Form SD ARRIS International plc
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form SD
SPECIALIZED DISCLOSURE REPORT
ARRIS International plc
(Exact Name of Registrant as Specified in Charter)
| England and Wales | 001-37632 | 98-1241619 | ||
| (State or other jurisdiction of incorporation or organization) |
(Commission File No.) |
(I.R.S. Employer Identification Number) |
3871 Lakefield Drive
Suwanee, Georgia 30024
(Address and zip code of principal executive offices)
David B. Potts
Chief Financial Officer
(678) 473-3000
(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:
| ☒ | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017. |
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
Section 1 - Conflict Minerals Disclosure
Items 1.01 and 1.02 Conflict Minerals Disclosure and Report, Exhibit
Conflict Minerals Disclosure
A copy of The Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and a link to the report is publicly available at http://phx.corporate-ir.net/phoenix.zhtml?c=87823&p=irol-sec
Section 2 - Exhibits
Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
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 duly authorized undersigned.
ARRIS International plc.
By:
| By: | /s/ Patrick Macken |
Date: May 21, 2018 | ||||
| Patrick Macken | ||||||
| Senior Vice President, General Council And Secretary |
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
EXHIBIT INDEX
| Exhibit Number |
Description | |
| 1.01 | Conflict Minerals Report for the reporting period January 1, 2017 to December 31, 2017 | |
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EXHIBIT 1.01
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
ARRIS INTERNATIONAL PLC
CONFLICT MINERALS REPORT
FOR THE REPORTING PERIOD FROM
JANUARY 1, 2017 TO DECEMBER 31, 2017
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
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, 2017 to December 31, 2017.
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, Wi-Fi access points, network switches, 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).
On December 1, 2017, we completed a stock and asset purchase acquisition of the Ruckus Wireless® and ICX® Switch business (collectively “Ruckus” or “Ruckus Networks”) from LSI Corporation, a Delaware corporation (“Seller”), and Broadcom Corporation, a California corporation (“Broadcom”). The Conflict Mineral Reporting for all products acquired by ARRIS under the Ruckus acquisition for the year 2017 are being reported through Brocade Communications Systems, Inc.
For the reporting period from January 1, 2017 to December 31, 2017, 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, 2017, 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 Responsible Minerals Initiative (RMI) 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, Third 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; |
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| 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 |
| 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; and |
| 5) | vetted all facilities reported by suppliers against the RMI Smelter Database and the RMI RCOI Data to determine smelter validity and country of origin. |
DUE DILIGENCE RESULTS
We had a response rate of 100% 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 RMI RCOI Data (dated 3-16-18) 39 smelters or refiners were identified as sourcing from the covered countries. All were listed on the RMI Conflict-Free Smelter list.
Two suppliers indicated a gold smelter located in Zambia. According to the RMI Smelter database, the smelter has thus far refused to participate in the RMI Responsible Minerals Assurance Process (RMAP). Detailed sourcing information is not available at this time. RMI continues to urge them to participate in the program.
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
Overall, of the 312 unique smelters identified by our suppliers and verified against RMI known smelters and refiners, 252 are listed as “Conformant” by RMI and 8 are “Active” (RMI Database 3-28-18).
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 RMI known smelters and refiners.
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| Abington Reldan Metals, LLC | Gold | UNITED STATES OF AMERICA | CID002708 | |||
| Advanced Chemical Company | Gold | UNITED STATES OF AMERICA | CID000015 | |||
| Aida Chemical Industries Co., Ltd. | Gold | JAPAN | CID000019 | |||
| Al Etihad Gold LLC | Gold | UNITED ARAB EMIRATES | CID002560 | |||
| Allgemeine Gold-und Silberscheideanstalt A.G. | Gold | GERMANY | CID000035 | |||
| Almalyk Mining and Metallurgical Complex (AMMC) | Gold | UZBEKISTAN | CID000041 | |||
| AngloGold Ashanti Corrego do Sitio Mineracao | Gold | BRAZIL | CID000058 | |||
| Argor-Heraeus S.A. | Gold | SWITZERLAND | CID000077 | |||
| Asahi Pretec Corp. | Gold | JAPAN | CID000082 | |||
| Asahi Refining Canada Ltd. | Gold | CANADA | CID000924 | |||
| Asahi Refining USA Inc. | Gold | UNITED STATES OF AMERICA | CID000920 | |||
| Asaka Riken Co., Ltd. | Gold | JAPAN | CID000090 | |||
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Gold | TURKEY | CID000103 | |||
| AU Traders and Refiners | Gold | SOUTH AFRICA | CID002850 | |||
| Aurubis AG | Gold | GERMANY | CID000113 | |||
| Bangalore Refinery | Gold | INDIA | CID002863 | |||
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Gold | PHILIPPINES | CID000128 | |||
| Boliden AB | Gold | SWEDEN | CID000157 | |||
| C. Hafner GmbH + Co. KG | Gold | GERMANY | CID000176 | |||
| Caridad | Gold | MEXICO | CID000180 | |||
| CCR Refinery - Glencore Canada Corporation | Gold | CANADA | CID000185 | |||
| Cendres + Metaux S.A. | Gold | SWITZERLAND | CID000189 | |||
| 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 | |||
| Degussa Sonne / Mond Goldhandel GmbH | Gold | GERMANY | CID002867 | |||
| DODUCO Contacts and Refining 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 | |||
| 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 | |||
| GCC Gujrat Gold Centre Pvt. Ltd. | Gold | INDIA | CID002852 | |||
| Geib Refining Corporation | Gold | UNITED STATES OF AMERICA | CID002459 | |||
| Gold Refinery of Zijin Mining Group Co., Ltd. | Gold | CHINA | CID002243 | |||
| Great Wall Precious Metals Co., Ltd. of CBPM | Gold | CHINA | CID001909 | |||
| Guangdong Jinding Gold Limited | Gold | CHINA | CID002312 | |||
| Guoda Safina High-Tech Environmental Refinery Co., Ltd. | Gold | CHINA | CID000651 | |||
| Hangzhou Fuchunjiang Smelting Co., Ltd. | Gold | CHINA | CID000671 | |||
| HeeSung Metal Ltd. | Gold | KOREA, REPUBLIC OF |
CID000689 | |||
| Heimerle + Meule GmbH | Gold | GERMANY | CID000694 | |||
| Heraeus Metals Hong Kong Ltd. | 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 | |||
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| Italpreziosi | Gold | ITALY | CID002765 | |||
| 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 Miedz Spolka 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 | |||
| Kyshtym Copper-Electrolytic Plant ZAO | Gold | RUSSIAN FEDERATION | CID002865 | |||
| L’azurde Company For Jewelry | Gold | SAUDI ARABIA | CID001032 | |||
| Lingbao Gold Co., Ltd. | Gold | CHINA | CID001056 | |||
| Lingbao Jinyuan Tonghui Refinery Co., Ltd. | Gold | CHINA | CID001058 | |||
| L’Orfebre S.A. | Gold | ANDORRA | CID002762 | |||
| LS-NIKKO Copper Inc. | Gold | KOREA, REPUBLIC OF |
CID001078 | |||
| Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | Gold | CHINA | CID001093 | |||
| Marsam Metals | Gold | BRAZIL | CID002606 | |||
| 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 | |||
| Metalurgica Met-Mex Penoles 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 | |||
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| Morris and Watson | Gold | NEW ZEALAND | CID002282 | |||
| Morris and Watson Gold Coast | Gold | AUSTRALIA | CID002866 | |||
| Moscow Special Alloys Processing Plant | Gold | RUSSIAN FEDERATION | CID001204 | |||
| Nadir Metal Rafineri San. Ve Tic. A.S. | Gold | TURKEY | CID001220 | |||
| Navoi Mining and Metallurgical Combinat | Gold | UZBEKISTAN | CID001236 | |||
| Nihon Material Co., Ltd. | Gold | JAPAN | CID001259 | |||
| Ogussa Osterreichische 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 | |||
| Pease & Curren | Gold | UNITED STATES OF AMERICA | CID002872 | |||
| Penglai Penggang Gold Industry Co., Ltd. | Gold | CHINA | CID001362 | |||
| Planta Recuperadora de Metales SpA | Gold | CHILE | CID002919 | |||
| Prioksky Plant of Non-Ferrous Metals | Gold | RUSSIAN FEDERATION | CID001386 | |||
| PT Aneka Tambang (Persero) Tbk | Gold | INDONESIA | CID001397 | |||
| PX Precinox S.A. | Gold | SWITZERLAND | CID001498 | |||
| Rand Refinery (Pty) Ltd. | Gold | SOUTH AFRICA | CID001512 | |||
| Refinery of Seemine Gold Co., Ltd. | Gold | CHINA | CID000522 | |||
| 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 | |||
| Sabin Metal Corp. | Gold | UNITED STATES OF AMERICA | CID001546 | |||
| Safimet S.p.A | Gold | ITALY | CID002973 | |||
| 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 Joyeria Plateria S.A. | Gold | SPAIN | CID001585 | |||
| Shandong Tiancheng Biological Gold Industrial Co., Ltd. | Gold | CHINA | CID001619 | |||
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| 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 | |||
| SOE Shyolkovsky Factory of Secondary Precious Metals | Gold | RUSSIAN FEDERATION | CID001756 | |||
| Solar Applied Materials Technology Corp. | Gold | TAIWAN, PROVINCE OF CHINA | CID001761 | |||
| State Research Institute Center for Physical Sciences and Technology | Gold | LITHUANIA | CID003153 | |||
| Sudan Gold Refinery | Gold | SUDAN | CID002567 | |||
| Sumitomo Metal Mining Co., Ltd. | Gold | JAPAN | CID001798 | |||
| SungEel HiMetal Co., Ltd. | Gold | KOREA, REPUBLIC OF |
CID002918 | |||
| 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 (T/a The Perth Mint) | Gold | AUSTRALIA | CID002030 | |||
| WIELAND Edelmetalle GmbH | Gold | GERMANY | CID002778 | |||
| Yamakin Co., Ltd. | Gold | JAPAN | CID002100 | |||
| Yokohama Metal Co., Ltd. | Gold | JAPAN | CID002129 | |||
| Yunnan Copper Industry Co., Ltd. | Gold | CHINA | CID000197 | |||
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Gold | CHINA | CID002224 | |||
| Asaka Riken Co., Ltd. | Tantalum | JAPAN | CID000092 | |||
| Changsha South Tantalum Niobium Co., Ltd. | Tantalum | CHINA | CID000211 | |||
| D Block Metals, LLC | Tantalum | UNITED STATES OF AMERICA | CID002504 | |||
| Duoluoshan | Tantalum | CHINA | CID000410 | |||
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| 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 Rising Rare Metals-EO Materials Ltd. | Tantalum | CHINA | CID000291 | |||
| Guangdong Zhiyuan New Material Co., Ltd. | Tantalum | CHINA | CID000616 | |||
| H.C. Starck Co., Ltd. | Tantalum | THAILAND | CID002544 | |||
| 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 | |||
| H.C. Starck Tantalum and Niobium GmbH | Tantalum | GERMANY | CID002545 | |||
| Hengyang King Xing Lifeng New Materials Co., Ltd. | Tantalum | CHINA | CID002492 | |||
| 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 | |||
| LSM Brasil S.A. | Tantalum | BRAZIL | CID001076 | |||
| Metallurgical Products India Pvt., Ltd. | Tantalum | INDIA | CID001163 | |||
| Mineracao Taboca S.A. | Tantalum | BRAZIL | CID001175 | |||
| Mitsui Mining and Smelting Co., Ltd. | Tantalum | JAPAN | CID001192 | |||
| Ningxia Orient Tantalum Industry Co., Ltd. | Tantalum | CHINA | CID001277 | |||
| NPM Silmet AS | Tantalum | ESTONIA | CID001200 | |||
| Power Resources Ltd. | Tantalum | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF |
CID002847 | |||
| QuantumClean | Tantalum | UNITED STATES OF AMERICA | CID001508 | |||
| Resind Industria e Comercio Ltda. | Tantalum | BRAZIL | CID002707 | |||
| RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | Tantalum | CHINA | CID001522 | |||
| Solikamsk Magnesium Works OAO | Tantalum | RUSSIAN FEDERATION | CID001769 | |||
| Taki Chemical Co., Ltd. | Tantalum | JAPAN | CID001869 | |||
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ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| Telex Metals | Tantalum | UNITED STATES OF AMERICA | CID001891 | |||
| 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 | |||
| Alpha | Tin | UNITED STATES OF AMERICA | CID000292 | |||
| 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 | |||
| CV Ayi Jaya | Tin | INDONESIA | CID002570 | |||
| CV Dua Sekawan | Tin | INDONESIA | CID002592 | |||
| CV Gita Pesona | Tin | INDONESIA | CID000306 | |||
| 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 | |||
| EM Vinto | Tin | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | |||
| Estanho de Rondonia 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 | |||
| Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | Tin | CHINA | CID003116 | |||
| 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 | |||
| Jiangxi New Nanshan Technology Ltd. | Tin | CHINA | CID001231 | |||
| 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 | |||
10
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| Metallo Belgium N.V. | Tin | BELGIUM | CID002773 | |||
| Metallo Spain S.L.U. | Tin | SPAIN | CID002774 | |||
| Mineracao Taboca S.A. | Tin | BRAZIL | CID001173 | |||
| Minsur | Tin | PERU | CID001182 | |||
| Mitsubishi Materials Corporation | Tin | JAPAN | CID001191 | |||
| Modeltech Sdn Bhd | Tin | MALAYSIA | CID002858 | |||
| 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 | |||
| 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 DS Jaya Abadi | Tin | INDONESIA | CID001434 | |||
| PT Eunindo Usaha Mandiri | Tin | INDONESIA | CID001438 | |||
| PT Inti Stania Prima | Tin | INDONESIA | CID002530 | |||
| PT Karimun Mining | Tin | INDONESIA | CID001448 | |||
| PT Kijang Jaya Mandiri | Tin | INDONESIA | CID002829 | |||
| PT Lautan Harmonis Sejahtera | Tin | INDONESIA | CID002870 | |||
| PT Menara Cipta Mulia | Tin | INDONESIA | CID002835 | |||
| PT Mitra Stania Prima | Tin | INDONESIA | CID001453 | |||
| PT Panca Mega Persada | Tin | INDONESIA | CID001457 | |||
| PT Premium Tin Indonesia | Tin | INDONESIA | CID000313 | |||
| PT Prima Timah Utama | Tin | INDONESIA | CID001458 | |||
| PT Rajehan Ariq | Tin | INDONESIA | CID002593 | |||
| 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 | |||
11
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| PT Tinindo Inter Nusa | Tin | INDONESIA | CID001490 | |||
| PT Tommy Utama | Tin | INDONESIA | CID001493 | |||
| Resind Industria e Comercio Ltda. | Tin | BRAZIL | CID002706 | |||
| Rui Da Hung | Tin | TAIWAN, PROVINCE OF CHINA | CID001539 | |||
| Soft Metais Ltda. | Tin | BRAZIL | CID001758 | |||
| Super Ligas | Tin | BRAZIL | CID002756 | |||
| Thaisarco | Tin | THAILAND | CID001898 | |||
| Tuyen Quang Non-Ferrous Metals Joint Stock Company | Tin | VIET NAM | CID002574 | |||
| White Solder Metalurgia e Mineracao 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 | |||
| Fujian Jinxin Tungsten Co., Ltd. | Tungsten | CHINA | CID000499 | |||
| Ganzhou Haichuang Tungsten Co., Ltd. | Tungsten | CHINA | CID002645 | |||
| Ganzhou Huaxing Tungsten Products Co., Ltd. | Tungsten | CHINA | CID000875 | |||
| 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 Smelting GmbH & Co. KG | Tungsten | GERMANY | CID002542 | |||
| H.C. Starck Tungsten GmbH | Tungsten | GERMANY | CID002541 | |||
| 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 | |||
| Hunan Litian Tungsten Industry Co., Ltd. | Tungsten | CHINA | CID003182 | |||
| 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 | |||
12
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
| LIST OF FACILITIES | ||||||
| Smelter/Refinery Name |
Conflict Mineral |
Location |
RMI ID | |||
| 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 | |||
| Kennametal Huntsville | Tungsten | UNITED STATES OF AMERICA | CID000105 | |||
| 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 Hutten AG | Tungsten | AUSTRIA | CID002044 | |||
| Woltech Korea Co., Ltd. | Tungsten | KOREA, REPUBLIC OF | CID002843 | |||
| Xiamen Tungsten (H.C.) Co., Ltd. | Tungsten | CHINA | CID002320 | |||
| 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: Andorra, Angola, Australia, Austria, Belgium, Bolivia, Brazil, Burundi, Canada, Central African Republic, Chile, China, Czech Republic, Democratic Republic of the Congo, Estonia, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Lithuania, 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 RMI 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.
13
ARRIS INTERNATIONAL PLC - CONFLICT MINERALS REPORT 2017
STEPS TO BE TAKEN TO MITIGATE RISK
In 2017 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 RMI standard smelter names or other known smelters/refiners and requesting that they work to resolve these unknown smelters for future submissions.
In 2018 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 RMI or other industry reference source. |
| • | Continue participation in RMI (Member ID ARRS) to drive the improvement of industry tools, resources and traceability programs. |
| • | Continue to use Supply Chain scorecard to drive supplier improvements in conflict minerals program and sourcing selections |
14
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