Conflict Minerals Report of Illumina Inc.
In accord with Rule 13p-1 under the Securities Exchange Act of 1934
This is the Conflict Mineral Report of Illumina for calendar year 2013 (excepting conflict minerals that, prior to January 31, 2013, were located outside of the supply chain) in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”).
1. Introduction
The intent of this Conflict Minerals Report (CMR) is to describe Illumina’s due diligence process following Rule 13p-1 requirements. Per Rule 13p-1, due diligence is used to support a company’s determination whether or not there is evidence that the smelters or refiners within its supply chain are sourcing minerals that are considered “DRC Conflict Free”, that have “not been found to be DRC Conflict Free”, or that are “DRC Conflict Undeterminable”.
2. Product Description
Illumina manufactures products that may contain 3TG.
Suppliers were requested to use the Electronic Industry Citizenship Coalition (EICC) and Global e-Sustainability Initiative (GeSI) Conflict Minerals Due Diligence Template (EICC-GeSI Template) to identify 3TG smelters and refiners (SORs) and associated countries of origin. Below is a summary of verified smelters¹:
|
| | |
| Smelter | Mineral | Certification |
| Aida Chemical Industries Co. Ltd. | Gold | None |
| Allgemeine Gold- und Silberscheideanstalt A.G. | Gold | CFSP; LBMA; RJC |
| Almalyk Mining and Metallurgical Complex (AMMC) | Gold | LBMA |
| AngloGold Ashanti Mineração Ltda | Gold | CFSP; LBMA |
| Argor-Heraeus SA | Gold | CFSP; LBMA |
| Asahi Pretec Corporation | Gold | CFSP; LBMA |
| Asaka Riken Co Ltd | Gold | None |
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Gold | LBMA |
| Aurubis AG | Gold | LBMA |
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Gold | LBMA |
| Boliden AB | Gold | LBMA |
| Caridad | Gold | None |
| Cendres & Métaux SA | Gold | LBMA |
| Central Bank of the DPR of Korea | Gold | None |
| Chimet SpA | Gold | CFSP; LBMA |
| Chugai Mining | Gold | None |
| Codelco | Gold | None |
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1 Verified smelters are those listed by the EICC. (CFSP - Conflict Free Smelter Program, LBMA - The London Bullion Market Association, TI-CMC - Tungsten Industry-Conflict Minerals Council, RJC - Responsible Jewelry Council)
|
| | |
| Smelter | Mineral | Certification |
| Daejin Indus Co. Ltd | Gold | None |
| DaeryongENC | Gold | None |
| Do Sung Corporation | Gold | None |
| Dowa | Gold | CFSP |
| FSE Novosibirsk Refinery | Gold | None |
| Heimerle + Meule GmbH | Gold | None |
| Heraeus Ltd Hong Kong | Gold | CFSP; LBMA |
| Heraeus Precious Metals GmbH & Co. KG | Gold | CFSP; LBMA |
| Hwasung CJ Co. Ltd | Gold | None |
| Inner Mongolia Qiankun Gold and Silver Refinery | Gold | LBMA |
| Ishifuku Metal Industry Co., Ltd. | Gold | CFSP; LBMA |
| Istanbul Gold Refinery | Gold | CFSP; LBMA |
| Japan Mint | Gold | LBMA |
| Jiangxi Copper Company Limited | Gold | LBMA |
| Johnson Matthey Inc | Gold | CFSP; LBMA |
| Johnson Matthey Limited | Gold | CFSP; LBMA |
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Gold | LBMA |
| JSC Uralectromed | Gold | LBMA |
| JX Nippon Mining & Metals Co., Ltd | Gold | CFSP; LBMA |
| Kazzinc Ltd | Gold | LBMA |
| Kennecott Utah Copper LLC | Gold | CFSP; RJC |
| Kojima Chemicals Co. Ltd | Gold | CFSP |
| Korea Metal Co. Ltd | Gold | None |
| Kyrgyzaltyn JSC | Gold | LBMA |
| L' azurde Company For Jewelry | Gold | LBMA |
| LS-Nikko Copper Inc | Gold | CFSP; LBMA |
| Materion | Gold | CFSP |
| Matsuda Sangyo Co. Ltd | Gold | CFSP; LBMA |
| Metalor Technologies (Hong Kong) Ltd | Gold | CFSP; LBMA; RJC |
| Metalor Technologies SA | Gold | CFSP; LBMA; RJC |
| Metalor USA Refining Corporation | Gold | CFSP; LBMA; RJC |
| Met-Mex Peñoles, S.A. | Gold | LBMA |
| Mitsubishi Materials Corporation | Gold | CFSP; LBMA |
| Mitsui Mining and Smelting Co., Ltd. | Gold | CFSP; LBMA |
| Moscow Special Alloys Processing Plant | Gold | LBMA |
| Nadir Metal Rafineri San. Ve Tic. A.Ş. | Gold | LBMA |
| Navoi Mining and Metallurgical Combinat | Gold | LBMA |
| Nihon Material Co. LTD | Gold | CFSP; LBMA |
| Ohio Precious Metals LLC. | Gold | CFSP; LBMA |
| OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” | Gold | LBMA |
| OJSC Kolyma Refinery | Gold | LBMA |
| PAMP SA | Gold | CFSP; LBMA |
| Pan Pacific Copper Co. LTD | Gold | None |
| Prioksky Plant of Non-Ferrous Metals | Gold | LBMA |
| PT Aneka Tambang (Persero) Tbk | Gold | LBMA |
| PX Précinox SA | Gold | LBMA |
| Rand Refinery (Pty) Ltd | Gold | CFSP; LBMA |
| Royal Canadian Mint | Gold | CFSP; LBMA |
|
| | |
| Smelter | Mineral | Certification |
| Sabin Metal Corp. | Gold | None |
| SAMWON METALS Corp. | Gold | None |
| Schone Edelmetaal | Gold | LBMA |
| SEMPSA Joyeria Plateria SA | Gold | CFSP; LBMA |
| Shandong Zhaojin Gold & Silver Refinery Co. Ltd | Gold | LBMA |
| SOE Shyolkovsky Factory of Secondary Precious Metals | Gold | LBMA |
| Solar Applied Materials Technology Corp. | Gold | CFSP; LBMA |
| Sumitomo Metal Mining Co. Ltd. | Gold | CFSP; LBMA |
| Suzhou Xingrui Noble | Gold | None |
| Tanaka Kikinzoku Kogyo K.K. | Gold | CFSP; LBMA |
| The Great Wall Gold and Silver Refinery of China | Gold | LBMA |
| The Refinery of Shandong Gold Mining Co. Ltd | Gold | LBMA |
| Tokuriki Honten Co. Ltd | Gold | CFSP; LBMA |
| Torecom | Gold | None |
| Umicore Brasil Ltda | Gold | LBMA |
| Umicore SA Business Unit Precious Metals Refining | Gold | CFSP; LBMA |
| United Precious Metal Refining, Inc. | Gold | CFSP |
| Valcambi SA | Gold | CFSP; LBMA |
| Western Australian Mint trading as The Perth Mint | Gold | CFSP; LBMA |
| Xstrata Canada Corporation | Gold | None |
| Yokohama Metal Co Ltd | Gold | None |
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Gold | LBMA |
| Zijin Mining Group Co. Ltd | Gold | LBMA |
| Conghua Tantalum and Niobium Smeltry | Tantalum | CFSP |
| Duoluoshan | Tantalum | CFSP |
| Exotech Inc. | Tantalum | CFSP |
| F&X | Tantalum | CFSP |
| Gannon & Scott | Tantalum | None |
| Global Advanced Metals | Tantalum | CFSP |
| H.C. Starck GmbH | Tantalum | CFSP |
| Hi-Temp | Tantalum | CFSP |
| JiuJiang JinXin Nonferrous Metals Co. Ltd. | Tantalum | None |
| JiuJiang Tambre Co. Ltd. | Tantalum | CFSP |
| Kemet Blue Powder | Tantalum | CFSP |
| King-Tan Tantalum Industry Ltd | Tantalum | None |
| Mitsui Mining & Smelting | Tantalum | CFSP |
| Ningxia Orient Tantalum Industry Co., Ltd. | Tantalum | CFSP |
| Plansee | Tantalum | CFSP |
| RFH | Tantalum | CFSP |
| Solikamsk Metal Works | Tantalum | CFSP |
| Taki Chemicals | Tantalum | CFSP |
| Tantalite Resources | Tantalum | CFSP |
| Tantalum | Tantalum | None |
| Telex | Tantalum | CFSP |
| Ulba | Tantalum | CFSP |
| Zhuzhou Cement Carbide | Tantalum | CFSP |
| CNMC (Guangxi) PGMA Co. Ltd. | Tin | None |
| Cookson | Tin | CFSP |
|
| | |
| Smelter | Mineral | Certification |
| Cooper Santa | Tin | None |
| CV Duta Putra Bangka | Tin | None |
| CV Gita Pesona | Tin | None |
| CV JusTindo | Tin | None |
| CV Makmur Jaya | Tin | None |
| CV Nurjanah | Tin | None |
| CV Prima Timah Utama | Tin | None |
| CV Serumpun Sebalai | Tin | None |
| CV United Smelting | Tin | None |
| EM Vinto | Tin | None |
| Fenix Metals | Tin | None |
| Geiju Non-Ferrous Metal Processing Co. Ltd. | Tin | CFSP |
| Gejiu Zi-Li | Tin | None |
| Gold Bell Group | Tin | None |
| Huichang Jinshunda Tin Co. Ltd | Tin | None |
| Jiangxi Nanshan | Tin | None |
| Kai Unita Trade Limited Liability Company | Tin | None |
| Linwu Xianggui Smelter Co | Tin | None |
| Liuzhou China Tin | Tin | None |
| Malaysia Smelting Corporation (MSC) | Tin | CFSP |
| Metallo Chimique | Tin | None |
| Mineração Taboca S.A. | Tin | CFSP |
| Minmetals Ganzhou Tin Co. Ltd. | Tin | None |
| Minsur | Tin | CFSP |
| Novosibirsk Integrated Tin Works | Tin | None |
| PT Alam Lestari Kencana | Tin | None |
| PT Artha Cipta Langgeng | Tin | None |
| PT Babel Inti Perkasa | Tin | None |
| PT Babel Surya Alam Lestari | Tin | None |
| PT Bangka Kudai Tin | Tin | None |
| PT Bangka Putra Karya | Tin | None |
| PT Bangka Timah Utama Sejahtera | Tin | None |
| PT Bangka Tin Industry | Tin | None |
| PT Belitung Industri Sejahtera | Tin | None |
| PT BilliTin Makmur Lestari | Tin | None |
| PT Bukit Timah | Tin | CFSP |
| PT DS Jaya Abadi | Tin | None |
| PT Eunindo Usaha Mandiri | Tin | None |
| PT Fang Di MulTindo | Tin | None |
| PT HP Metals Indonesia | Tin | None |
| PT Karimun Mining | Tin | None |
| PT Koba Tin | Tin | None |
| PT Mitra Stania Prima | Tin | None |
| PT Panca Mega | Tin | None |
| PT Refined Bangka Tin | Tin | None |
| PT Sariwiguna Binasentosa | Tin | None |
| PT Seirama Tin investment | Tin | None |
| PT Stanindo Inti Perkasa | Tin | None |
|
| | |
| Smelter | Mineral | Certification |
| PT Sumber Jaya Indah | Tin | None |
| PT Tambang Timah | Tin | None |
| PT Timah | Tin | None |
| PT Timah Nusantara | Tin | None |
| PT Tinindo Inter Nusa | Tin | None |
| PT Tommy Utama | Tin | None |
| PT Yinchendo Mining Industry | Tin | None |
| Thaisarco | Tin | CFSP |
| White Solder Metalurgia | Tin | CFSP |
| Yunnan Chengfeng | Tin | None |
| Yunnan Tin Company Limited | Tin | CFSP |
| A.L.M.T. Corp. | Tungsten | None |
| ATI Tungsten Materials | Tungsten | None |
| Chaozhou Xianglu Tungsten Industry Co Ltd | Tungsten | None |
| China Minmetals Nonferrous Metals Co Ltd | Tungsten | None |
| Chongyi Zhangyuan Tungsten Co Ltd | Tungsten | None |
| Dayu Weiliang Tungsten Co., Ltd. | Tungsten | None |
| Fujian Jinxin Tungsten Co., Ltd. | Tungsten | TI-CMC |
| Ganzhou Grand Sea W & Mo Group Co Ltd | Tungsten | None |
| Global Tungsten & Powders Corp | Tungsten | TI-CMC |
| HC Starck GmbH | Tungsten | TI-CMC |
| Hunan Chenzhou Mining Group Co | Tungsten | None |
| Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. | Tungsten | None |
| Japan New Metals Co Ltd | Tungsten | None |
| Jiangxi Rare Earth & Rare Metals Tungsten Group Corp | Tungsten | None |
| Jiangxi Tungsten Industry Group Co Ltd | Tungsten | None |
| Kennametal Inc. | Tungsten | TI-CMC |
| Tejing (Vietnam) Tungsten Co Ltd | Tungsten | TI-CMC |
| Tungsten | Tungsten | None |
| Wolfram Bergbau und Hütten AG | Tungsten | TI-CMC |
| Wolfram Company CJSC | Tungsten | TI-CMC |
| Xiamen Tungsten Co Ltd | Tungsten | TI-CMC |
| Zhuzhou Cemented Carbide Group Co Ltd | Tungsten | None |
|
|
Countries of Origin for these SORs are believed to include:
Argentina, Australia, Austria, Bolivia, Brazil, Burundi, Canada, Chile, China, DRC-Congo, Ethiopia, Ghana, Guinea, Indonesia, Japan, Kazakhstan, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Mozambique, Namibia, Nigeria, Papua New Guinea, Peru, Philippines, Portugal, Russia, South Africa, South Korea, Spain, Taiwan Tajikistan, Tanzania, Thailand, United States, Uzbekistan, Zambia
|
3. Design of Due Diligence Measures Planning
Illumina’s due diligence process is based on the Organization for Economic Cooperation and Development’s (OECD’s) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and accompanying Supplements2. It is important to note that the OECD Guidance was written for both
upstream3 and downstream4 companies in the supply chain. As Illumina is a downstream company in the supply chain, our due diligence practices were tailored accordingly.
4. Due Diligence Measures Implemented
Due Diligence measures undertaken by Illumina included the following:
| |
| • | Adopt a conflict minerals policy. Our conflict minerals policy is publicly available at www.Illumina.com. |
| |
| • | Assemble an internal team to support supply chain due diligence |
| |
| • | Establish a system of controls and transparency over the mineral supply chain |
| |
| • | Implement internal measures taken to strengthen company engagement with suppliers |
| |
| • | Establish a company-level grievance mechanism |
| |
| • | Identify the Smelters or Refiners (SORs) in the supply chain |
| |
| • | Design and implement a strategy to respond to supply chain risks |
| |
| • | Carry out independent third-party audit of SOR due diligence if required |
| |
| • | Report Annually on Supply Chain Due Diligence. The Form SD and CMR contained herein and publicly available at www.Illumina.com. |
5. Steps to Improve Due Diligence
Illumina will endeavor to continuously improve upon its supply chain due diligence efforts via the following measures:
| |
| • | Continue to assess the presence of 3TG in its supply chain |
| |
| • | Clearly communicate expectations with regard to supplier performance, transparency and sourcing |
| |
| • | Increase the response rate for RCOI process |
| |
| • | Continue to compare RCOI results to information collected via independent conflict free smelter validation programs such as the EICC/GeSI Conflict Free Smelter program |
___________________________
2 OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Supplement on Tin, Tantalum and Tungsten and Supplement on Gold, 2013; http://www.oecd.org/daf/inv/mne/GuidanceEdition2.pdf.
3 Upstream companies refer to those between the mine and SOR. As such, the companies typically include miners, local traders, or exporters from the country of mineral origin, international concentrate traders and SORs.
4 Downstream companies refer to those entities between the SOR and retailer. As such, the companies typically include metal traders and exchanges, component manufacturers, product manufacturers, original equipment manufacturers (OEMs) and retailers.
