ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
EXHIBIT 1.01
ARRIS INTERNATIONAL PLC
CONFLICT MINERALS REPORT
FOR THE REPORTING PERIOD FROM
JANUARY 1, 2016 TO DECEMBER 31, 2016
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
INTRODUCTION
This Conflict Minerals Report for ARRIS International plc including all of its subsidiaries (“ARRIS,” “we,” or “our”) is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for the reporting period from January 1, 2016 to December 31, 2016.
ARRIS is a provider of products and services to cable operators and wireline telecommunications (“telco”) service providers (collectively, “network operators”) that enable the delivery of video, voice and data services to consumers. The product portfolio primarily includes interactive settop boxes, end-to-end digital video and Internet Protocol Television (“IPTV”) distribution systems, broadband access infrastructure platforms, and associated data and voice CPE (consumer premises equipment).
For the reporting period from January 1, 2016 to December 31, 2016, ARRIS conducted a reasonable country of origin inquiry and due diligence on the source and chain of custody of the conflict minerals that are necessary to the functionality or production of the products (“necessary conflict minerals”) that we manufactured or contracted to manufacture, after January 1, 2016, for which the results of our reasonable country of origin inquiry and due diligence conducted on these conflict minerals are presented herein.
REASONABLE COUNTRY OF ORIGIN INQUIRY
We conducted a reasonable country of origin inquiry (RCOI) of relevant 3TG Direct Suppliers using the CFSI Conflict Minerals Reporting Template (“CMRT”), which included questions about the location or mine of origin, and encouraged those suppliers to make similar efforts to survey their supply chain using the CMRT and report the facilities and location or mine of origin for necessary conflict minerals.
DUE DILIGENCE MEASURES
We conducted due diligence on the source and chain of custody of our conflict minerals to ascertain whether these conflict minerals originated in the Democratic Republic of the Congo or any of its adjoining countries and financed or benefited non-state armed groups in any of these countries.
DESIGN OF OUR DUE DILIGENCE MEASURES
Our conflict minerals due diligence measures have been designed to conform with the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition (the “OECD Guidance”), as applicable for tin, tantalum, tungsten, gold and downstream companies (as the term is defined in the OECD Guidance), in all material respects. We designed our due diligence measures to:
| 1) | establish strong Company management systems for conflict minerals supply chain due diligence; |
| 2) | identify and assess conflict minerals risks in our supply chain; |
| 3) | design and implement strategies to respond to conflict minerals risks identified; |
| 4) | contribute to independent third-party audits of the due diligence practices of conflict minerals smelters and refiners by participating in industry organizations; and |
2
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
| 5) | report on our conflict minerals supply chain due diligence activities. |
DUE DILIGENCE MEASURES PERFORMED
Our due diligence measures included the following activities:
| 1) | Established an internal team to implement the ARRIS Conflict Minerals Program reporting directly to the VP of Compliance. The internal team has been reviewed and adjusted to ensure all relevant people and resources are engaged to support the highest level of excellence in the program; |
| 2) | established company policies and requirements and incorporated those requirements into supplier contracts to define ARRIS’s expectations of suppliers regarding sourcing of conflict minerals and reporting of information to ARRIS. Company policies and contractual requirements with our suppliers are periodically reviewed and adjusted to incorporate improvements to the program; |
| 3) | conducted a review to identify relevant direct suppliers of products containing necessary conflict minerals (in the form of gold and the derivatives tin, tantalum, and tungsten, or collectively, “3TG” and “3TG Direct Suppliers”); |
| 4) | reviewed all supplier responses against internally established criteria for completeness, consistency and risk; contacted suppliers that provided incomplete, inaccurate or untraceable information to correct and/or obtain additional information; |
| 5) | requested the specific processing facility names (smelters) from all suppliers indicating sources in the covered countries; and |
| 6) | compared the facilities identified by suppliers indicating sourcing from the covered countries against the list of facilities that have received a “conflict-free” designation for tantalum, tin, tungsten and gold published by the Conflict-Free Sourcing Initiative (“CFSI”) - the Conflict-Free Smelter List (“CFS List”). |
DUE DILIGENCE RESULTS
We had a response rate of 93% to our supplier RCOI and due diligence performed for facilities (smelters) indicated by suppliers as having sources in the covered countries is as follows:
Based on the CFSI RCOI Data (dated 3-3-17) 41 smelters or refiners were identified as sourcing from the covered countries. All were listed on the CFSI Conflict-Free Smelter list.
Forty-seven suppliers indicated a tin smelter located in Rwanda. This smelter was listed by CFSI as “Active CFSP” and was working to resolve a corrective action resulting from the Conflict-Free Smelter Program (CFSP) audit when they suspended operations. According to the CFSI database they ceased production in July 2015 and are no longer considered to be eligible as a valid smelter or refiner.
Eleven suppliers indicated a gold smelter located in Zambia. The smelter has thus far refused to participate in the CFSP. Detailed sourcing information is not available at this time. CFSI continues to urge them to participate in the program.
3
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
All remaining smelters identified by suppliers as sourcing from the covered countries were listed on the CFSI Conflict Free Smelter list.
Overall, of the 288 unique smelters identified by our suppliers and verified against CFSI known smelters and refiners, 231 are listed as “Compliant” by CFSI and 13 are “Active CFSP” (CSFI Database 4-4-17).
PRODUCT DESCRIPTIONS
ARRIS’ product portfolio primarily includes set-top boxes, end-to-end digital video and Internet Protocol Television (“IPTV”) distribution systems, broadband access infrastructure platforms, and associated data and voice CPE. Detailed descriptions and technical information can be found on our website (www.arris.com). ARRIS products contain tin, tantalum, tungsten and gold, or collectively, “3TG” in integrated circuits, plating, resistors, capacitors, connectors and similar electronic components found in virtually all consumer electronics.
COUNTRIES OF ORIGIN AND FACILITIES USED TO PROCESS CONFLICT MINERALS IN ARRIS PRODUCTS
The following list represents the smelters and refiners provided by suppliers, verified against CFSI known smelters and refiners.
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Abington Reldan Metals, LLC | Gold | UNITED STATES OF AMERICA | CID002708 | |||
| Al Etihad Gold Refinery DMCC | Gold | UNITED ARAB EMIRATES | CID002560 | |||
| Asahi Refining Canada Ltd. | Gold | CANADA | CID000924 | |||
| Asahi Refining USA Inc. | Gold | UNITED STATES OF AMERICA | CID000920 | |||
| AU Traders and Refiners | Gold | SOUTH AFRICA | CID002850 | |||
| Bangalore Refinery | Gold | INDIA | CID002863 | |||
| Chimet S.p.A. | Gold | ITALY | CID000233 | |||
| Chugai Mining | Gold | JAPAN | CID000264 | |||
| Daejin Indus Co., Ltd. | Gold | KOREA (REPUBLIC OF) | CID000328 | |||
| Daye Non-Ferrous Metals Mining Ltd. | Gold | CHINA | CID000343 | |||
| DODUCO GmbH | Gold | GERMANY | CID000362 | |||
| Dowa | Gold | JAPAN | CID000401 | |||
| DSC (Do Sung Corporation) | Gold | KOREA (REPUBLIC OF) | CID000359 | |||
| Eco-System Recycling Co., Ltd. | Gold | JAPAN | CID000425 | |||
4
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Elemetal Refining, LLC | Gold | UNITED STATES OF AMERICA | CID001322 | |||
| Emirates Gold DMCC | Gold | UNITED ARAB EMIRATES | CID002561 | |||
| Fidelity Printers and Refiners Ltd. | Gold | ZIMBABWE | CID002515 | |||
| Gansu Seemine Material Hi-Tech Co., Ltd. | Gold | CHINA | CID000522 | |||
| Geib Refining Corporation | Gold | UNITED STATES OF AMERICA | CID002459 | |||
| Great Wall Precious Metals Co., Ltd. of CBPM | Gold | CHINA | CID001909 | |||
| Guangdong Jinding Gold Limited | Gold | CHINA | CID002312 | |||
| Gujarat Gold Centre | Gold | INDIA | CID002852 | |||
| Guoda Safina High-Tech Environmental Refinery Co., Ltd. | Gold | CHINA | CID000651 | |||
| Hangzhou Fuchunjiang Smelting Co., Ltd. | Gold | CHINA | CID000671 | |||
| Heimerle + Meule GmbH | Gold | GERMANY | CID000694 | |||
| Heraeus Ltd. Hong Kong | Gold | CHINA | CID000707 | |||
| Heraeus Precious Metals GmbH & Co. KG | Gold | GERMANY | CID000711 | |||
| Hunan Chenzhou Mining Co., Ltd. | Gold | CHINA | CID000767 | |||
| HwaSeong CJ Co., Ltd. | Gold | KOREA (REPUBLIC OF) | CID000778 | |||
| Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | Gold | CHINA | CID000801 | |||
| Ishifuku Metal Industry Co., Ltd. | Gold | JAPAN | CID000807 | |||
| Istanbul Gold Refinery | Gold | TURKEY | CID000814 | |||
| Japan Mint | Gold | JAPAN | CID000823 | |||
| Jiangxi Copper Co., Ltd. | Gold | CHINA | CID000855 | |||
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Gold | RUSSIAN FEDERATION | CID000927 | |||
| JSC Uralelectromed | Gold | RUSSIAN FEDERATION | CID000929 | |||
| JX Nippon Mining & Metals Co., Ltd. | Gold | JAPAN | CID000937 | |||
| Kaloti Precious Metals | Gold | UNITED ARAB EMIRATES | CID002563 | |||
| Kazakhmys Smelting LLC | Gold | KAZAKHSTAN | CID000956 | |||
| Kazzinc | Gold | KAZAKHSTAN | CID000957 | |||
| Kennecott Utah Copper LLC | Gold | UNITED STATES OF AMERICA | CID000969 | |||
| KGHM Polska Miedź Spółka Akcyjna | Gold | POLAND | CID002511 | |||
| Kojima Chemicals Co., Ltd. | Gold | JAPAN | CID000981 | |||
| Korea Zinc Co., Ltd. | Gold | KOREA (REPUBLIC OF) | CID002605 | |||
| Kyrgyzaltyn JSC | Gold | KYRGYZSTAN | CID001029 | |||
| L’azurde Company For Jewelry | Gold | SAUDI ARABIA | CID001032 | |||
| Lingbao Gold Co., Ltd. | Gold | CHINA | CID001056 | |||
5
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Lingbao Jinyuan Tonghui Refinery Co., Ltd. | Gold | CHINA | CID001058 | |||
| LS-NIKKO Copper Inc. | Gold | KOREA (REPUBLIC OF) | CID001078 | |||
| Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | Gold | CHINA | CID001093 | |||
| Materion | Gold | UNITED STATES OF AMERICA | CID001113 | |||
| Matsuda Sangyo Co., Ltd. | Gold | JAPAN | CID001119 | |||
| Metalor Technologies (Hong Kong) Ltd. | Gold | CHINA | CID001149 | |||
| Metalor Technologies (Singapore) Pte., Ltd. | Gold | SINGAPORE | CID001152 | |||
| Metalor Technologies (Suzhou) Ltd. | Gold | CHINA | CID001147 | |||
| Metalor Technologies S.A. | Gold | SWITZERLAND | CID001153 | |||
| Metalor USA Refining Corporation | Gold | UNITED STATES OF AMERICA | CID001157 | |||
| Metalúrgica Met-Mex Peñoles S.A. De C.V. | Gold | MEXICO | CID001161 | |||
| Mitsubishi Materials Corporation | Gold | JAPAN | CID001188 | |||
| Mitsui Mining and Smelting Co., Ltd. | Gold | JAPAN | CID001193 | |||
| MMTC-PAMP India Pvt., Ltd. | Gold | INDIA | CID002509 | |||
| Modeltech Sdn Bhd | Gold | MALAYSIA | CID002857 | |||
| Morris and Watson | Gold | NEW ZEALAND | CID002282 | |||
| Moscow Special Alloys Processing Plant | Gold | RUSSIAN FEDERATION | CID001204 | |||
| Nadir Metal Rafineri San. Ve Tic. A.Ş. | Gold | TURKEY | CID001220 | |||
| Navoi Mining and Metallurgical Combinat | Gold | UZBEKISTAN | CID001236 | |||
| Nihon Material Co., Ltd. | Gold | JAPAN | CID001259 | |||
| Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Gold | AUSTRIA | CID002779 | |||
| Ohura Precious Metal Industry Co., Ltd. | Gold | JAPAN | CID001325 | |||
| OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Gold | RUSSIAN FEDERATION | CID001326 | |||
| OJSC Novosibirsk Refinery | Gold | RUSSIAN FEDERATION | CID000493 | |||
| PAMP S.A. | Gold | SWITZERLAND | CID001352 | |||
| Penglai Penggang Gold Industry Co., Ltd. | Gold | CHINA | CID001362 | |||
| Prioksky Plant of Non-Ferrous Metals | Gold | RUSSIAN FEDERATION | CID001386 | |||
| PT Aneka Tambang (Persero) Tbk | Gold | INDONESIA | CID001397 | |||
| PX Précinox S.A. | Gold | SWITZERLAND | CID001498 | |||
| Rand Refinery (Pty) Ltd. | Gold | SOUTH AFRICA | CID001512 | |||
| Remondis Argentia B.V. | Gold | NETHERLANDS | CID002582 | |||
| Republic Metals Corporation | Gold | UNITED STATES OF AMERICA | CID002510 | |||
| Royal Canadian Mint | Gold | CANADA | CID001534 | |||
| SAAMP | Gold | FRANCE | CID002761 | |||
6
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Sabin Metal Corp. | Gold | UNITED STATES OF AMERICA | CID001546 | |||
| SAFINA A.S. | Gold | CZECH REPUBLIC | CID002290 | |||
| Sai Refinery | Gold | INDIA | CID002853 | |||
| Samduck Precious Metals | Gold | KOREA (REPUBLIC OF) | CID001555 | |||
| Samwon Metals Corp. | Gold | KOREA (REPUBLIC OF) | CID001562 | |||
| SAXONIA Edelmetalle GmbH | Gold | GERMANY | CID002777 | |||
| Schone Edelmetaal B.V. | Gold | NETHERLANDS | CID001573 | |||
| SEMPSA Joyería Platería S.A. | Gold | SPAIN | CID001585 | |||
| Shandong Tiancheng Biological Gold Industrial Co., Ltd. | Gold | CHINA | CID001619 | |||
| Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | Gold | CHINA | CID001622 | |||
| Sichuan Tianze Precious Metals Co., Ltd. | Gold | CHINA | CID001736 | |||
| Singway Technology Co., Ltd. | Gold | TAIWAN, PROVINCE OF CHINA | CID002516 | |||
| So Accurate Group, Inc. | Gold | UNITED STATES OF AMERICA | CID001754 | |||
| SOE Shyolkovsky Factory of Secondary Precious Metals | Gold | RUSSIAN FEDERATION | CID001756 | |||
| Solar Applied Materials Technology Corp. | Gold | TAIWAN, PROVINCE OF CHINA | CID001761 | |||
| Sudan Gold Refinery | Gold | SUDAN | CID002567 | |||
| Sumitomo Metal Mining Co., Ltd. | Gold | JAPAN | CID001798 | |||
| T.C.A S.p.A | Gold | ITALY | CID002580 | |||
| Tanaka Kikinzoku Kogyo K.K. | Gold | JAPAN | CID001875 | |||
| The Refinery of Shandong Gold Mining Co., Ltd. | Gold | CHINA | CID001916 | |||
| Tokuriki Honten Co., Ltd. | Gold | JAPAN | CID001938 | |||
| Tongling Nonferrous Metals Group Co., Ltd. | Gold | CHINA | CID001947 | |||
| Tony Goetz NV | Gold | BELGIUM | CID002587 | |||
| TOO Tau-Ken-Altyn | Gold | KAZAKHSTAN | CID002615 | |||
| Torecom | Gold | KOREA (REPUBLIC OF) | CID001955 | |||
| Umicore Brasil Ltda. | Gold | BRAZIL | CID001977 | |||
| Umicore Precious Metals Thailand | Gold | THAILAND | CID002314 | |||
| Umicore S.A. Business Unit Precious Metals Refining | Gold | BELGIUM | CID001980 | |||
| United Precious Metal Refining, Inc. | Gold | UNITED STATES OF AMERICA | CID001993 | |||
| Universal Precious Metals Refining Zambia | Gold | ZAMBIA | CID002854 | |||
| Valcambi S.A. | Gold | SWITZERLAND | CID002003 | |||
| Western Australian Mint trading as The Perth Mint | Gold | AUSTRALIA | CID002030 | |||
7
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| WIELAND Edelmetalle GmbH | Gold | GERMANY | CID002778 | |||
| Yamamoto Precious Metal Co., Ltd. | Gold | JAPAN | CID002100 | |||
| Yokohama Metal Co., Ltd. | Gold | JAPAN | CID002129 | |||
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Gold | CHINA | CID002224 | |||
| Zijin Mining Group Co., Ltd. Gold Refinery | Gold | CHINA | CID002243 | |||
| Changsha South Tantalum Niobium Co., Ltd. | Tantalum | CHINA | CID000211 | |||
| Conghua Tantalum and Niobium Smeltry | Tantalum | CHINA | CID000291 | |||
| D Block Metals, LLC | Tantalum | UNITED STATES OF AMERICA | CID002504 | |||
| Duoluoshan | Tantalum | CHINA | CID000410 | |||
| Exotech Inc. | Tantalum | UNITED STATES OF AMERICA | CID000456 | |||
| F&X Electro-Materials Ltd. | Tantalum | CHINA | CID000460 | |||
| FIR Metals & Resource Ltd. | Tantalum | CHINA | CID002505 | |||
| Global Advanced Metals Aizu | Tantalum | JAPAN | CID002558 | |||
| Global Advanced Metals Boyertown | Tantalum | UNITED STATES OF AMERICA | CID002557 | |||
| Guangdong Zhiyuan New Material Co., Ltd. | Tantalum | CHINA | CID000616 | |||
| H.C. Starck Co., Ltd. | Tantalum | THAILAND | CID002544 | |||
| H.C. Starck GmbH Goslar | Tantalum | GERMANY | CID002545 | |||
| H.C. Starck Hermsdorf GmbH | Tantalum | GERMANY | CID002547 | |||
| H.C. Starck Inc. | Tantalum | UNITED STATES OF AMERICA | CID002548 | |||
| H.C. Starck Ltd. | Tantalum | JAPAN | CID002549 | |||
| H.C. Starck Smelting GmbH & Co. KG | Tantalum | GERMANY | CID002550 | |||
| Hengyang King Xing Lifeng New Materials Co., Ltd. | Tantalum | CHINA | CID002492 | |||
| Hi-Temp Specialty Metals, Inc. | Tantalum | UNITED STATES OF AMERICA | CID000731 | |||
| Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | Tantalum | CHINA | CID002512 | |||
| Jiangxi Tuohong New Raw Material | Tantalum | CHINA | CID002842 | |||
| JiuJiang JinXin Nonferrous Metals Co., Ltd. | Tantalum | CHINA | CID000914 | |||
| Jiujiang Tanbre Co., Ltd. | Tantalum | CHINA | CID000917 | |||
| Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | Tantalum | CHINA | CID002506 | |||
| KEMET Blue Metals | Tantalum | MEXICO | CID002539 | |||
| KEMET Blue Powder | Tantalum | UNITED STATES OF AMERICA | CID002568 | |||
| King-Tan Tantalum Industry Ltd. | Tantalum | CHINA | CID000973 | |||
| LSM Brasil S.A. | Tantalum | BRAZIL | CID001076 | |||
| Metallurgical Products India Pvt., Ltd. | Tantalum | INDIA | CID001163 | |||
| Mineração Taboca S.A. | Tantalum | BRAZIL | CID001175 | |||
| Mitsui Mining and Smelting Co., Ltd. | Tantalum | JAPAN | CID001192 | |||
8
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Molycorp Silmet A.S. | Tantalum | ESTONIA | CID001200 | |||
| Ningxia Orient Tantalum Industry Co., Ltd. | Tantalum | CHINA | CID001277 | |||
| Power Resources Ltd. | Tantalum | MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) | CID002847 | |||
| QuantumClean | Tantalum | UNITED STATES OF AMERICA | CID001508 | |||
| Resind Indústria e Comércio Ltda. | Tantalum | BRAZIL | CID002707 | |||
| RFH Tantalum Smeltry Co., Ltd. | Tantalum | CHINA | CID001522 | |||
| Solikamsk Magnesium Works OAO | Tantalum | RUSSIAN FEDERATION | CID001769 | |||
| Taki Chemical Co., Ltd. | Tantalum | JAPAN | CID001869 | |||
| Telex Metals | Tantalum | UNITED STATES OF AMERICA | CID001891 | |||
| Tranzact, Inc. | Tantalum | UNITED STATES OF AMERICA | CID002571 | |||
| Ulba Metallurgical Plant JSC | Tantalum | KAZAKHSTAN | CID001969 | |||
| XinXing HaoRong Electronic Material Co., Ltd. | Tantalum | CHINA | CID002508 | |||
| Yichun Jin Yang Rare Metal Co., Ltd. | Tantalum | CHINA | CID002307 | |||
| Zhuzhou Cemented Carbide Group Co., Ltd. | Tantalum | CHINA | CID002232 | |||
| Alpha | Tin | UNITED STATES OF AMERICA | CID000292 | |||
| An Thai Minerals Co., Ltd. | Tin | VIET NAM | CID002825 | |||
| An Vinh Joint Stock Mineral Processing Company | Tin | VIET NAM | CID002703 | |||
| Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | Tin | CHINA | CID000228 | |||
| China Tin Group Co., Ltd. | Tin | CHINA | CID001070 | |||
| CNMC (Guangxi) PGMA Co., Ltd. | Tin | CHINA | CID000278 | |||
| Cooperativa Metalurgica de Rondônia Ltda. | Tin | BRAZIL | CID000295 | |||
| CV Ayi Jaya | Tin | INDONESIA | CID002570 | |||
| CV Dua Sekawan | Tin | INDONESIA | CID002592 | |||
| CV Gita Pesona | Tin | INDONESIA | CID000306 | |||
| CV Serumpun Sebalai | Tin | INDONESIA | CID000313 | |||
| CV Tiga Sekawan | Tin | INDONESIA | CID002593 | |||
| CV United Smelting | Tin | INDONESIA | CID000315 | |||
| CV Venus Inti Perkasa | Tin | INDONESIA | CID002455 | |||
| Dowa | Tin | JAPAN | CID000402 | |||
| Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Tin | VIET NAM | CID002572 | |||
| Elmet S.L.U. | Tin | SPAIN | CID002774 | |||
| EM Vinto | Tin | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | |||
9
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Estanho de Rondônia S.A. | Tin | BRAZIL | CID000448 | |||
| Fenix Metals | Tin | POLAND | CID000468 | |||
| Gejiu Fengming Metallurgy Chemical Plant | Tin | CHINA | CID002848 | |||
| Gejiu Jinye Mineral Company | Tin | CHINA | CID002859 | |||
| Gejiu Kai Meng Industry and Trade LLC | Tin | CHINA | CID000942 | |||
| Gejiu Non-Ferrous Metal Processing Co., Ltd. | Tin | CHINA | CID000538 | |||
| Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | Tin | CHINA | CID001908 | |||
| Gejiu Zili Mining And Metallurgy Co., Ltd. | Tin | CHINA | CID000555 | |||
| Guanyang Guida Nonferrous Metal Smelting Plant | Tin | CHINA | CID002849 | |||
| HuiChang Hill Tin Industry Co., Ltd. | Tin | CHINA | CID002844 | |||
| Huichang Jinshunda Tin Co., Ltd. | Tin | CHINA | CID000760 | |||
| Jiangxi Ketai Advanced Material Co., Ltd. | Tin | CHINA | CID000244 | |||
| Magnu’s Minerais Metais e Ligas Ltda. | Tin | BRAZIL | CID002468 | |||
| Malaysia Smelting Corporation (MSC) | Tin | MALAYSIA | CID001105 | |||
| Melt Metais e Ligas S.A. | Tin | BRAZIL | CID002500 | |||
| Metallic Resources, Inc. | Tin | UNITED STATES OF AMERICA | CID001142 | |||
| Metallo-Chimique N.V. | Tin | BELGIUM | CID002773 | |||
| Mineração Taboca S.A. | Tin | BRAZIL | CID001173 | |||
| Minsur | Tin | PERU | CID001182 | |||
| Mitsubishi Materials Corporation | Tin | JAPAN | CID001191 | |||
| Modeltech Sdn Bhd | Tin | MALAYSIA | CID002858 | |||
| Nankang Nanshan Tin Manufactory Co., Ltd. | Tin | CHINA | CID001231 | |||
| Nghe Tinh Non-Ferrous Metals Joint Stock Company | Tin | VIET NAM | CID002573 | |||
| O.M. Manufacturing (Thailand) Co., Ltd. | Tin | THAILAND | CID001314 | |||
| O.M. Manufacturing Philippines, Inc. | Tin | PHILIPPINES | CID002517 | |||
| Operaciones Metalurgical S.A. | Tin | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | |||
| Phoenix Metal Ltd. | Tin | RWANDA | CID002507 | |||
| PT Aries Kencana Sejahtera | Tin | INDONESIA | CID000309 | |||
| PT Artha Cipta Langgeng | Tin | INDONESIA | CID001399 | |||
| PT ATD Makmur Mandiri Jaya | Tin | INDONESIA | CID002503 | |||
| PT Babel Inti Perkasa | Tin | INDONESIA | CID001402 | |||
| PT Bangka Prima Tin | Tin | INDONESIA | CID002776 | |||
| PT Bangka Tin Industry | Tin | INDONESIA | CID001419 | |||
| PT Belitung Industri Sejahtera | Tin | INDONESIA | CID001421 | |||
| PT Bukit Timah | Tin | INDONESIA | CID001428 | |||
| PT Cipta Persada Mulia | Tin | INDONESIA | CID002696 | |||
10
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| PT DS Jaya Abadi | Tin | INDONESIA | CID001434 | |||
| PT Eunindo Usaha Mandiri | Tin | INDONESIA | CID001438 | |||
| PT Inti Stania Prima | Tin | INDONESIA | CID002530 | |||
| PT Justindo | Tin | INDONESIA | CID000307 | |||
| PT Karimun Mining | Tin | INDONESIA | CID001448 | |||
| PT Kijang Jaya Mandiri | Tin | INDONESIA | CID002829 | |||
| PT Menara Cipta Mulia | Tin | INDONESIA | CID002835 | |||
| PT Mitra Stania Prima | Tin | INDONESIA | CID001453 | |||
| PT O.M. Indonesia | Tin | INDONESIA | CID002757 | |||
| PT Panca Mega Persada | Tin | INDONESIA | CID001457 | |||
| PT Prima Timah Utama | Tin | INDONESIA | CID001458 | |||
| PT Refined Bangka Tin | Tin | INDONESIA | CID001460 | |||
| PT Sariwiguna Binasentosa | Tin | INDONESIA | CID001463 | |||
| PT Stanindo Inti Perkasa | Tin | INDONESIA | CID001468 | |||
| PT Sukses Inti Makmur | Tin | INDONESIA | CID002816 | |||
| PT Sumber Jaya Indah | Tin | INDONESIA | CID001471 | |||
| PT Timah (Persero) Tbk Kundur | Tin | INDONESIA | CID001477 | |||
| PT Timah (Persero) Tbk Mentok | Tin | INDONESIA | CID001482 | |||
| PT Tinindo Inter Nusa | Tin | INDONESIA | CID001490 | |||
| PT Tommy Utama | Tin | INDONESIA | CID001493 | |||
| Resind Indústria e Comércio Ltda. | Tin | BRAZIL | CID002706 | |||
| Rui Da Hung | Tin | TAIWAN, PROVINCE OF CHINA | CID001539 | |||
| Soft Metais Ltda. | Tin | BRAZIL | CID001758 | |||
| Thaisarco | Tin | THAILAND | CID001898 | |||
| Tuyen Quang Non-Ferrous Metals Joint Stock Company | Tin | VIET NAM | CID002574 | |||
| VQB Mineral and Trading Group JSC | Tin | VIET NAM | CID002015 | |||
| White Solder Metalurgia e Mineração Ltda. | Tin | BRAZIL | CID002036 | |||
| Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | Tin | CHINA | CID002158 | |||
| Yunnan Tin Company Limited | Tin | CHINA | CID002180 | |||
| A.L.M.T. TUNGSTEN Corp. | Tungsten | JAPAN | CID000004 | |||
| ACL Metais Eireli | Tungsten | BRAZIL | CID002833 | |||
| Asia Tungsten Products Vietnam Ltd. | Tungsten | VIET NAM | CID002502 | |||
| Chenzhou Diamond Tungsten Products Co., Ltd. | Tungsten | CHINA | CID002513 | |||
| Chongyi Zhangyuan Tungsten Co., Ltd. | Tungsten | CHINA | CID000258 | |||
| Dayu Weiliang Tungsten Co., Ltd. | Tungsten | CHINA | CID000345 | |||
| Fujian Jinxin Tungsten Co., Ltd. | Tungsten | CHINA | CID000499 | |||
| Ganzhou Huaxing Tungsten Products Co., Ltd. | Tungsten | CHINA | CID000875 | |||
11
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Ganzhou Jiangwu Ferrotungsten Co., Ltd. | Tungsten | CHINA | CID002315 | |||
| Ganzhou Seadragon W & Mo Co., Ltd. | Tungsten | CHINA | CID002494 | |||
| Ganzhou Yatai Tungsten Co., Ltd. | Tungsten | CHINA | CID002536 | |||
| Global Tungsten & Powders Corp. | Tungsten | UNITED STATES OF AMERICA | CID000568 | |||
| Guangdong Xianglu Tungsten Co., Ltd. | Tungsten | CHINA | CID000218 | |||
| H.C. Starck GmbH | Tungsten | GERMANY | CID002541 | |||
| H.C. Starck Smelting GmbH & Co.KG | Tungsten | GERMANY | CID002542 | |||
| Hunan Chenzhou Mining Co., Ltd. | Tungsten | CHINA | CID000766 | |||
| Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | Tungsten | CHINA | CID002579 | |||
| Hunan Chunchang Nonferrous Metals Co., Ltd. | Tungsten | CHINA | CID000769 | |||
| Hydrometallurg, JSC | Tungsten | RUSSIAN FEDERATION | CID002649 | |||
| Japan New Metals Co., Ltd. | Tungsten | JAPAN | CID000825 | |||
| Jiangwu H.C. Starck Tungsten Products Co., Ltd. | Tungsten | CHINA | CID002551 | |||
| Jiangxi Dayu Longxintai Tungsten Co., Ltd. | Tungsten | CHINA | CID002647 | |||
| Jiangxi Gan Bei Tungsten Co., Ltd. | Tungsten | CHINA | CID002321 | |||
| Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | Tungsten | CHINA | CID002313 | |||
| Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | Tungsten | CHINA | CID002318 | |||
| Jiangxi Xinsheng Tungsten Industry Co., Ltd. | Tungsten | CHINA | CID002317 | |||
| Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | Tungsten | CHINA | CID002535 | |||
| Jiangxi Yaosheng Tungsten Co., Ltd. | Tungsten | CHINA | CID002316 | |||
| Kennametal Fallon | Tungsten | UNITED STATES OF AMERICA | CID000966 | |||
| Malipo Haiyu Tungsten Co., Ltd. | Tungsten | CHINA | CID002319 | |||
| Moliren Ltd | Tungsten | RUSSIAN FEDERATION | CID002845 | |||
| Niagara Refining LLC | Tungsten | UNITED STATES OF AMERICA | CID002589 | |||
| Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Tungsten | VIET NAM | CID002543 | |||
| Philippine Chuangxin Industrial Co., Inc. | Tungsten | PHILIPPINES | CID002827 | |||
| South-East Nonferrous Metal Company Limited of Hengyang City | Tungsten | CHINA | CID002815 | |||
| Tejing (Vietnam) Tungsten Co., Ltd. | Tungsten | VIET NAM | CID001889 | |||
| Unecha Refractory metals plant | Tungsten | RUSSIAN FEDERATION | CID002724 | |||
| Vietnam Youngsun Tungsten Industry Co., Ltd. | Tungsten | VIET NAM | CID002011 | |||
| Wolfram Bergbau und Hütten AG | Tungsten | AUSTRIA | CID002044 | |||
| Woltech Korea Co., Ltd. | Tungsten | KOREA (REPUBLIC OF) | CID002843 | |||
| Xiamen Tungsten (H.C.) Co., Ltd. | Tungsten | CHINA | CID002320 | |||
12
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2016
LISTOFFACILITIES | ||||||
Smelter/Refinery Name | Conflict | Location | EICC/CFSP | |||
| Xiamen Tungsten Co., Ltd. | Tungsten | CHINA | CID002082 | |||
| Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | Tungsten | CHINA | CID002830 | |||
| Xinhai Rendan Shaoguan Tungsten Co., Ltd. | Tungsten | CHINA | CID002095 | |||
Countries of origin for these facilities are believed to include: Angola, Australia, Austria, Belgium, Bolivia, Brazil, Burundi, Canada, Central African Republic, China, Czech Republic, Estonia, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Macedonia, Malaysia, Mexico, Netherlands, New Zealand, Peru, Philippines, Poland, Republic of Congo, Republic of Korea, Russian Federation, Rwanda, Saudi Arabia, Singapore, South Africa, South Sudan, Spain, Sweden, Switzerland, Taiwan, Tanzania, Thailand, Turkey, Uganda, United Arab Emirates, United Kingdom, United States, Uzbekistan, Vietnam, Zambia, Zimbabwe.
EFFORTS TO DETERMINE THE CONFLICT MINERALS’ MINE OR LOCATION OF ORIGIN
Through our participation in the CFSI and requiring our suppliers to complete the CMRT we have determined that seeking information about conflict mineral smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the conflict minerals in our supply chain.
STEPS TO BE TAKEN TO MITIGATE RISK
In 2016 we continued a smelter identification and acceptance review applied during processing of supplier CMRTs. This allowed us to provide feedback to suppliers identifying smelter entries that could not be recognized when referenced to the CFSI standard smelter names or other known smelters/refiners and requesting that they work to resolve these unknown smelters for future submissions.
In 2017 we intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary conflict minerals in our products could benefit armed groups in the DRC or adjoining countries:
| • | Continue to urge suppliers to provide smelters than can be recognized or traced to facilities known as actual smelter or refiners to the CFSI or other industry reference source. |
| • | Continue participation in CFSI (Member ID ARRS) to drive the improvement of industry tools, resources and traceability programs. |
| • | Continue to audit and measure our supply base to drive supplier improvements in the conflict minerals program. |
13
