0001104659-20-067278.txt : 20200529 0001104659-20-067278.hdr.sgml : 20200529 20200529060120 ACCESSION NUMBER: 0001104659-20-067278 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 3 13p-1 1.01 20191231 1.02 20191231 FILED AS OF DATE: 20200529 DATE AS OF CHANGE: 20200529 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AVNET INC CENTRAL INDEX KEY: 0000008858 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-ELECTRONIC PARTS & EQUIPMENT, NEC [5065] IRS NUMBER: 111890605 STATE OF INCORPORATION: NY FISCAL YEAR END: 0627 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-04224 FILM NUMBER: 20923920 BUSINESS ADDRESS: STREET 1: 2211 SOUTH 47TH STREET CITY: PHOENIX STATE: AZ ZIP: 85034 BUSINESS PHONE: 4806432000 MAIL ADDRESS: STREET 1: 2211 SOUTH 47TH STREET CITY: PHOENIX STATE: AZ ZIP: 85034 SD 1 a20-21055_1sd.htm SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM SD

 

SPECIALIZED DISCLOSURE REPORT

 


 

AVNET, INC.

(Exact name of registrant as specified in its charter)

 

New York

 

1-4224

 

11-1890605

(State or other jurisdiction

 

(Commission File Number)

 

(IRS Employer

of incorporation or organization)

 

 

 

Identification No.)

 

2211 South 47th Street, Phoenix, Arizona

 

85034

(Address of principal executive offices)

 

(Zip Code)

 

Joy Newborg

Associate General Counsel

(480) 643-2000

(Name and telephone number, including area code,

of the person to contact in connection with this report)

 


 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

x               Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.

 

 

 


 

Section 1 — Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

This Specialized Disclosure Report on Form SD and the Conflict Minerals Report, filed as Exhibit 1.01, is filed by Avnet, Inc. (collectively with its consolidated subsidiaries, the “Company”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Conflict Minerals Rule”), for the calendar year ended December 31, 2019, and is posted on the Company’s website at https://www.avnet.com/wps/portal/us/about-avnet/human-rights/conflict-minerals. Information contained on, or accessible through, the Company’s website is neither part of nor incorporated by reference into this Report.

 

Item 1.02 Exhibit

 

The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.

 

Section 2 — Exhibits

 

Item 2.01 Exhibits

 

Exhibit
Number

 

Description

 

 

 

1.01

 

Conflict Minerals Report for the calendar year ended December 31, 2019.

 

1


 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

Date: May 29, 2020

By:

/s/ Thomas Liguori

 

Thomas Liguori

 

Chief Financial officer

 

2


EX-1.01 2 a20-21055_1ex1d01.htm EX-1.01

Exhibit 1.01

 

 

CONFLICT MINERALS REPORT

 

For the Reporting Period from January 1 to December 31, 2019

 

Introduction

 

This is the Conflict Minerals Report of Avnet, Inc. for the calendar year 2019 (“Report”), which has been filed as an exhibit to the Company’s Form SD as provided for in Rule 13p-1 under the Securities Exchange Act of 1934 (the “Conflict Minerals Rule”) and is posted on the Company’s website at https://www.avnet.com/wps/portal/us/about-avnet/human-rights/conflict-minerals. Information contained on, or accessible through, the Company’s website is neither part of nor incorporated by reference into this Report. The date of filing of this Report is May 29, 2020.

 

References in this Report to “the Company,” “Avnet,” “we,” “our,” or “us” means Avnet, Inc. together with its subsidiaries, except where the context otherwise requires.

 

Applicability of the Conflict Minerals Rule to Avnet

 

Avnet is a global technology solutions provider with an extensive ecosystem delivering design, product, marketing and supply chain expertise for customers at every stage of the product lifecycle. Avnet transforms ideas into intelligent solutions, reducing the time, cost and complexities of bringing products to market. A core part of its business is as a global value-added distributor of electronic components and embedded subsystems. It generates revenues from the distribution and sale of electronic components including semiconductors, interconnect, passive and eletromechanical (IP&E) devices and other integrated electronic components from the world’s leading electronic component manufacturers. It creates a vital link in the technology supply chain that connects such manufacturers with a global customer base of original equipment manufacturers, electronic manufacturing services providers and original design manufacturers. Avnet also sells integrated solutions including the assembly or manufacture of embedded electronic component products and systems, touch and passive displays and standard or specialized boards.

 

The Conflict Minerals Rule requires that the Company disclose in an annual Form SD and associated Conflict Minerals Report information regarding any conflict minerals that are “necessary to the functionality or production” of any product that it manufactures or contracts to be manufactured. The Securities and Exchange Commission (“SEC”) defines conflict minerals as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten (collectively, “CMs”). The Democratic Republic of Congo and its adjoining countries have extensive reserves of CMs, some of which are illegally sourced and traded by armed groups who are responsible for significant human rights violations. The purpose of the Conflict Minerals Rule is to encourage companies whose products contain CMs to endeavor to source from suppliers who do not directly or indirectly support such armed groups through their purchasing decisions. The term CM refers to the named minerals and their derivatives, and does not infer that the procurement of such minerals or derivatives directly or indirectly financed or benefitted armed groups in the Democratic Republic of Congo or an adjoining country. CMs are used in many electronic components and computer products.

 

Avnet’s revenues for 2019 were largely from distribution and services that were not in-scope for purposes of compliance with the Conflict Minerals Rule. However, it manufactured or contracted to manufacture certain products in which CMs were necessary to the functionality or production of those products during 2019 (collectively, “Covered Products”). Therefore, the Company conducted a reasonable country of origin inquiry (“RCOI”), in good faith, to determine whether any of the CMs in the Covered Products: (1) originated in the Democratic Republic of Congo or an adjoining country, including Angola, Burundi, Central African Republic, Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia (collectively, the “Covered Countries”); or (2) are from recycled or scrap sources. Please see “Conflict Minerals Program — Reasonable Country of Origin Inquiry” for more information on the RCOI.

 

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The Company conducted further due diligence on the source and chain of custody of such CMs that conformed, in all material respects, to an internationally recognized due diligence framework as required by the Conflict Minerals Rule. Please see “Conflict Minerals Program — Design of Conflict Minerals Program” for more information on the design of the due diligence program and “Conflict Minerals Program — Due Diligence Efforts” for more information on the due diligence conducted.

 

Avnet is a downstream consumer of CMs. It does not purchase the necessary CMs contained in its Covered Products directly from mines, smelters or refiners and is generally many levels removed from such market participants. Through the efforts described in this Report, Avnet seeks to ensure that its sourcing practices are consistent with its Conflict Minerals Policy and to encourage conflict free sourcing in its supply chain.

 

Conflict Minerals Policy

 

Avnet is committed to responsible sourcing of CMs and promotes traceability of CMs and transparency of the supply chain. The Company has actively engaged with its customers and suppliers for several years with respect to the use of CMs. In furtherance of this, Avnet has adopted a Conflict Minerals Policy, which has been communicated to Avnet’s suppliers and the public. The policy includes the following:

 

As a global value-added distributor of electronic components and embedded subsystems, Avnet promotes the traceability of these minerals and the transparency of the supply chain. Avnet firmly believes that its customers should be fully informed about the products they purchase. While Avnet, as a distributor, is not able to certify as to the country of origin of the minerals contained in the products manufactured by Avnet’s suppliers, Avnet is committed to working with its customers to supply products that meet the customer’s specifications.

 

With respect to those limited aspects of Avnet’s business that manufacture or contract to manufacture products that contain conflict minerals that are necessary to the functionality or production of the product, Avnet does not directly purchase any conflict minerals from any source and endeavors not to purchase products that contain conflict minerals that directly or indirectly finance or benefit armed groups in the [Democratic Republic of the Congo] or adjoining countries. Avnet expects its suppliers to these aspects of its business to only source minerals from responsible sources and provide Avnet with proper verification of the country of origin and source of the materials used in the products they supply to it. Avnet fully understands the importance of this issue to its customers and is committed to supply chain initiatives and overall corporate social responsibility and sustainability efforts that work towards a conflict free supply chain. Avnet is encouraging all of its suppliers to likewise support these efforts and make information on the origin of their product components easily accessible on their websites.

 

The Conflict Minerals Policy is available on the Company’s website at https://www.avnet.com/wps/portal/us/about-avnet/human-rights/conflict-minerals.

 

Conflict Minerals Program

 

Design of Conflict Minerals Program

 

Avnet’s 2019 Conflict Minerals Program (“2019 Program”) utilized the internationally recognized framework The Organization for Economic Co-Operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Framework”) to develop its process to identify the country of origin and chain of custody of the CMs.

 

As Avnet does not purchase CMs directly from any mine, refiner or smelter, its supply chain with respect to the CMs in its Covered Products is highly complex and there are many parties in the supply chain between Avnet’s direct supplier

 

2


 

and the mine from which the CM originated. Due to the Company’s “downstream” position in the supply chain, it followed the principles outlined in the OECD Framework for downstream companies with no direct relationships to smelters or refiners. Therefore, Avnet must rely, in good faith, on its direct suppliers to provide it with information regarding the country of origin and chain of custody of the CMs included in the Covered Products and on third-party audit programs. It is likely that years of engagement and propagation of expectations through many tiers of the supply chain will be necessary before information returned to downstream companies, such as Avnet, may be considered accurate and complete.

 

Covered Products

 

Avnet determined that the following products it manufactured or contracted to manufacture in 2019 contained CMs necessary to the functionality or production of those products, which are referred to as the Covered Products:

 

·                  Design Kits manufactured or contracted to be manufactured by Avnet, Inc. and Avnet Silica

 

·                  Development boards manufactured or contracted to be manufactured by Avnet Silica and EBV

 

·                  Development boards, hardware and accessories manufactured or contracted to be manufactured by Shenzhen Embest Technology

 

·                  Development boards and display solutions manufactured or contracted to be manufactured by MSC Technologies

 

·                  Electromechanical solutions manufactured or contracted to be manufactured by DEM Manufacturing

 

Covered Products do not include products that were not entered into the stream of commerce in 2019, and do not include products manufactured or contracted to be manufactured by entities acquired by Avnet after April 2019, as provided by the Conflict Minerals Rule.

 

Reasonable Country of Origin Inquiry

 

Pursuant to the Conflict Minerals Rule, Avnet conducted a RCOI on the source and chain of custody of the CMs in its Covered Products, to determine whether any of the necessary CMs in its Covered Products originated in any of the Covered Countries and may not have come from recycled or scrap sources. To the extent applicable, Avnet conducted its RCOI utilizing the same processes and procedures that it established for conducting its due diligence, in particular Steps 1 and 2 of the OECD Framework, which are described under “Due Diligence Efforts” below.

 

The 2019 RCOI included 137 suppliers (“Suppliers”) that Avnet identified as possibly providing it with components, parts or products that contained the necessary CMs for its Covered Products. These Suppliers identified smelters and refiners that may have processed the necessary CMs contained in the Covered Products. Such smelters and refiners were compared against the Smelter Look-up tab of the Conflict Minerals Reporting Template (“CMRT”) and the list of “conformant” smelters and refiners and country of origin information published by the Responsible Business Alliance’s (“RBA”) Responsible Minerals Initiative (“RMI”) to validate the smelters and refiners, which validated facilities are listed in Appendix A, and to determine the countries from where such validated facilities may have obtained CMs, which countries are listed in Appendix B. For this process, Avnet utilized the data its Suppliers provided on their CMRTs version 5.12 or higher along with RMI’s due diligence of smelters and refiners and audits under the Responsible Minerals Assurance Process (“RMAP”) standard. The RMAP uses an independent third-party audit of smelter and refiner management systems and sourcing practices to validate conformance with RMAP protocols and current global standards.

 

The Company retained Assent Compliance (“Assent”), a third-party service provider, to assist in the collection and review of Supplier CMRTs and the identification of risks in the supply chain. During the 2019 RCOI, Avnet contacted Suppliers via the Assent Compliance Manager (“ACM”), a software-as-a-service platform that enables users to manage and track supplier communications and allows suppliers to upload completed CMRTs directly to the platform for validation, assessment and management. ACM provides functionality that meets the OECD Framework process expectations by evaluating the quality of each Supplier’s response and assigning a health score based on the Supplier’s declaration of process engagement. Additionally, the results provided in this Report, as well as the step-by-step process for Supplier engagement and upstream due diligence investigations performed, are managed through ACM.

 

3


 

Avnet requested that all Suppliers complete a CMRT. On behalf of Avnet, Assent offered training and educational resources to Suppliers to guide them on best practices, completion of a CMRT and the use of  the ACM platform. Avnet monitored and tracked all communications in ACM for future reporting and transparency. If a Supplier remained unresponsive after three requests through ACM, Avnet directly followed-up with such Supplier.

 

Supplier CMRTs are subjected to an automated data validation process, with the goal to increase the completeness and accuracy of submissions and identify any contradictory answers in a CMRT. This data validation process is based on questions within the declaration tab of the CMRT, which helps to identify areas that require further classification or risk assessment as well as to understand the due diligence efforts of the Suppliers. Data validation contributes to the health assessment of Avnet’s Conflict Minerals Program, and the results are shared with Suppliers regarding areas that require clarification or improvement.

 

Submitted Supplier CMRTs are accepted and classified as either valid or invalid. If a Supplier’s CMRT is classified as invalid, the Supplier is provided feedback and guidance on how to correct the validation errors and requested to re-submit a valid CMRT. In addition, Suppliers are provided training courses and direct engagement help through Assent’s multilingual Supplier Experience team.

 

Due Diligence Efforts

 

Based on the findings of the 2019 RCOI, pursuant to the Conflict Minerals Rule, Avnet conducted further due diligence on the source and chain of custody of the CMs in its Covered Products. The Company designed its due diligence measures to conform, in all material respects, with the OECD Framework, which contains a five-step structure for due diligence as a basis for responsible global supply chain management of CMs from conflict-affected and high-risk areas.

 

1.     Establish strong company management systems

 

·                  Avnet has a governance team and a working team to carry out its Conflict Minerals Program. The governance team is responsible for ensuring that the program meets regulatory requirements and enterprise goals and provides direction to the working team. The working team is responsible for the day-to-day execution of the program, diligence efforts and risk mitigation strategy.

 

·                  Avnet utilizes a third-party service provider, Assent, to assist with collecting and evaluating supply chain information, identifying potential risks and developing additional due diligence steps. Please see “Conflict Minerals Program — Reasonable Country of Origin Inquiry” for more information on the utilization of Assent and its software platform ACM.

 

·                  Avnet has a Conflict Minerals Policy, as discussed earlier in this Report. Pursuant to this policy, Avnet expects its Suppliers to only source CMs from responsible sources and to provide proper verification of the country of origin and source of the materials used in the products they supply to Avnet. Suppliers either receive a copy of the policy or are notified of this policy. In addition, the policy is posted on Avnet’s website.

 

·                  Avnet seeks to include CM related provisions in new or amended supplier agreements with respect to the Covered Products. Its current form of supplier agreement contains a CM provision that requires a Supplier to warrant that any products it supplies containing CMs either does not finance or benefit armed groups in the Covered Countries or are from recycled or scrap sources.

 

·                  Avnet utilizes the current CMRT version developed by RMI to identify smelters and refiners in its supply chain. The CMRT requires Suppliers to provide information concerning the usage and source of CMs in their components, parts and products, as well as information concerning their related compliance efforts, including whether they have a policy on conflict-free sourcing and required their own suppliers to source CMs from responsible sources.

 

4


 

·                  By utilizing Assent, Avnet provides its Suppliers access to a free platform to upload their CMRTs, help desk support, educational resources on how to properly complete and submit a CMRT, and other multilingual resources.

 

·                  Employees, vendors, suppliers, customers and any third-party can confidentially report concerns regarding Avnet’s business operations, including compliance with the Conflict Minerals Policy, through the Ethics Alertline, via phone or internet. Violations or grievances at the industry level can be reported to the RMI directly at http://responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/.

 

·                  Avnet has a document retention policy to retain CM related documents, including supplier responses to CMRTs and the sources identified within each reporting period, for at least five years.

 

2.     Identify and assess risk in the supply chain

 

·                  Avnet identifies the business segments that manufacture or contract to manufacture products reasonably believed to contain CMs and determine the Covered Products subject to the Conflict Minerals Rule. As a global value-added distributor, a significant percentage of Avnet’s operations are out of scope of the Conflict Minerals Rule.

 

·                  Avnet identifies the active suppliers of materials, components, parts and products that may contain CMs for the Covered Products, and each Supplier is requested to complete the then latest revision of the CMRT. Avnet expects its direct Suppliers to survey their suppliers.

 

·                  Supplier level risks include non-responsive suppliers. Avnet tracks receipt of Supplier CMRTs, and if a Supplier remains unresponsive after three requests through the ACM platform, Avnet directly follows-up with such Supplier. Follow-up with non-responsive Suppliers continued into 2020.

 

·                  Submitted CMRTs go through a data validation process to evaluate responses for plausibility, completion and consistency to lower the risks associated with Supplier CMRT content and for predetermined red flag indicators defined in the OECD Framework to identify risks to the supply chain posed by smelters. To the extent that a CMRT is incomplete, invalid or other relevant information is not provided by a Supplier, follow-up procedures are undertaken to request compliance and to offer feedback, guidance and educational resources. Follow-up with such Suppliers continued into 2020.

 

·                  Based on a Supplier’s submitted CMRT, the strength of a Supplier’s related compliance efforts, including whether it has a conflict minerals sourcing policy or implements due diligence measures for conflict free sourcing, is evaluated, tracked and rated as either weak or strong.

 

·                  Supplier level risks also include Supplier CMRTs that are based on company-level information versus Covered Product-level information. Suppliers may have been over-inclusive further if their suppliers provide information on a company-level basis and under-inclusive if Suppliers experience non-responsive suppliers or incomplete supplier CMRTs. Therefore, the Company is unable to determine if the smelters and refiners listed in Appendix A were all utilized or is a complete list of smelters and refiners utilized for CMs in the Covered Products.

 

·                  Smelters and refiners identified in the CMRTs are compared against the Smelter Look-up tab of the CMRT and the list of Conformant smelters and refiners and country of origin information published by the RMI to determine if the smelter had been audited against a standard in conformance with the OECD Framework, such as RMAP. If a smelter’s due diligence practices have not been audited against the RMAP standard or the smelter is considered non-conformant by RMAP, Assent conducts follow-ups with suppliers reporting those facilities and the facilities are assessed for potential sourcing risks.

 

5


 

3.     Design and implementation of a strategy to respond to identified risks

 

·                  Avnet has a risk management plan through which the Conflict Minerals Program is implemented, managed and monitored. The plan includes processes to assess and respond to the risks identified in the supply chain, which are described in more detail under “Due Diligence Efforts — 2. Identify and assess risk in the supply chain”.

 

·                  Working team leaders monitor and report on risk to certain members of senior management.

 

·                  Avnet’s Conflict Minerals Policy publicly announces its expectations that Suppliers participate in Avnet’s due diligence process by providing proper verification of the country of origin and source of the materials used in the Covered Products they supply to Avnet. The policy also states that Suppliers are expected to only source CMs from responsible sources.

 

·                  Avnet seeks to include CM related provisions in new or amended supplier agreements with respect to the Covered Products and include CM related due diligence in acquisition activities.

 

·                  Avnet works with Suppliers on an as-needed basis to assist them with understanding the requirements of the Conflict Minerals Rule. Avnet also offers, through Assent, training and educational resources to Suppliers to guide them on best practices, completion of a CMRT and the use of  the ACM platform.

 

·                  Avnet has processes in place for new product introductions and changes to the bill of materials for the Covered Products to help ensure compliance with the Conflict Minerals Program.

 

·                  Employees, vendors, suppliers, customers and any third-party can confidentially report concerns regarding Avnet’s business operations, including compliance with the Conflict Minerals Policy, through the Ethics Alertline, via phone or internet.

 

4.     Carry out independent third-party audit of supply chain due diligence

 

·                  As Avnet is a downstream consumer of CMs and is generally many steps removed from smelters and refiners which provide minerals and ores, Avnet is not positioned to conduct direct audits of smelters and refiners’ due diligence practices. Instead, it relies on initiatives such as those led by RBA, including RMI, to conduct smelter and refinery due diligence audits.

 

5.     Report annually on supply chain due diligence

 

·                  Avnet annually files a Form SD and a Conflict Minerals Report with the SEC and makes them available to the public on its website at https://www.avnet.com/wps/portal/us/about-avnet/human-rights/conflict-minerals.

 

Results of 2019 Conflict Minerals Program

 

As a downstream purchaser of components, parts and products that may contain CMs, Avnet’s 2019 Program can provide only reasonable, but not absolute, assurance regarding the country of origin and chain of custody of the necessary CMs in its Covered Products.

 

The due diligence process is based on Avnet requesting information from its direct Suppliers, with those Suppliers requesting similar information from their suppliers and so on, up the supply chain, to eventually identify the original sources of the necessary CMs. However, those who purchase CMs directly from smelters or refiners may not be able to discern which of its product lines include specific CMs from each smelter or refiner, and so it is common practice for such purchasers to list all smelters and  refiners they may purchase from within the reporting period. Likewise, Suppliers’ CMRTs provided information at the company level, with none at the product level, and Suppliers may have received similar information from their suppliers and so on. Therefore, Avnet must rely, in good faith, on its direct Suppliers to provide it with valid and complete information. Finally, not all Suppliers completed CMRTs or completed CMRTs in full for the 2019 Program.

 

For the 2019 Program, 137 Suppliers were identified, of which 110 (or 80.3%) submitted a completed CMRT. This was an improvement from the 2018 program where 77.4% of Suppliers submitted a completed CMRT.

 

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CMRT Results

 

Year of Program

 

Suppliers in Scope

 

% Completed CMRTs

 

% Valid CMRTs

 

2019

 

137

 

80.3

%

76.6

%

 

Of the 137 Suppliers, 93 (or 67.9%) had conflict minerals compliance programs and policies which were rated as strong.

 

The 305 legitimate smelters and refiners identified by Suppliers in completed CMRTs, which appear on the RMI-maintained smelters list, are listed in Appendix A. Based on the limitations explained above, this list may be more comprehensive than the list of smelters and refiners which actually processed the CMs contained in the Covered Products. The below table summarizes the number of such legitimate smelters and refiners which have been audited, are in the process of being audited, or not enrolled to be audited by RMI utilizing the RMAP standard as well as audit results.

 

Smelter and Refiner Audit Status Results (1)

 

RMI Audit Status

 

Legitimate Smelters and Refiners

 

RMI Conformant (2)

 

235

 

77.0

%

RMI Non-Conformant

 

7

 

2.3

%

RMI Active (3)

 

7

 

2.3

%

Not Enrolled

 

56

 

18.4

%

Total

 

305

 

100

%

 


(1) The compliance status information provided in the table is based solely on information made available by RMI, without independent verification by the Company.

 

(2) Smelter or refiner has completed the annual audit process and has been verified to have conflict-free sources.

 

(3) Smelter or refiner is in the process of being audited or has committed to begin the audit process.

 

The aggregated list of countries of origin from which the reported smelters and refiners may have collectively sourced CMs, based on information provided through the CMRT data collection process and RMAP audits, is provided in Appendix B. Based on the limitations explained above, this list may be more comprehensive than the list of countries from which CMs contained in the Covered Products were actually sourced.

 

After conducting its 2019 Program, and in light of the limitations explained above, Avnet concludes that it is unable to determine the origin of the CMs contained in its Covered Products and unable to determine whether its Covered Products are DRC conflict free.

 

Steps to be taken in Calendar 2020

 

As Avnet endeavors not to purchase products that contain CMs that directly or indirectly finance or benefit armed groups in the Covered Countries, and in order to mitigate the risk of purchasing such products, it has continued with its Conflict Minerals Program discussed above during calendar year 2020 and specifically plans to pursue the following steps and improvements:

 

·                  Continue to engage with Suppliers that provided incomplete responses or no responses for 2019 to help encourage them to provide requested information for 2020.

 

·                  For Suppliers whose conflict minerals compliance programs and policies are deemed weak, to follow-up with such Suppliers to encourage them to improve their efforts and policies.

 

·                  For new in-scope suppliers, to communicate Avnet’s sourcing expectations, including through the dissemination of the Conflict Minerals Policy and inclusion of CM sourcing requirements in supplier agreements, and provide

 

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access to training and educational resources on the requirements of the Conflict Minerals Rule and to guide them on best practices, completion of a CMRT and the use of  the ACM platform

 

·                  Proactively analyze whether any CMs are present in future products that it develops or in existing products to the extent the materials included in such existing products are revised.

 

·                  Proactively seek to include CM related provisions in new or amended supplier agreements with respect to the Covered Products.

 

·                  Continue to monitor its Ethics Alertline for issues related to the Company’s conflict minerals program.

 

Cautionary Statement about Forward-Looking Statements

 

Certain statements in this Report may be “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. Words such as “expects,” “intends,” “plans,” “believes,” “anticipates” and similar expressions, or the use of future tense, are used to identify these forward-looking statements. Examples of forward-looking statements include statements relating to the Company’s future plans, additional steps it intends to take to mitigate the risk that the Company’s necessary CMs benefit armed groups and other statements that do not relate to historical or current facts.

 

Forward-looking statements are based on the Company’s current expectations and assumptions, which may not prove to be accurate. These statements are not guarantees and are subject to risks, uncertainties and changes in circumstances that are difficult to predict, including: (1) the continued implementation of satisfactory traceability and other compliance measures by Avnet’s direct and indirect suppliers on a timely basis or at all, (2) whether smelters, refiners and other market participants responsibly source CMs and (3) political and regulatory developments regarding CMs. Actual outcomes and results may differ materially from these forward-looking statements. As a result, these statements speak only as of the date they are made and the Company undertakes no obligation to update or revise any forward-looking statement, except as required by federal securities law.

 

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APPENDIX A

 

List of Smelters and Refiners

 

Avnet utilized data its Suppliers provided on their CMRTs for the 2019 Program along with RBA’s RMI due diligence of smelters and refiners to prepare the below list. The list: (1) may not include all of the smelters and refiners that processed CMs in the Covered Products and (2) may include smelters and refiners which processed CMs which were not contained in the products provided by the Suppliers for the Covered Products.

 

For RMI Audit Status: (1) “Conformant” means that the smelter or refiner has completed the annual audit process and has been verified to have conflict-free sources and (2) “Active” means that the smelter or refiner is in the process of being audited or has committed to begin the audit process.

 

Mineral

 

Smelter/Refiner CID

 

Smelter/Refiner Name

 

Smelter/Refiner Location

 

RMI Audit Status

Gold

 

CID002763

 

8853 S.p.A.

 

Italy

 

Conformant

Gold

 

CID002708

 

Abington Reldan Metals, LLC

 

United States of America

 

Non-Conformant

Gold

 

CID000015

 

Advanced Chemical Company

 

United States of America

 

Conformant

Gold

 

CID003185

 

African Gold Refinery

 

Uganda

 

Not Enrolled

Gold

 

CID000019

 

Aida Chemical Industries Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID002560

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

 

Conformant

Gold

 

CID000035

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

 

Conformant

Gold

 

CID000041

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

 

Conformant

Gold

 

CID000058

 

AngloGold Ashanti Corrego do Sitio Mineracao

 

Brazil

 

Conformant

Gold

 

CID000077

 

Argor-Heraeus S.A.

 

Switzerland

 

Conformant

Gold

 

CID000082

 

Asahi Pretec Corp.

 

Japan

 

Conformant

Gold

 

CID000924

 

Asahi Refining Canada Ltd.

 

Canada

 

Conformant

Gold

 

CID000920

 

Asahi Refining USA Inc.

 

United States of America

 

Conformant

Gold

 

CID000090

 

Asaka Riken Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID000103

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

 

Not Enrolled

Gold

 

CID002850

 

AU Traders and Refiners

 

South Africa

 

Conformant

Gold

 

CID000113

 

Aurubis AG

 

Germany

 

Conformant

Gold

 

CID002863

 

Bangalore Refinery

 

India

 

Conformant

Gold

 

CID000128

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Philippines

 

Conformant

Gold

 

CID000157

 

Boliden AB

 

Sweden

 

Conformant

Gold

 

CID000176

 

C. Hafner GmbH + Co. KG

 

Germany

 

Conformant

Gold

 

CID003421

 

C.I Metales Procesados Industriales SAS

 

Colombia

 

Not Enrolled

Gold

 

CID000180

 

Caridad

 

Mexico

 

Not Enrolled

Gold

 

CID000185

 

CCR Refinery - Glencore Canada Corporation

 

Canada

 

Conformant

Gold

 

CID000189

 

Cendres + Metaux S.A.

 

Switzerland

 

Conformant

Gold

 

CID003382

 

CGR Metalloys Pvt Ltd.

 

India

 

Not Enrolled

 

9


 

Gold

 

CID000233

 

Chimet S.p.A.

 

Italy

 

Conformant

Gold

 

CID000264

 

Chugai Mining

 

Japan

 

Conformant

Gold

 

CID000343

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

 

Not Enrolled

Gold

 

CID002867

 

Degussa Sonne / Mond Goldhandel GmbH

 

Germany

 

Not Enrolled

Gold

 

CID003348

 

Dijllah Gold Refinery FZC

 

United Arab Emirates

 

Not Enrolled

Gold

 

CID000362

 

DODUCO Contacts and Refining GmbH

 

Germany

 

Conformant

Gold

 

CID000401

 

Dowa

 

Japan

 

Conformant

Gold

 

CID003195

 

DS PRETECH Co., Ltd.

 

Korea, Republic of

 

Conformant

Gold

 

CID000359

 

DSC (Do Sung Corporation)

 

Korea, Republic of

 

Conformant

Gold

 

CID000425

 

Eco-System Recycling Co., Ltd. East Plant

 

Japan

 

Conformant

Gold

 

CID003424

 

Eco-System Recycling Co., Ltd. North Plant

 

Japan

 

Conformant

Gold

 

CID003425

 

Eco-System Recycling Co., Ltd. West Plant

 

Japan

 

Conformant

Gold

 

CID002561

 

Emirates Gold DMCC

 

United Arab Emirates

 

Conformant

Gold

 

CID002515

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

 

Not Enrolled

Gold

 

CID002584

 

Fujairah Gold FZC

 

United Arab Emirates

 

Not Enrolled

Gold

 

CID002852

 

GCC Gujrat Gold Centre Pvt. Ltd.

 

India

 

Not Enrolled

Gold

 

CID002459

 

Geib Refining Corporation

 

United States of America

 

Conformant

Gold

 

CID003186

 

Gold Coast Refinery

 

Ghana

 

Not Enrolled

Gold

 

CID002243

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

China

 

Conformant

Gold

 

CID001909

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

 

Not Enrolled

Gold

 

CID002312

 

Guangdong Jinding Gold Limited

 

China

 

Not Enrolled

Gold

 

CID000651

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID000671

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID000694

 

Heimerle + Meule GmbH

 

Germany

 

Conformant

Gold

 

CID000707

 

Heraeus Metals Hong Kong Ltd.

 

China

 

Conformant

Gold

 

CID000711

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

 

Conformant

Gold

 

CID000767

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID000773

 

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID000778

 

HwaSeong CJ CO., LTD.

 

Korea, Republic of

 

Not Enrolled

Gold

 

CID000801

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

 

China

 

Conformant

Gold

 

CID002562

 

International Precious Metal Refiners

 

United Arab Emirates

 

Not Enrolled

 

10


 

Gold

 

CID000807

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID000814

 

Istanbul Gold Refinery

 

Turkey

 

Conformant

Gold

 

CID002765

 

Italpreziosi

 

Italy

 

Conformant

Gold

 

CID002893

 

JALAN & Company

 

India

 

Not Enrolled

Gold

 

CID000823

 

Japan Mint

 

Japan

 

Conformant

Gold

 

CID000855

 

Jiangxi Copper Co., Ltd.

 

China

 

Conformant

Gold

 

CID000927

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

Russian Federation

 

Not Enrolled

Gold

 

CID000929

 

JSC Uralelectromed

 

Russian Federation

 

Conformant

Gold

 

CID000937

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID002563

 

Kaloti Precious Metals

 

United Arab Emirates

 

Not Enrolled

Gold

 

CID000956

 

Kazakhmys Smelting LLC

 

Kazakhstan

 

Not Enrolled

Gold

 

CID000957

 

Kazzinc

 

Kazakhstan

 

Conformant

Gold

 

CID000969

 

Kennecott Utah Copper LLC

 

United States of America

 

Conformant

Gold

 

CID002511

 

KGHM Polska Miedz Spolka Akcyjna

 

Poland

 

Conformant

Gold

 

CID000981

 

Kojima Chemicals Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID002605

 

Korea Zinc Co., Ltd.

 

Korea, Republic of

 

Conformant

Gold

 

CID001029

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

 

Conformant

Gold

 

CID002865

 

Kyshtym Copper-Electrolytic Plant ZAO

 

Russian Federation

 

Not Enrolled

Gold

 

CID001032

 

L’azurde Company For Jewelry

 

Saudi Arabia

 

Not Enrolled

Gold

 

CID001056

 

Lingbao Gold Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID001058

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID002762

 

L’Orfebre S.A.

 

Andorra

 

Conformant

Gold

 

CID001078

 

LS-NIKKO Copper Inc.

 

Korea, Republic of

 

Conformant

Gold

 

CID000689

 

LT Metal Ltd.

 

Korea, Republic of

 

Conformant

Gold

 

CID001093

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID002606

 

Marsam Metals

 

Brazil

 

Conformant

Gold

 

CID001113

 

Materion

 

United States of America

 

Conformant

Gold

 

CID001119

 

Matsuda Sangyo Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID001149

 

Metalor Technologies (Hong Kong) Ltd.

 

China

 

Conformant

Gold

 

CID001152

 

Metalor Technologies (Singapore) Pte., Ltd.

 

Singapore

 

Conformant

Gold

 

CID001147

 

Metalor Technologies (Suzhou) Ltd.

 

China

 

Conformant

Gold

 

CID001153

 

Metalor Technologies S.A.

 

Switzerland

 

Conformant

Gold

 

CID001157

 

Metalor USA Refining Corporation

 

United States of America

 

Conformant

Gold

 

CID001161

 

Metalurgica Met-Mex Penoles S.A. De C.V.

 

Mexico

 

Conformant

Gold

 

CID001188

 

Mitsubishi Materials Corporation

 

Japan

 

Conformant

Gold

 

CID001193

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

Conformant

 

11


 

Gold

 

CID002509

 

MMTC-PAMP India Pvt., Ltd.

 

India

 

Conformant

Gold

 

CID002857

 

Modeltech Sdn Bhd

 

Malaysia

 

Non-Conformant

Gold

 

CID002282

 

Morris and Watson

 

New Zealand

 

Not Enrolled

Gold

 

CID001204

 

Moscow Special Alloys Processing Plant

 

Russian Federation

 

Conformant

Gold

 

CID001220

 

Nadir Metal Rafineri San. Ve Tic. A.S.

 

Turkey

 

Conformant

Gold

 

CID001236

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

 

Not Enrolled

Gold

 

CID003189

 

NH Recytech Company

 

Korea, Republic of

 

Non-Conformant

Gold

 

CID001259

 

Nihon Material Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID002779

 

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

 

Conformant

Gold

 

CID001325

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID001326

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

Russian Federation

 

Conformant

Gold

 

CID000493

 

OJSC Novosibirsk Refinery

 

Russian Federation

 

Conformant

Gold

 

CID001352

 

PAMP S.A.

 

Switzerland

 

Conformant

Gold

 

CID002872

 

Pease & Curren

 

United States of America

 

Not Enrolled

Gold

 

CID001362

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID002919

 

Planta Recuperadora de Metales SpA

 

Chile

 

Conformant

Gold

 

CID001386

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

 

Conformant

Gold

 

CID001397

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

 

Conformant

Gold

 

CID001498

 

PX Precinox S.A.

 

Switzerland

 

Conformant

Gold

 

CID003324

 

QG Refining, LLC

 

United States of America

 

Not Enrolled

Gold

 

CID001512

 

Rand Refinery (Pty) Ltd.

 

South Africa

 

Conformant

Gold

 

CID000522

 

Refinery of Seemine Gold Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID002582

 

REMONDIS PMR B.V.

 

Netherlands

 

Conformant

Gold

 

CID001534

 

Royal Canadian Mint

 

Canada

 

Conformant

Gold

 

CID002761

 

SAAMP

 

France

 

Conformant

Gold

 

CID001546

 

Sabin Metal Corp.

 

United States of America

 

Not Enrolled

Gold

 

CID002973

 

Safimet S.p.A

 

Italy

 

Conformant

Gold

 

CID002290

 

SAFINA A.S.

 

Czech Republic

 

Active

Gold

 

CID002853

 

Sai Refinery

 

India

 

Not Enrolled

Gold

 

CID001555

 

Samduck Precious Metals

 

Korea, Republic of

 

Conformant

Gold

 

CID001562

 

Samwon Metals Corp.

 

Korea, Republic of

 

Not Enrolled

Gold

 

CID002777

 

SAXONIA Edelmetalle GmbH

 

Germany

 

Conformant

Gold

 

CID001585

 

SEMPSA Joyeria Plateria S.A.

 

Spain

 

Conformant

Gold

 

CID002525

 

Shandong Humon Smelting Co., Ltd.

 

China

 

Not Enrolled

 

12


 

Gold

 

CID001619

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID001622

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

 

Conformant

Gold

 

CID001736

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

 

Conformant

Gold

 

CID002516

 

Singway Technology Co., Ltd.

 

Taiwan, Province of China

 

Conformant

Gold

 

CID001756

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

 

Conformant

Gold

 

CID001761

 

Solar Applied Materials Technology Corp.

 

Taiwan, Province of China

 

Conformant

Gold

 

CID003383

 

Sovereign Metals

 

India

 

Not Enrolled

Gold

 

CID003153

 

State Research Institute Center for Physical Sciences and Technology

 

Lithuania

 

Not Enrolled

Gold

 

CID002567

 

Sudan Gold Refinery

 

Sudan

 

Not Enrolled

Gold

 

CID001798

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID002918

 

SungEel HiMetal Co., Ltd.

 

Korea, Republic of

 

Conformant

Gold

 

CID002580

 

T.C.A S.p.A

 

Italy

 

Conformant

Gold

 

CID001875

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

 

Conformant

Gold

 

CID001916

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

China

 

Conformant

Gold

 

CID001938

 

Tokuriki Honten Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID001947

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID002587

 

Tony Goetz NV

 

Belgium

 

Non-Conformant

Gold

 

CID002615

 

TOO Tau-Ken-Altyn

 

Kazakhstan

 

Conformant

Gold

 

CID001955

 

Torecom

 

Korea, Republic of

 

Conformant

Gold

 

CID001977

 

Umicore Brasil Ltda.

 

Brazil

 

Conformant

Gold

 

CID002314

 

Umicore Precious Metals Thailand

 

Thailand

 

Conformant

Gold

 

CID001980

 

Umicore S.A. Business Unit Precious Metals Refining

 

Belgium

 

Conformant

Gold

 

CID001993

 

United Precious Metal Refining, Inc.

 

United States of America

 

Conformant

Gold

 

CID002003

 

Valcambi S.A.

 

Switzerland

 

Conformant

Gold

 

CID002030

 

Western Australian Mint (T/a The Perth Mint)

 

Australia

 

Conformant

Gold

 

CID002778

 

WIELAND Edelmetalle GmbH

 

Germany

 

Conformant

Gold

 

CID002100

 

Yamakin Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID002129

 

Yokohama Metal Co., Ltd.

 

Japan

 

Conformant

Gold

 

CID000197

 

Yunnan Copper Industry Co., Ltd.

 

China

 

Not Enrolled

Gold

 

CID002224

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

 

Conformant

Tantalum

 

CID000092

 

Asaka Riken Co., Ltd.

 

Japan

 

Conformant

Tantalum

 

CID000211

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID003402

 

CP Metals Inc.

 

United States of America

 

Conformant

 

13


 

Tantalum

 

CID002504

 

D Block Metals, LLC

 

United States of America

 

Conformant

Tantalum

 

CID000456

 

Exotech Inc.

 

United States of America

 

Conformant

Tantalum

 

CID000460

 

F&X Electro-Materials Ltd.

 

China

 

Conformant

Tantalum

 

CID002505

 

FIR Metals & Resource Ltd.

 

China

 

Conformant

Tantalum

 

CID002558

 

Global Advanced Metals Aizu

 

Japan

 

Conformant

Tantalum

 

CID002557

 

Global Advanced Metals Boyertown

 

United States of America

 

Conformant

Tantalum

 

CID000616

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID002544

 

H.C. Starck Co., Ltd.

 

Thailand

 

Conformant

Tantalum

 

CID002547

 

H.C. Starck Hermsdorf GmbH

 

Germany

 

Conformant

Tantalum

 

CID002548

 

H.C. Starck Inc.

 

United States of America

 

Conformant

Tantalum

 

CID002549

 

H.C. Starck Ltd.

 

Japan

 

Conformant

Tantalum

 

CID002550

 

H.C. Starck Smelting GmbH & Co. KG

 

Germany

 

Conformant

Tantalum

 

CID002545

 

H.C. Starck Tantalum and Niobium GmbH

 

Germany

 

Conformant

Tantalum

 

CID002492

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID002512

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID002842

 

Jiangxi Tuohong New Raw Material

 

China

 

Conformant

Tantalum

 

CID000914

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID000917

 

Jiujiang Tanbre Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID002506

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID002539

 

KEMET Blue Metals

 

Mexico

 

Conformant

Tantalum

 

CID001076

 

LSM Brasil S.A.

 

Brazil

 

Conformant

Tantalum

 

CID001163

 

Metallurgical Products India Pvt., Ltd.

 

India

 

Conformant

Tantalum

 

CID001175

 

Mineracao Taboca S.A.

 

Brazil

 

Conformant

Tantalum

 

CID001192

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

Conformant

Tantalum

 

CID001277

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID001200

 

NPM Silmet AS

 

Estonia

 

Conformant

Tantalum

 

CID002847

 

PRG Dooel

 

North Macedonia, Republic of

 

Conformant

Tantalum

 

CID001508

 

QuantumClean

 

United States of America

 

Conformant

Tantalum

 

CID002707

 

Resind Industria e Comercio Ltda.

 

Brazil

 

Conformant

Tantalum

 

CID001769

 

Solikamsk Magnesium Works OAO

 

Russian Federation

 

Conformant

Tantalum

 

CID001869

 

Taki Chemical Co., Ltd.

 

Japan

 

Conformant

Tantalum

 

CID001891

 

Telex Metals

 

United States of America

 

Conformant

Tantalum

 

CID001969

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

 

Conformant

Tantalum

 

CID002508

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

 

Conformant

Tantalum

 

CID001522

 

Yanling Jincheng Tantalum & Niobium Co., Ltd.

 

China

 

Conformant

Tin

 

CID000292

 

Alpha

 

United States of America

 

Conformant

 

14


 

Tin

 

CID002703

 

An Vinh Joint Stock Mineral Processing Company

 

Viet Nam

 

Not Enrolled

Tin

 

CID000228

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

China

 

Conformant

Tin

 

CID003190

 

Chifeng Dajingzi Tin Industry Co., Ltd.

 

China

 

Conformant

Tin

 

CID001070

 

China Tin Group Co., Ltd.

 

China

 

Conformant

Tin

 

CID003356

 

Dongguan CiEXPO Environmental Engineering Co., Ltd.

 

China

 

Non-Conformant

Tin

 

CID000402

 

Dowa

 

Japan

 

Conformant

Tin

 

CID002572

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

 

Viet Nam

 

Non-Conformant

Tin

 

CID000438

 

EM Vinto

 

Bolivia (Plurinational State of)

 

Conformant

Tin

 

CID000448

 

Estanho de Rondonia S.A.

 

Brazil

 

Not Enrolled

Tin

 

CID000468

 

Fenix Metals

 

Poland

 

Conformant

Tin

 

CID003410

 

Gejiu City Fuxiang Industry and Trade Co., Ltd.

 

China

 

Not Enrolled

Tin

 

CID000942

 

Gejiu Kai Meng Industry and Trade LLC

 

China

 

Conformant

Tin

 

CID000538

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

 

Conformant

Tin

 

CID001908

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

 

Conformant

Tin

 

CID000555

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

 

Conformant

Tin

 

CID003116

 

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

 

China

 

Conformant

Tin

 

CID002849

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

China

 

Conformant

Tin

 

CID002844

 

HuiChang Hill Tin Industry Co., Ltd.

 

China

 

Conformant

Tin

 

CID000760

 

Huichang Jinshunda Tin Co., Ltd.

 

China

 

Conformant

Tin

 

CID001231

 

Jiangxi New Nanshan Technology Ltd.

 

China

 

Conformant

Tin

 

CID003387

 

Luna Smelter, Ltd.

 

Rwanda

 

Conformant

Tin

 

CID003379

 

Ma’anshan Weitai Tin Co., Ltd.

 

China

 

Conformant

Tin

 

CID002468

 

Magnu’s Minerais Metais e Ligas Ltda.

 

Brazil

 

Conformant

Tin

 

CID001105

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

 

Conformant

Tin

 

CID002500

 

Melt Metais e Ligas S.A.

 

Brazil

 

Conformant

Tin

 

CID001142

 

Metallic Resources, Inc.

 

United States of America

 

Conformant

Tin

 

CID002773

 

Metallo Belgium N.V.

 

Belgium

 

Conformant

Tin

 

CID002774

 

Metallo Spain S.L.U.

 

Spain

 

Conformant

Tin

 

CID001173

 

Mineracao Taboca S.A.

 

Brazil

 

Conformant

Tin

 

CID001182

 

Minsur

 

Peru

 

Conformant

Tin

 

CID001191

 

Mitsubishi Materials Corporation

 

Japan

 

Conformant

 

15


 

Tin

 

CID002858

 

Modeltech Sdn Bhd

 

Malaysia

 

Non-Conformant

Tin

 

CID002573

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Viet Nam

 

Not Enrolled

Tin

 

CID001314

 

O.M. Manufacturing (Thailand) Co., Ltd.

 

Thailand

 

Conformant

Tin

 

CID002517

 

O.M. Manufacturing Philippines, Inc.

 

Philippines

 

Conformant

Tin

 

CID001337

 

Operaciones Metalurgicas S.A.

 

Bolivia (Plurinational State of)

 

Conformant

Tin

 

CID003208

 

Pongpipat Company Limited

 

Myanmar

 

Not Enrolled

Tin

 

CID003409

 

Precious Minerals and Smelting Limited

 

India

 

Active

Tin

 

CID001399

 

PT Artha Cipta Langgeng

 

Indonesia

 

Conformant

Tin

 

CID002503

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

 

Conformant

Tin

 

CID002835

 

PT Menara Cipta Mulia

 

Indonesia

 

Conformant

Tin

 

CID001453

 

PT Mitra Stania Prima

 

Indonesia

 

Conformant

Tin

 

CID001460

 

PT Refined Bangka Tin

 

Indonesia

 

Conformant

Tin

 

CID001477

 

PT Timah Tbk Kundur

 

Indonesia

 

Conformant

Tin

 

CID001482

 

PT Timah Tbk Mentok

 

Indonesia

 

Conformant

Tin

 

CID002706

 

Resind Industria e Comercio Ltda.

 

Brazil

 

Conformant

Tin

 

CID001539

 

Rui Da Hung

 

Taiwan, Province of China

 

Conformant

Tin

 

CID001758

 

Soft Metais Ltda.

 

Brazil

 

Conformant

Tin

 

CID002756

 

Super Ligas

 

Brazil

 

Not Enrolled

Tin

 

CID002834

 

Thai Nguyen Mining and Metallurgy Co., Ltd.

 

Viet Nam

 

Conformant

Tin

 

CID001898

 

Thaisarco

 

Thailand

 

Conformant

Tin

 

CID003325

 

Tin Technology & Refining

 

United States of America

 

Conformant

Tin

 

CID002574

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Viet Nam

 

Not Enrolled

Tin

 

CID002036

 

White Solder Metalurgia e Mineracao Ltda.

 

Brazil

 

Conformant

Tin

 

CID002158

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

 

Conformant

Tin

 

CID002180

 

Yunnan Tin Company Limited

 

China

 

Conformant

Tin

 

CID003397

 

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID000004

 

A.L.M.T. Corp.

 

Japan

 

Conformant

Tungsten

 

CID002833

 

ACL Metais Eireli

 

Brazil

 

Conformant

Tungsten

 

CID003427

 

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

 

Brazil

 

Active

Tungsten

 

CID002502

 

Asia Tungsten Products Vietnam Ltd.

 

Viet Nam

 

Conformant

Tungsten

 

CID002513

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002641

 

China Molybdenum Co., Ltd.

 

China

 

Not Enrolled

Tungsten

 

CID000258

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID000281

 

CNMC (Guangxi) PGMA Co., Ltd.

 

China

 

Not Enrolled

Tungsten

 

CID003448

 

CP Metals Inc.

 

United States of America

 

Active

Tungsten

 

CID003401

 

Fujian Ganmin RareMetal Co., Ltd.

 

China

 

Conformant

 

16


 

Tungsten

 

CID000499

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002645

 

Ganzhou Haichuang Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID000875

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002315

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002494

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID003417

 

GEM Co., Ltd.

 

China

 

Not Enrolled

Tungsten

 

CID000568

 

Global Tungsten & Powders Corp.

 

United States of America

 

Conformant

Tungsten

 

CID000218

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002542

 

H.C. Starck Smelting GmbH & Co. KG

 

Germany

 

Conformant

Tungsten

 

CID002541

 

H.C. Starck Tungsten GmbH

 

Germany

 

Conformant

Tungsten

 

CID000766

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002579

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

 

Conformant

Tungsten

 

CID000769

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID003182

 

Hunan Litian Tungsten Industry Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002649

 

Hydrometallurg, JSC

 

Russian Federation

 

Conformant

Tungsten

 

CID000825

 

Japan New Metals Co., Ltd.

 

Japan

 

Conformant

Tungsten

 

CID002551

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002321

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002313

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

 

China

 

Not Enrolled

Tungsten

 

CID002318

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002647

 

Jiangxi Xianglu Tungsten Co., Ltd.

 

China

 

Active

Tungsten

 

CID002317

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002316

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID003408

 

JSC “Kirovgrad Hard Alloys Plant”

 

Russian Federation

 

Active

Tungsten

 

CID000966

 

Kennametal Fallon

 

United States of America

 

Conformant

Tungsten

 

CID000105

 

Kennametal Huntsville

 

United States of America

 

Conformant

Tungsten

 

CID003388

 

KGETS Co., Ltd.

 

Korea, Republic of

 

Conformant

Tungsten

 

CID003407

 

Lianyou Metals Co., Ltd.

 

Taiwan, Province of China

 

Conformant

Tungsten

 

CID002319

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002543

 

Masan Tungsten Chemical LLC (MTC)

 

Viet Nam

 

Conformant

 

17


 

Tungsten

 

CID002845

 

Moliren Ltd.

 

Russian Federation

 

Conformant

Tungsten

 

CID002589

 

Niagara Refining LLC

 

United States of America

 

Conformant

Tungsten

 

CID003416

 

NPP Tyazhmetprom LLC

 

Russian Federation

 

Active

Tungsten

 

CID002827

 

Philippine Chuangxin Industrial Co., Inc.

 

Philippines

 

Conformant

Tungsten

 

CID001889

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Viet Nam

 

Conformant

Tungsten

 

CID002724

 

Unecha Refractory metals plant

 

Russian Federation

 

Conformant

Tungsten

 

CID002044

 

Wolfram Bergbau und Hutten AG

 

Austria

 

Conformant

Tungsten

 

CID002843

 

Woltech Korea Co., Ltd.

 

Korea, Republic of

 

Conformant

Tungsten

 

CID002320

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002082

 

Xiamen Tungsten Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002830

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

China

 

Conformant

Tungsten

 

CID002095

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

China

 

Conformant

 

18


 

APPENDIX B

 

Countries of Origin

 

Avnet utilized data its Suppliers provided on their CMRTs for the 2019 Program and relied on information provided by RBA’s RMI due diligence of smelters and refiners regarding the countries of origin and mines or locations of origin to prepare the below list. The list: (1) may not include all of the countries which ultimately sourced the CMs in the Covered Products and (2) may include countries which did not ultimately source  CMs contained in the Covered Products.

 

Gold

 

Tantalum

 

Tin

 

Tungsten

Afghanistan

 

Angola

 

Angola

 

Angola

Albania

 

Argentina

 

Argentina

 

Argentina

Angola

 

Australia

 

Australia

 

Australia

Argentina

 

Austria

 

Austria

 

Austria

Armenia

 

Belarus

 

Belgium

 

Belgium

Australia

 

Belgium

 

Bermuda

 

Bolivia

Austria

 

Brazil

 

Brazil

 

Brazil

Belgium

 

Burundi

 

Burundi

 

Burundi

Bermuda

 

Cambodia

 

Cambodia

 

Cambodia

Bolivia

 

Canada

 

Canada

 

Canada

Brazil

 

Central African Republic

 

Central African Republic

 

Central African Republic

Bulgaria

 

Chile

 

Chile

 

Chile

Burundi

 

China

 

China

 

China

Cambodia

 

Colombia

 

Colombia

 

Colombia

Canada

 

Czech Republic

 

Czech Republic

 

Czech Republic

Central African Republic

 

Djibouti

 

Djibouti

 

Djibouti

Chile

 

DRC or an adjoining country

 

DRC or an adjoining country

 

DRC or an adjoining country

China

 

Ecuador

 

Ecuador

 

Ecuador

Colombia

 

Egypt

 

Egypt

 

Egypt

Czech Republic

 

Estonia

 

Estonia

 

Estonia

Djibouti

 

Ethiopia

 

Ethiopia

 

Ethiopia

Dominican Republic

 

France

 

France

 

France

DRC or an adjoining country

 

Germany

 

Germany

 

Germany

Ecuador

 

Ghana

 

Guyana

 

Guinea

Egypt

 

Guyana

 

Hungary

 

Guyana

England

 

Hungary

 

India

 

Hungary

Estonia

 

India

 

Indonesia

 

India

Ethiopia

 

Indonesia

 

Ireland

 

Indonesia

Finland

 

Ireland

 

Israel

 

Ireland

France

 

Israel

 

Ivory Coast

 

Israel

 

19


 

Germany

 

Italy

 

Japan

 

Ivory Coast

Ghana

 

Ivory Coast

 

Kazakhstan

 

Japan

Guinea

 

Japan

 

Kenya

 

Kazakhstan

Guyana

 

Kazakhstan

 

Kyrgyzstan

 

Laos

Hungary

 

Kenya

 

Laos

 

Luxembourg

India

 

Kyrgyzstan

 

Luxembourg

 

Madagascar

Indonesia

 

Laos

 

Madagascar

 

Malaysia

Ireland

 

Luxembourg

 

Malaysia

 

Mexico

Israel

 

Madagascar

 

Mexico

 

Mongolia

Italy

 

Malaysia

 

Mongolia

 

Mozambique

Ivory Coast

 

Mali

 

Morocco

 

Myanmar

Japan

 

Mexico

 

Mozambique

 

Namibia

Kazakhstan

 

Mongolia

 

Myanmar

 

Netherlands

Kenya

 

Mozambique

 

Namibia

 

Niger

Kyrgyzstan

 

Myanmar

 

Netherlands

 

Nigeria

Laos

 

Namibia

 

Niger

 

Papua New Guinea

Liberia

 

Netherlands

 

Nigeria

 

Peru

Lithuania

 

Niger

 

Papua New Guinea

 

Philippines

Luxembourg

 

Nigeria

 

Peru

 

Portugal

Madagascar

 

Peru

 

Philippines

 

Republic of Korea

Malaysia

 

Philippines

 

Poland

 

Russia

Mali

 

Poland

 

Portugal

 

Rwanda

Mauritania

 

Portugal

 

Republic of Korea

 

Sierra Leone

Mexico

 

Republic of Korea

 

Russia

 

Singapore

Mongolia

 

Russia

 

Rwanda

 

Slovakia

Mozambique

 

Rwanda

 

Sierra Leone

 

Spain

Myanmar

 

Sierra Leone

 

Singapore

 

Suriname

Namibia

 

Singapore

 

Slovakia

 

Switzerland

Netherlands

 

Slovakia

 

South Africa

 

Tanzania

New Zealand

 

Slovenia

 

Spain

 

Thailand

Niger

 

South Africa

 

Suriname

 

Uganda

Nigeria

 

Spain

 

Sweden

 

United Kingdom

Papua New Guinea

 

Suriname

 

Switzerland

 

USA

Peru

 

Switzerland

 

Tanzania

 

Vietnam

Philippines

 

Tanzania

 

Thailand

 

Zambia

Poland

 

Thailand

 

Turkey

 

Zimbabwe

Portugal

 

Uganda

 

Uganda

 

 

Republic

 

United Kingdom

 

United Kingdom

 

 

Republic of Korea

 

USA

 

USA

 

 

 

20


 

Russia

 

Vietnam

 

Uzbekistan

 

 

Rwanda

 

Zambia

 

Vietnam

 

 

Saudi Arabia

 

Zimbabwe

 

Zambia

 

 

Sierra Leone

 

 

 

Zimbabwe

 

 

Singapore

 

 

 

 

 

 

Slovakia

 

 

 

 

 

 

South Africa

 

 

 

 

 

 

Spain

 

 

 

 

 

 

Sudan

 

 

 

 

 

 

Suri

 

 

 

 

 

 

Suriname

 

 

 

 

 

 

Sweden

 

 

 

 

 

 

Switzerland

 

 

 

 

 

 

Tanzania

 

 

 

 

 

 

Thailand

 

 

 

 

 

 

Turkey

 

 

 

 

 

 

Uganda

 

 

 

 

 

 

United Arab Emirates

 

 

 

 

 

 

United Kingdom

 

 

 

 

 

 

USA

 

 

 

 

 

 

Uzbekistan

 

 

 

 

 

 

Vietnam

 

 

 

 

 

 

Zambia

 

 

 

 

 

 

Zimbabwe

 

 

 

 

 

 

 

21


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