EX-1.02 2 exhibit102.htm EXHIBIT Exhibit 1.02
        


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

___________________________
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.