0001110803-15-000122.txt : 20150529 0001110803-15-000122.hdr.sgml : 20150529 20150529160634 ACCESSION NUMBER: 0001110803-15-000122 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20141231 1.02 20141231 FILED AS OF DATE: 20150529 DATE AS OF CHANGE: 20150529 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ILLUMINA INC CENTRAL INDEX KEY: 0001110803 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 330804655 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-35406 FILM NUMBER: 15899572 BUSINESS ADDRESS: STREET 1: 5200 ILLUMINA WAY CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: 8582024500 MAIL ADDRESS: STREET 1: 5200 ILLUMINA WAY CITY: SAN DIEGO STATE: CA ZIP: 92122 SD 1 a2015sdform.htm SD 2015 SD Form



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM SD

SPECIALIZED DISCLOSURE REPORT


Illumina, Inc.
(Exact name of the registrant as specified in its charter)

001-35406
(Commission File Number)
 
 
 
 
 
 
Delaware
 
33-0804655
(State or other jurisdiction of incorporation)
 
(I.R.S. Employer Identification No.)

5200 Illumina Way, San Diego, CA 92122
(Address of principal executive offices) (Zip code)
 
 
 
 
 
 
 
 
(858) 202-4500
(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:
þ
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014.





Section 1 - Conflict Minerals Disclosure

Illumina, Inc. (“Illumina”) develops, manufactures, and markets life science tools and integrated systems for the analysis of genetic variation and function.

Certain products manufactured by Illumina contain one or more of gold, tantalum, tin and tungsten (3TG). Illumina is committed to responsible sourcing practices that are designed to reduce the risk that our sourcing practices support conflict or human rights abuses in the Democratic Republic of Congo (DRC) or an adjoining country.

Item 1.01 Conflict Minerals Disclosure and Report

Illumina has concluded in good faith that during 2014,
 
a)
Illumina manufactured products for which “conflict minerals” (as defined in item 1.01(d)(3) of Form SD) are necessary to the functionality or production.
b)
Based on its reasonable country of origin inquiry, Illumina has reason to believe that its necessary conflict minerals may have originated in the Democratic Republic of the Congo or an adjoining country.

In accord with Rule 13p-1 under the Securities Exchange Act of 1934, Illumina has filed this Specialized Disclosure Report on Form SD and the associated Conflict Minerals Report, and both reports are posted to a publicly available Internet site at www.Illumina.com.

Item 1.02 Exhibits

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2 - Exhibits

Item 2.01 Exhibits

Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1, 2014 to December 31, 2014.








SIGNATURES
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.
 
 
ILLUMINA, INC.
(registrant)
 
 
 
Date:
May 29, 2015
 
/s/ BOB RAGUSA
 
 
 
Bob Ragusa
Senior Vice President Global Quality & Operations



EX-1.01 2 exhibit102-fy15.htm EXHIBIT 1.01 Exhibit 1.01




Conflict Minerals Report

Introduction:

This Report has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1 to December 31, 2014.

Illumina, Inc. (“Illumina”) develops, manufactures, and markets life science tools and integrated systems for the analysis of genetic variation and function.

Certain products manufactured by Illumina contain one or more of gold, tantalum, tin and tungsten (3TG) that are necessary to the functionality or production of such products. Illumina is committed to responsible sourcing practices that are designed to reduce the risk that our sourcing practices support conflict or human rights abuses in the Democratic Republic of Congo (DRC) or an adjoining country. Illumina has adopted a conflict minerals policy which is publicly available at www.Illumina.com.

Illumina conducts a reasonable country of origin inquiry (“RCOI”) of its direct suppliers, and, based on the results of such RCOI, exercises due diligence with respect to its supply chain in a manner consistent with the Organization for Economic Co-operation and Development’s (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related Supplements (collectively, the “OECD Guidance”), as described further below.

Illumina’s Conflict Minerals Program
Illumina expects its suppliers to commit to the Electronic Industry Citizenship Coalition (EICC) Code of Conduct, which was established by the EICC to ensure worker safety and fairness, environmental responsibility, and business efficiency. The EICC Code of Conduct includes a provision related to the responsible sourcing of minerals and requires suppliers to have a policy to reasonably assure that the tantalum, tin, tungsten, and gold in the products they manufacture does not directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the DRC or an adjoining country. Illumina expects its suppliers to establish their own due diligence program to ensure supply chains that are free of conflict minerals and to make their due diligence measures available to Illumina upon request. Illumina routinely evaluates its suppliers to ensure that they are adhering to Illumina’s expectations and values.
Due Diligence
Illumina has implemented a due diligence plan which is designed to conform with applicable portions of the OECD Guidance for downstream companies such as Illumina. Key elements of the due diligence plan are listed below:

Implement internal measures to strengthen company engagement with suppliers
Establish a company-level grievance mechanism
Solicit information from direct suppliers regarding 3TGs in their products and components supplied to the company and the smelters or other facilities used to process 3TGs in such products or components
Establish the expectation that our direct suppliers will obtain the same information from their supply chains regarding entities that process conflict minerals in the products and components in our supply chain
Use the information gathered from our suppliers to identify the Smelters or Refiners (SORs) in the supply chain Review the entities identified by our suppliers as smelters of conflict minerals contained in products or components in our supply chain against information provided by the Conflict Free Sourcing Initiative (“CFSI”) to identify those smelters that have received a conflict free designation for tantalum, tin, tungsten or gold on the Conflict Free Smelter List published by CFSI
Conduct various follow-up queries in an effort to obtain responses to our request for information from suppliers and to clarify certain responses received from suppliers and update information previously provided to us
Rely on independent third-party audits of SORs due diligence conducted through protocols such as the CFSI Conflict-Free Smelter Program
Report Annually on Supply Chain Due Diligence. The Form SD and CMR contained herein and publicly available at www.Illumina.com.

For those supply chains with smelters that are known or thought to be sourcing from the DRC, additional investigation is needed to determine the source and chain-of-custody of the regulated metals. Illumina relies on the following internationally





accepted audit standards to determine which smelters are considered “DRC Conflict Free”: the CFSI Conflict-Free Smelter Program, the London Bullion Market Association Good Delivery Program and the Responsible Jewellery Council Chain-of-Custody Certification. As a downstream company, we rely on the investigation conducted through these various audit programs to collect and review upstream information such as the mine or location of origin of conflict minerals.
If the smelter is not certified by these internationally-recognized schemes, Illumina attempts to contact the smelter to gain more information about their sourcing practices, including countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes the smelter takes to track the chain-of-custody on the source of its mineral ores. Relevant information to review includes: whether the smelter has a documented, effective and communicated conflict-free policy, an accounting system to support a mass balance of materials processed, and traceability documentation. Internet research is also performed to determine whether there are any outside sources of information regarding the smelter’s sourcing practices. Up to three contact attempts are made by Illumina to smelter to gather information on mine country of origin and sourcing practices.
Illumina also assigns red flags to smelters where there is evidence of sourcing from an OECD Level 2 country, or evidence of sourcing from countries which [have] unknown reserves for a given metal.
Continuous Improvement
To help mitigate the risk that conflict minerals in Illumina products benefit armed groups in the DRC or adjoining countries, Illumina endeavors to continuously improve upon its supply chain due diligence efforts, including 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

Determination
The majority of Illumina’s suppliers provided company level responses to the due diligence request rather than product level responses. As a result, the list of smelters identified through Illumina’s outreach to its suppliers pertains not only to the products that Illumina purchases but to all the products in the supply chains of Illumina’s suppliers. The tables below list smelters categorized as OECD risk Level 3 and risk Level 2 (defined below). Level 3 and Level 2 smelters represent 28% of total smelters identified by Illumina’s due diligence process.
Level 1 countries: Sources used are supplied from countries with known active ore production that are not identified as plausible countries for the export, smuggling or transit of conflict minerals.
Level 2 countries: Sources used are supplied from known or plausible countries for the export, smuggling or transit of conflict minerals.
Level 3 countries: Sources used are potentially supplied from one or more of the nine countries bordering the Democratic Republic of the Congo.
Recycled or scrap: Sources used are supplied from recyclers or scrap suppliers













Smelters sourcing from Level 3 countries:
Metal
Smelter/Refiner
Certification Status
Mine Countries of Origin
Gold
Rand Refinery (Pty) Ltd
CFSI, LBMA
DRC - Congo (Kinshasa), Tanzania
Tantalum
Conghua Tantalum and Niobium Smeltry
CFSI
Rwanda
Tantalum
Duoluoshan Sapphire Rare Metal Co., Ltd.
CFSI
Rwanda
Tantalum
H.C. Starck Co., Ltd.
CFSI
Rwanda
Tantalum
H.C. Starck GmbH Goslar
CFSI
Rwanda
Tantalum
H.C. Starck GmbH Laufenburg
CFSI
Rwanda
Tantalum
H.C. Starck Hermsdorf GmbH
CFSI
Rwanda
Tantalum
H.C. Starck Inc.
CFSI
Rwanda
Tantalum
H.C. Starck Ltd.
CFSI
Rwanda
Tantalum
Hi-Temp Specialty Metals, Inc.
CFSI
Rwanda
Tantalum
Jiujiang Tanbre Co., Ltd.
CFSI
DRC- Congo (Kinshasa)
Tantalum
KEMET Blue Metals
CFSI
Burundi, Rwanda
Tantalum
Kemet Blue Powder
CFSI
DRC- Congo (Kinshasa), Rwanda, Burundi
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CFSI
Burundi, Rwanda
Tantalum
Ulba
CFSI
DRC- Congo (Kinshasa), Rwanda, Burundi
Tantalum
Zhuzhou Cement Carbide
CFSI
DRC- Congo (Kinshasa), Rwanda, Burundi
Tin
China Tin Group Co., Ltd.
CFSI Active
DRC- Congo (Kinshasa)
Tin
CV United Smelting
CFSI
DRC- Congo (Kinshasa)
Tin
Empresa Metallurgica Vinto
CFSI
DRC- Congo (Kinshasa)
Tin
Malaysia Smelting Corporation (MSC)
CFSI
DRC- Congo (Kinshasa), Rwanda
Tin
Metallo Chimique
CFSI
DRC- Congo (Kinshasa)
Tin
Minsur
CFSI
DRC- Congo (Kinshasa), Rwanda
Tin
Operaciones Metalurgical S.A.
CFSI
DRC- Congo (Kinshasa)
Tin
PT Bangka Putra Karya
CFSI
DRC- Congo (Kinshasa)
Tin
PT Bukit Timah
CFSI
DRC- Congo (Kinshasa)
Tin
PT Pelat Timah Nusantara Tbk
CFSI
DRC- Congo (Kinshasa), Rwanda, Burundi
Tin
PT Stanindo Inti Perkasa
CFSI
DRC- Congo (Kinshasa)
Tin
PT Timah (Persero), Tbk
CFSI
DRC- Congo (Kinshasa)
Tin
Thaisarco
CFSI
DRC- Congo (Kinshasa), Rwanda
Tin
Yunnan Tin Company Limited
CFSI
Angola, DRC- Congo (Kinshasa)
Tungsten
H.C. Starck GmbH
CFSI Active
Rwanda
Tungsten
Wolfram Company CJSC
CFSI Active
Rwanda
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CFSI
Rwanda, Burundi
Tungsten
Xiamen Tungsten Co., Ltd.
CFSI
Rwanda















Smelters sourcing from Level 2 countries:
Metal
Smelter/Refiner
Certification Status
Mine Countries of Origin
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
CFSI
United Arab Emirates
Tantalum
Global Advanced Metals Boyertown
CFSI
Mozambique
Tantalum
H.C. Starck Co., Ltd.
CFSI
Mozambique
Tantalum
H.C. Starck GmbH Goslar
CFSI
Mozambique
Tantalum
H.C. Starck GmbH Laufenburg
CFSI
Mozambique
Tantalum
H.C. Starck Hermsdorf GmbH
CFSI
Mozambique
Tantalum
H.C. Starck Inc.
CFSI
Mozambique
Tantalum
H.C. Starck Ltd.
CFSI
Mozambique
Tantalum
Hi-Temp Specialty Metals, Inc.
CFSI
Mozambique
Tantalum
KEMET Blue Metals
CFSI
Mozambique
Tantalum
Kemet Blue Powder
CFSI
Mozambique
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CFSI
Mozambique
Tantalum
Ulba
CFSI
Mozambique
Tin
PT DS Jaya Abadi
CFSI
Mozambique
Tin
PT Stanindo Inti Perkasa
CFSI
Mozambique
Tungsten
H.C. Starck GmbH
CFSI Progressing
Mozambique