Siliconware Precision Industries (SPILA) Inactive
Filed: 31 May 17, 12:00am
Exhibit 1.01
Siliconware Precision Industries Co., Ltd.
Conflict Minerals Report
For the Year Ended December 31, 2016
Introduction
This is the Conflict Minerals Report (“Report”) of Siliconware Precision Industries Co., Ltd. (“SPIL”, “Company”, “we”, “us” or “our”) for the calendar year ended December 31, 2016 in accordance with Rule13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule sets forth certain due diligence and reporting obligations for companies registered with the U.S. Securities and Exchange Commission (“SEC”) whose products contain conflict minerals necessary to the functionality or production of a product manufactured by the registrant or contracted by the registrant to be manufactured. The Rule defines “Conflict Minerals” to include cassiterite, columbite-tantalite, gold, wolframite, or their derivatives limited to tin, tantalum, tungsten, and gold (collectively referred to as “3TG”).
SPIL manufactures a wide range of products that contain Conflict Minerals, but does not directly purchase raw ore or unrefined Conflict Minerals, and does not make purchases of other goods, from the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively referred to as the “Covered Countries”).
Pursuant to the Rule, SPIL conducted a Reasonable Country of Origin Inquiry (“RCOI”) on the source and chain of custody of the necessary Conflict Minerals in our products, which Conflict Materials we had reason to believe may have originated from the Covered Countries and which may not have come from recycled or scrap sources, to determine whether such products were “Conflict Free”. The term “Conflict Free” is used in this Report in a broader sense to refer to suppliers, supply chains, smelters and refiners whose sources of Conflict Minerals did not or do not directly finance or benefit armed groups in the Covered Countries.
Business Overview
SPIL is one of the world’s leading independent providers of semiconductor packaging and testing services. We offer a full range of packaging and testing solutions, including advanced packages, substrate packages and lead-frame packages, as well as testing for logic and mixed signal devices. We also offer our customers turnkey service, from packaging and testing to shipment service.
Our Packaging Services
We offer a broad range of package formats designed to provide our customers with a full array of packaging solutions. The packaging solutions we currently offer to our customers include substrate packages, which include ball grid array and system in packages (incorporating multiple semiconductor chips) and bumping and flip-chip ball grid array packages, as well as lead-frame packages.
Our Testing Services
Wafer Probing: Wafer probing is the step immediately before packaging of integrated circuits and involves sorting the processed wafer for defects to ensure that it meets customer acceptance criteria. Integrated circuits on an accepted wafer are then individually inspected visually under microscopes before packaging and final testing.
Final Testing:We provide final testing services for a wide variety of logic and mixed signal and RF integrated circuit packages and other integrated circuit packages, including complex and high performance integrated circuits, as well as lower-performance ones. High-performance products include personal computer-related components such as CPU chipsets and graphic processors, while major lower-performance products include integrated circuits used in consumer electronic products.
Other Testing Services: In addition to wafer probing and final testing services described above, we also provide “system-level testing” service for testing products on motherboards, “lead/ball scanner” service to screen out abnormal products, including bent lead or ball defective devices, so as to prevent them from being shipped to the end customers, “marking” services to specify the unique customer logo and batch identification on products and “tape and reel” service to packaging devices into one complete reel for surface mount operation.
We utilize Conflict Minerals which are necessary to implement our packaging services on our customers’ products. No Conflict Minerals are used when conducting testing services.
Reasonable Country of Origin Inquiry (RCOI)
SPIL does not directly purchase Conflict Minerals, but rather purchases materials from a wide network of suppliers that in turn source materials from a wide network of suppliers that source materials from theirsub-tier suppliers. Our supply chain is extensive and complex with many layers of suppliers between us and smelters, refiners, and miners of 3TG.
We require our suppliers to provide us with Material Data Sheets (“MDS”) which specify each and every substance, including but not limited to 3TG, contained in the products and components supplied to us. Based on the MDS we received and through our comprehensive scoping process, we identified 143 suppliers that provided SPIL with Conflict Minerals. These 143 suppliers have duly provided us with their respective 3TG sourcing survey results using the EICC/GeSI Conflict Minerals Reporting Template (“CMRT”).
After conducting the RCOI for 2016, we had no reason to believe that any of the 3TG used in connection with relevant products may have originated in the Covered Countries, or did not originate from recycled or scrap sources. See “Due Diligence Result” below.
Due Diligence Designs
In accordance with the Rule, SPIL undertook to determine the Conflict Minerals status for the necessary Conflict Minerals used in our packaging services. We designed and conducted our due diligence measures in conformance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (“OECD Guidance”), which is an internationally-recognized due diligence framework.
Due Diligence Designs Performed
Step 1: Establish strong management system
| • | Adopted and maintained SPIL’s Conflict Mineral Policy, which states our commitment to carry out supply chain due diligence in compliance with the OECD Guidance. The policy is available on SPIL’s website athttp://www.spil.com.tw/about/Conflict_Mineral_Policy.pdf. |
| • | Established SPIL’s Conflict Minerals Management Procedure as a clear and coherent management process to ensure risks are adequately managed. |
| • | Organized a project team involving cross-functional groups including purchasing, operations, engineering, customer service, legal and others to implement and perform our Conflict Mineral Policy and Conflict Minerals Management Procedure in collaboration with our suppliers and customers. The project team is under the direction of our Vice-President, also the final approver of SPIL’s Form SD and Conflict Minerals Report. |
| • | Annually completed the Conflict Minerals Project to monitor the implementation of SPIL’s Conflict Mineral Policy and regularly reviewed the project status with senior management. |
| • | Implemented a Conflict Minerals communication and identification mechanism which helps us promote transparency across the mineral supply chain. |
| • | Employed a supply chain system of controls and transparency measures through the use of due diligence tools such as the CMRT, a supply chain survey designed by the Conflict-Free Sourcing Initiative (“CFSI”) to identify smelters and refiners that process necessary Conflict Minerals contained in a company’s products and the country of origin of those Conflict Minerals. |
| • | Required Conflict Minerals-related documents to be retained for five (5) years, in accordance with the OECD Guidance. |
| • | Strengthened engagements with suppliers with a written Conflict Minerals-related provision in issued purchase orders. |
| • | In 2016, SPIL began requiring all new suppliers to certify their Conflict Free status by signing SPIL’s Conflict Free and EICC Statements. In addition, suppliers that provide us with products containing 3TG are required to provide us with a CMRT. |
| • | Maintained and published on SPIL’s website a company-level grievance mechanism where an interested party is allowed to voice concerns relating to Conflict Minerals. (http://www.spil.com.tw/contact/) |
Step 2: Identify and assess risk in our supply chain
| • | As a downstream company, SPIL identified risks in its supply chain by sorting a list of material categories which may contain 3TGs (the “affected materials”), with the assistance of its Engineering Unit, and mapping direct suppliers who provided us with affected materials during the reporting period (the “affected suppliers”). For the year ended December 31, 2016, SPIL identified a total of 143 affected suppliers and conducted complete surveys with the CMRT template, and required the affected suppliers to provide smelter and refiner information for SPIL’s review. |
| • | Developed and implemented the CMRT review guidance to standardize the process of reviewing the collected CMRTs. Through several rounds of requests and communications, SPIL endeavored to obtain a complete smelter and refiner list from the affected suppliers. |
| • | Identified and assessed risks by utilizing the smelter and refiner list information provided by the EICC/GeSI Conflict-Free Smelter Program (“CFSP”) or the industry equivalents. |
Step 3: Design and implement a strategy to respond to identified risks
| • | Reported findings to designated senior management, outlining the information gathered and the actual and potential risks identified in the supply chain risk assessment. |
| • | Established communication channels to notify our customers and suppliers of thenon-Conflict Free status as applicable and sought collaboration to build a Conflict Free supply chain. |
| • | In 2016, SPIL implemented a continuous risk management plan that includes monitoring and tracking risk mitigation measures undertaken by our suppliers, and considered suspending or discontinuing engagement with suppliers not using Conflict Free smelters or refiners certified by CFSP(“Non-Conflict Free Suppliers”). |
| • | Reviewed the risks identified and requestedNon-Conflict Free Suppliers to mitigate risks by removingnon-Conflict Free smelters and refiners from their and our respective supply chains. |
| • | As part of the risk management plan, SPIL undertook a risk assessment to determine whether additional audits of affected suppliers were necessary. Based on the results of the risk assessment, SPIL is planning to conduct additional audits of affected suppliers in 2017. |
Step 4: Carry out independent third-party audits of the due diligence practices of smelters and refiners
| • | Undertook an Independent Private Sector Audit for the calendar year 2016 of our Conflict Minerals Report to ensure it is in accordance with the requirements of the Rule and the subsequent public statements made by the SEC. |
| • | Leveraged independent smelter audits of the CFSP or the industry equivalent to support certain statements contained in this Conflict Minerals Report. |
Step 5: Report annually on supply chain due diligence
| • | Form SD and Conflict Minerals Report for the calendar year 2016 to be filed with the SEC on or before May 31, 2017. |
Due Diligence Result
Pursuant to the due diligence design and measures performed as described above, we have made a reasonable good faith effort and found no reasonable basis for determining that SPIL, within our management’s control and authority, sourced Conflict Minerals that directly or indirectly finance or benefit armed groups in the Covered Countries, and as such, that our products and source materials are “DRC Conflict Free”.
Due Diligence Improvement
In the next compliance period, SPIL intends to take the following steps to improve the information gathered from our due diligence measures to further mitigate the risk that the necessary Conflict Minerals may directly or indirectly benefit or finance armed groups in the Covered Countries. These steps include, but are not limited to:
| • | Continue to convey to our suppliers SPIL’s corporate policy on responsible sourcing. |
| • | Conduct audits of more suppliers in order to ensure the accuracy and validity of the CMRTs provided by our direct suppliers, and also assist our suppliers to align their Conflict Minerals management systems with ours. |
| • | Continuously review and improve our due diligence procedures. |
Independent Private Sector Audit
KPMG conducted an independent private sector audit for us and such audit report, which is referred to as the Independent Private Sector Audit, is set forth in Exhibit II hereto.
Exhibit I: List of all Smelters and Refiners Identified by SPIL
Mineral | Smelter or Refiner Name | Country Location | ||
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | ||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | ||
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | ||
| Gold | AllgemeineGold-und Silberscheideanstalt A.G. | GERMANY | ||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | ||
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | ||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | ||
| Gold | Asahi Pretec Corp. | JAPAN | ||
| Gold | Asahi Refining Canada Ltd. | CANADA | ||
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | ||
| Gold | Asaka Riken Co., Ltd. | JAPAN | ||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | ||
| Gold | AU Traders and Refiners | SOUTH AFRICA | ||
| Gold | Aurubis AG | GERMANY | ||
| Gold | Bangalore Refinery | INDIA | ||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||
| Gold | Boliden AB | SWEDEN | ||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | ||
| Gold | Caridad | MEXICO | ||
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | ||
| Gold | Cendres + Métaux S.A. | SWITZERLAND | ||
| Gold | Chimet S.p.A. | ITALY | ||
| Gold | Chugai Mining | JAPAN | ||
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | ||
| Gold | DayeNon-Ferrous Metals Mining Ltd. | CHINA | ||
| Gold | DODUCO GmbH | GERMANY | ||
| Gold | Dowa | JAPAN | ||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | ||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | ||
| Gold | Elemetal Refining, LLC | UNITED STATES OF AMERICA | ||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | ||
| Gold | Faggi Enrico S.p.A. | ITALY | ||
| Gold | Gansu Seemine MaterialHi-Tech Co., Ltd. | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | ||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | ||
| Gold | Guangdong Jinding Gold Limited | CHINA | ||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | ||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | ||
| Gold | Heimerle + Meule GmbH | GERMANY | ||
| Gold | Heraeus Ltd. Hong Kong | CHINA | ||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
| Gold | HwaSeong CJ Co., Ltd. | KOREA, REPUBLIC OF | ||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | ||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||
| Gold | Istanbul Gold Refinery | TURKEY | ||
| Gold | Japan Mint | JAPAN | ||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | ||
| Gold | JSC EkaterinburgNon-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | ||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | ||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | ||
| Gold | Kazzinc | KAZAKHSTAN | ||
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | ||
| Gold | KGHM Polska Miedź Spółka Akcyjna | POLAND | ||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | ||
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | ||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | ||
| Gold | L’azurde Company For Jewelry | SAUDI ARABIA | ||
| Gold | Lingbao Gold Co., Ltd. | CHINA | ||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | ||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | ||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | ||
| Gold | Materion | UNITED STATES OF AMERICA | ||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | ||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | ||
| Gold | Metalor Technologies S.A. | SWITZERLAND | ||
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | ||
| Gold | MetalúrgicaMet-Mex Peñoles S.A. De C.V. | MEXICO | ||
| Gold | Mitsubishi Materials Corporation | JAPAN | ||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | ||
| Gold | Modeltech Sdn Bhd | MALAYSIA | ||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | ||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | ||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | ||
| Gold | Nihon Material Co., Ltd. | JAPAN | ||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | ||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | ||
| Gold | OJSC “The Gulidov KrasnoyarskNon-Ferrous Metals Plant” (OJSC Krastsvetmet) | RUSSIAN FEDERATION | ||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | ||
| Gold | PAMP S.A. | SWITZERLAND | ||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | ||
| Gold | Prioksky Plant ofNon-Ferrous Metals | RUSSIAN FEDERATION | ||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | ||
| Gold | PX Précinox S.A. | SWITZERLAND | ||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||
| Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | ||
| Gold | Royal Canadian Mint | CANADA | ||
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | ||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | ||
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | ||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | ||
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | ||
| Gold | SEMPSA Joyería Platería S.A. | SPAIN | ||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | ||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | ||
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | ||
| Gold | So Accurate Group, Inc. | UNITED STATES OF AMERICA | ||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | ||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | ||
| Gold | T.C.A S.p.A | ITALY | ||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | ||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | ||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | ||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | ||
| Gold | Torecom | KOREA, REPUBLIC OF | ||
| Gold | Umicore Brasil Ltda. | BRAZIL | ||
| Gold | Umicore Precious Metals Thailand | THAILAND | ||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | ||
| Gold | Valcambi S.A. | SWITZERLAND | ||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | ||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | ||
| Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | ||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | ||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | ||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | ||
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | ||
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | ||
| Tantalum | Duoluoshan | CHINA | ||
| Tantalum | E.S.R. Electronics | UNITED STATES OF AMERICA | ||
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | ||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | ||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | ||
| Tantalum | Global Advanced Metals Aizu | JAPAN | ||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | ||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | ||
| Tantalum | H.C. Starck GmbH Goslar | GERMANY | ||
| Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | ||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | ||
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | ||
| Tantalum | H.C. Starck Ltd. | JAPAN | ||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | ||
| Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA | ||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | ||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | ||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | ||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | ||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | ||
| Tantalum | KEMET Blue Metals | MEXICO | ||
| Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | ||
| Tantalum | LSM Brasil S.A. | BRAZIL | ||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | ||
| Tantalum | Mineração Taboca S.A. | BRAZIL | ||
| Tantalum | Mitsui Mining & Smelting | JAPAN | ||
| Tantalum | Molycorp Silmet A.S. | ESTONIA | ||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | ||
| Tantalum | Plansee SE Liezen | AUSTRIA | ||
| Tantalum | Plansee SE Reutte | AUSTRIA | ||
| Tantalum | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | ||
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | ||
| Tantalum | Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | ||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | ||
| Tantalum | Taki Chemicals | JAPAN | ||
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | ||
| Tantalum | Tranzact, Inc. | UNITED STATES OF AMERICA | ||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | ||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | ||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | ||
| Tantalum | Zhuzhou Cemented Carbide | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tin | Alpha | UNITED STATES OF AMERICA | ||
| Tin | An Thai Minerals Co., Ltd. | VIETNAM | ||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIETNAM | ||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | ||
| Tin | China Tin Group Co., Ltd. | CHINA | ||
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | ||
| Tin | CV Ayi Jaya | INDONESIA | ||
| Tin | CV Dua Sekawan | INDONESIA | ||
| Tin | CV Gita Pesona | INDONESIA | ||
| Tin | CV Serumpun Sebalai | INDONESIA | ||
| Tin | CV Tiga Sekawan | INDONESIA | ||
| Tin | CV United Smelting | INDONESIA | ||
| Tin | CV Venus Inti Perkasa | INDONESIA | ||
| Tin | Dowa | JAPAN | ||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIETNAM | ||
| Tin | Elmet S.L.U. | SPAIN | ||
| Tin | EM Vinto | BOLIVIA | ||
| Tin | Estanho de Rondônia S.A. | BRAZIL | ||
| Tin | Fenix Metals | POLAND | ||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | ||
| Tin | Gejiu Jinye Mineral Company | CHINA | ||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | ||
| Tin | GejiuNon-Ferrous Metal Processing Co., Ltd. | CHINA | ||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | ||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | ||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | ||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | ||
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | ||
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | ||
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | ||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | ||
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | ||
| Tin | Metallo-Chimique N.V. | BELGIUM | ||
| Tin | Mineração Taboca S.A. | BRAZIL | ||
| Tin | Minsur | PERU | ||
| Tin | Mitsubishi Materials Corporation | JAPAN | ||
| Tin | Modeltech Sdn Bhd | MALAYSIA | ||
| Tin | Nghe TinhNon-Ferrous Metals Joint Stock Company | VIETNAM | ||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | ||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | ||
| Tin | Operaciones Metalurgical S.A. | BOLIVIA | ||
| Tin | Phoenix Metal Ltd. | RWANDA | ||
| Tin | PT Aries Kencana Sejahtera | INDONESIA | ||
| Tin | PT Artha Cipta Langgeng | INDONESIA | ||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | ||
| Tin | PT Babel Inti Perkasa | INDONESIA | ||
| Tin | PT Bangka Prima Tin | INDONESIA | ||
| Tin | PT Bangka Tin Industry | INDONESIA | ||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | ||
| Tin | PT BilliTin Makmur Lestari | INDONESIA | ||
| Tin | PT Bukit Timah | INDONESIA | ||
| Tin | PT Cipta Persada Mulia | INDONESIA | ||
| Tin | PT DS Jaya Abadi | INDONESIA | ||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | ||
| Tin | PT Inti Stania Prima | INDONESIA | ||
| Tin | PT Justindo | INDONESIA | ||
| Tin | PT Karimun Mining | INDONESIA | ||
| Tin | PT Kijang Jaya Mandiri | INDONESIA | ||
| Tin | PT Menara Cipta Mulia | INDONESIA | ||
| Tin | PT Mitra Stania Prima | INDONESIA | ||
| Tin | PT O.M. Indonesia | INDONESIA | ||
| Tin | PT Panca Mega Persada | INDONESIA | ||
| Tin | PT Prima Timah Utama | INDONESIA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tin | PT Refined Bangka Tin | INDONESIA | ||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | ||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | ||
| Tin | PT Sukses Inti Makmur | INDONESIA | ||
| Tin | PT Sumber Jaya Indah | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | ||
| Tin | PT Tinindo Inter Nusa | INDONESIA | ||
| Tin | PT Tommy Utama | INDONESIA | ||
| Tin | PT Wahana Perkit Jaya | INDONESIA | ||
| Tin | Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | ||
| Tin | Soft Metais Ltda. | BRAZIL | ||
| Tin | Sungeel Hiten Co.,Ltd. | KOREA, DEMOCRATIC PEOPLE’S REPUBLIC OF | ||
| Tin | Thaisarco | THAILAND | ||
| Tin | Tuyen QuangNon-Ferrous Metals Joint Stock Company | VIETNAM | ||
| Tin | VQB Mineral and Trading Group JSC | VIETNAM | ||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | ||
| Tin | Yunnan ChengfengNon-ferrous Metals Co., Ltd. | CHINA | ||
| Tin | Yunnan Tin Company, Ltd. | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||
| Tungsten | ACL Metais Eireli | BRAZIL | ||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | ||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | ||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganxian Shirui New Material Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | ||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | H.C. Starck GmbH | GERMANY | ||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | ||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | ||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | ||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | ||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | ||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Minmetals Gao’anNon-ferrous Metals Co., Ltd. | CHINA | ||
Mineral | Smelter or Refiner Name | Country Location | ||
| Tungsten | Jiangxi TongguNon-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | ||
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | ||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Moliren Ltd | RUSSIAN FEDERATION | ||
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | ||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | ||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | ||
| Tungsten | Pobedit, JSC | RUSSIAN FEDERATION | ||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | ||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | ||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | ||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | ||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | ||
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | ||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | ||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | ||
Exhibit II: the Independent Private Sector Audit Report
Independent Accountants’ Report
To the Board of Directors and Stockholders of
Siliconware Precision Industries Co., Ltd.:
We have examined:
| • | whether the design of Siliconware Precision Industries Co., Ltd. (the “Company”) due diligence framework as set forth in the “Due Diligence Designs” section of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is in conformity, in all material respects, with the criteria set forth in the Organisation of Economic Co-operation and DevelopmentDueDiligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affectedand High-RiskAreas, Third Edition 2016 (“OECD Due Diligence Guidance”), and |
| • | whether the Company’s description of the due diligence measures it performed, as set forth in the “Due Diligence Designs Performed” section of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is consistent, in all material respects, with the due diligence process that the Company undertook. |
Management from the Company is responsible for the design of the Company’s due diligence framework and the description of the Company’s due diligence measures set forth in the Conflict Minerals Report, and performance of the due diligence measures. Our responsibility is to express an opinion on the design of the Company’s due diligence framework and on the description of the due diligence measures the Company performed, based on our examination.
Our examination was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants and the standards applicable to attestation engagements contained inGovernment AuditingStandards, issued by the Comptroller General of the United States, and, accordingly, included examining, on a test basis, evidence about the design of the Company’s due diligence framework and the description of the due diligence measures the Company performed, and performing such other procedures as we considered necessary in the circumstances. We believe that our examination provides a reasonable basis for our opinion.
Our examination was not conducted for the purpose of evaluating:
| • | The consistency of the due diligence measures that the Company performed with either the design of the Company’s due diligence framework or the OECD Due Diligence Guidance; |
| • | The completeness of the Company’s description of the due diligence measures performed; |
| • | The suitability of the design or operating effectiveness of the Company’s due diligence process; |
| • | Whether a third party can determine from the Conflict Minerals Report if the due diligence measures the Company performed are consistent with the OECD Due Diligence Guidance; |
| • | The Company’s reasonable country of origin inquiry (RCOI), including the suitability of the design of the RCOI, its operating effectiveness, or the results thereof; or |
| • | The Company’s conclusions about the source or chain of custody of its conflict minerals, those products subject to due diligence, or the DRC Conflict Free status of its products. |
Accordingly, we do not express an opinion or any other form of assurance on the aforementioned matters or any other matters included in any section of the Conflict Minerals Report other than the “Due Diligence Designs” and “Due Diligence Designs Performed” sections.
In our opinion,
| • | the design of the Company’s due diligence framework for the reporting period from January 1 to December 31, 2016, as set forth in the “Due Diligence Designs” section of the Conflict Minerals Report is in conformity, in all material respects, with the OECD Due Diligence Guidance, and |
| • | the Company’s description of the due diligence measures it performed as set forth in the “Due Diligence Performed” section of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2016, is consistent, in all material respects, with the due diligence process that the Company undertook. |
/s/ KPMG
Taipei, Taiwan (the Republic of China)
May 30, 2017