q q 0 0 0 rg BT 136.26 398.80 Td (, in writing, the content and the origin of the conflict minerals in the materials and/or ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 385.60 Td (products they provide to the Company) Tj ET Q q 0 0 0 rg BT 275.07 385.60 Td (.) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 359.20 Td (In order to further mitigate the risk that conflict minerals in the supply chain benefited armed groups in ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 346.00 Td (the Covered Countries and to identify the origin of those minerals, the Company will continue to initiate ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 332.80 Td (ef) Tj ET Q q 0 0 0 rg BT 62.98 332.80 Td (forts to strengthen the response rate and the completeness of the surveys: ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 306.40 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 306.40 Td (By continuing to incentivize suppliers tracked with our performance scorecards to disclose to the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 293.20 Td (Company the origin of the conflict minerals in the materials and/or products they provide to the ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 280.00 Td (Company;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 266.80 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 266.80 Td (By directing suppliers to its corporate policy with respect to the sourcing of conflict minerals;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 253.60 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 253.60 Td (By following up with suppliers who indicated that they might be sourcing conflict minerals from ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 240.40 Td (the Covered Countries;) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 72.00 227.20 Td ( ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 227.20 Td (By working with relevant trade associations to define and improve best practices and build ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 90.00 214.00 Td (leverage over the supply chain in accordance with the OECD Guidance.) 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Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 544.00 Td (This Report includes forward-looking statements, within the meaning of the Private Securities Litigation ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 530.80 Td (Reform ) Tj ET Q q 0 0 0 rg BT 92.51 530.80 Td (Act of 1995, that involve risks and uncertainties. Forward-looking statements provide current ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 517.60 Td (expectations of future events based on certain assumptions and include any statement that does not ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 504.40 Td (directly relate to any historical or current fact. Forward-looking statements can also be identified by ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 491.20 Td (words such as expects, plans, intends, will, may) Tj ET Q q 0 0 0 rg BT 319.70 491.20 Td (, and similar terms. Forward-looking statements ) Tj ET Q BT /F2 11.00 Tf ET q 0 0 0 rg BT 54.00 478.00 Td (are not guarantees of future performance. 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