Exhibit 1.02
Conflict Minerals Report of Wabtec Corporation
In Accord with Rule 13p-1 under the Securities Exchange Act of 1934
This is the Conflict Minerals Report of Wabtec for the 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”). Numerous terms in this Report are defined in Rule 13p-1 and Form SD and the reader is referred to those sources and to 1934 Act Release No. 34-67716 (August 22, 2012) for such definitions.
In accord with Rule 13p-1, Wabtec undertook due diligence to seek to determine whether the necessary 3TG in the Specialty Products and Electronics; Brake Products; Remanufacturing, Overhaul and Build; and Transit Products business segments originated from the DRC and adjoining countries. Wabtec designed its due diligence measures to be in conformity, in all material respects, with the recognized OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Framework”).
As a result of our due diligence efforts Wabtec has concluded in good faith that during 2013, with respect to any product manufactured or contracted to be manufactured by Wabtec; that Wabtec is unable to determine whether or not the 3TG included in our products originated from the Covered Countries.
This Report has not been subject to an independent private sector audit as allowed under Rule 13p-1, which provides a temporary accommodation for the first two reporting years.
Wabtec’s due diligence measures included:
• | Conducted a supply-chain survey with direct suppliers using the EICC/GeSI Conflict Minerals Reporting Template to identify the smelters and refiners who contribute refined 3TG to Wabtec products. |
• | The identified smelters and refiners resulting from the supply chain survey were compared to the facilities found on the Conflict-Free Smelter Program (“CFSP”) list published by the Conflict-Free Sourcing Initiative (“CFSI”). |
• | Conflict minerals records are retained per our record retention protocol. |
• | Standard language regarding conflict minerals has been integrated into our supplier contracts ensuring due diligence participation and compliance. |
As a result of Wabtec’s due diligence efforts, we have identified and obtained sourcing information on 250 of the smelters, refiners and distributors who contribute to our Specialty and Electronic; Brake Products; Remanufacturing, Overhaul and Build; and Transit Products business segments. Of the 250 identified smelters, refiners and distributors, 58 are found on the CFSP as of May 20, 2014. The following is a summary of all supply-chain survey respondents.
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3TG PRODUCTION FACILITY COUTNRY OF ORIGIN
3TG | Countries of origin may include the following | |
Tantalum | UKN; NON-DRC; CN; US; DE; JP; KZ; AU; ID; IN | |
Tin | UKN; NON-DRC; US; BO; ID; MY; BR; PE; TH; CN; JP; RU; DE; BE ; CZ; FR; KR ; TW; TH | |
Tungsten | UKN; NON-DRC; US; CN; AU; CA; DE; JP; KR | |
Gold | UKN; NON-DRC; JP;AU; DE; UZ; BR; CH; TR; SE; MX; KR; IT; CL; ES; RU; HK; CA; US; KG; KZ; SA; CN; BE; TW; NL; PH | |
*“UKN” – Unknown; “NON-DRC” – Responses received from Suppliers stating that the 3TG included in the procured items did not originate from the DRC or adjoining countries |
IDENTIFIED SMELTERS, REFINERS AND DISTRIBUTORS OBTAINED THROUGH RCOI SURVEY
3TG | Smelter | Country | CFSI Conflict Free Smelter Program Participant | |||
Gold | AGR Matthey | Australia | ||||
Gold | AIDA Chemical Industries Co.,Ltd | Japan | ||||
Gold | Air products | Germany | ||||
Gold | Allgemeine Gold- & Silberscheideanstalt | Germany | Yes | |||
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | ||||
Gold | AngloGold Ashanti Mineração Ltda | Brazil | Yes | |||
Gold | Argor Heraeus | Switzerland | ||||
Gold | Asahi Pretec Corp | Japan | ||||
Gold | Asaka Riken Co Ltd | Japan | ||||
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | ||||
Gold | Aurubis AG | Germany | ||||
Gold | Aurubis AG | Japan | ||||
Gold | Boliden AB | Sweden |
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Gold | Cendres & Métaux SA | Switzerland | ||||
Gold | CHALCO Yunnan Copper Co. Ltd. | China | ||||
Gold | Chimet SpA | Italy | Yes | |||
Gold | China Golddeal | China | ||||
Gold | China National Non-ferrous | Japan | ||||
Gold | China’s Shangdong Gold Mining Co., Ltd | China | ||||
Gold | Chroma New Material Corp. | China | ||||
Gold | Chugai Mining | Japan | ||||
Gold | Codelco | Chile | ||||
Gold | Cooper Santa | Japan | ||||
Gold | CS | Japan | ||||
Gold | Daye Nonferrous | China | ||||
Gold | Degutea | Japan | ||||
Gold | Dowa Kogyo k.k | Japan | Yes | |||
Gold | Dowa Metals & Mining Co. Ltd | Japan | Yes | |||
Gold | EBARA-UDYLITE | Russian Federation | ||||
Gold | FSE Novosibirsk Refinery | Russian Federation | ||||
Gold | Furukawa Electric | Saudi Arabia | ||||
Gold | Ganzhou Hongfei W&Mo Materials Co., Ltd. | China | ||||
Gold | Global Tungsten & Powders Corp | Japan | ||||
Gold | Guangxi Pinggui PGMA Co. Ltd. | Netherlands | ||||
Gold | Harima Smelter | Japan | ||||
Gold | HC Stark | Japan | ||||
Gold | Heesung Catalysts Corp. | Taiwan |
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Gold | Heesung Metal Ltd. | Sweden | ||||
Gold | Heimerle + Meule GmbH | Germany | Yes | |||
Gold | Heraeus Germany | Germany | Yes | |||
Gold | Heraeus Hong Kong | Hong Kong | Yes | |||
Gold | Heraeus limited | Hong Kong | Yes | |||
Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Yes | |||
Gold | Heraeus Technology Center | China | ||||
Gold | Heraeus Technology Center | Hong Kong | ||||
Gold | Heraus | Russian Federation | ||||
Gold | Hisikari Mine | Japan | ||||
Gold | Hitachi Cable | Switzerland | ||||
Gold | Hitachi Ltd. | Switzerland | ||||
Gold | Huichang Shun Tin, Kam Industries, Ltd. | Uzbekistan | ||||
Gold | Hunan Chenzhou Mining Group Co. Ltd. | China | ||||
Gold | Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd. | China | ||||
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | China | ||||
Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Yes | |||
Gold | Ishifuku Tokyo Melters | Japan | ||||
Gold | Istanbul Gold Refinery | Turkey | Yes | |||
Gold | Japan Mint | Japan | ||||
Gold | Jiangxi Copper Company Limited | China | ||||
Gold | Jiangxi Tungsten Industry Group Co., Ltd | Japan | ||||
Gold | Jinlong Copper Co., Ltd. | Japan |
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Gold | Johnson Matthey Canada | Canada | Yes | |||
Gold | Johnson Matthey Inc | United States | Yes | |||
Gold | Johnson Matthey Limited | Canada | Yes | |||
Gold | Johnson Matthey USA | United States | Yes | |||
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | ||||
Gold | JSC Uralectromed | Russian Federation | ||||
Gold | JX Nippon Mining & Metals Co., Ltd | Japan | Yes | |||
Gold | Kazzinc Ltd | Kazakhstan | ||||
Gold | Kee Shing | Japan | ||||
Gold | Kennecott Utah Copper | United States | Yes | |||
Gold | Kojima Chemicals Co. Ltd | Japan | Yes | |||
Gold | Kyocera | China | ||||
Gold | Kyocery | Switzerland | ||||
Gold | Kyrgyzaltyn JSC | Kyrgyzstan | ||||
Gold | L’ azurde Company For Jewelry | Saudi Arabia | ||||
Gold | La Caridad | Mexico | ||||
Gold | Laybold | Russian Federation | ||||
Gold | Lingao Gold | China | ||||
Gold | LS Nikko | Korea, Republic of | Yes | |||
Gold | Luoyang ZIJIN YINHUI Gold Smelting Co. Ltd. | China | ||||
Gold | Materion Advanced Metals | United States | Yes | |||
Gold | Matsuda Sangyo Co. Ltd | Japan | Yes |
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Gold | Metallurgical Products India Pvt Ltd. | Brazil | ||||
Gold | Metalor | United States | Yes | |||
Gold | Metalor Technologies (Hong Kong) Ltd | Hong Kong | Yes | |||
Gold | Metalor Technologies SA | Switzerland | Yes | |||
Gold | Metalor USA Refining Corporation | United States | Yes | |||
Gold | Met-Mex Peñoles, S.A. | Mexico | ||||
Gold | Mitsubishi Electric Metecs Co., Ltd. | China | ||||
Gold | Mitsubishi Materials | China | ||||
Gold | Mitsubishi Materials Corporation | Japan | Yes | |||
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Yes | |||
Gold | Mitui Kinzoku co Ltd. | Japan | ||||
Gold | Moscow Special Alloys Processing Plant | Russian Federation | ||||
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | ||||
Gold | Nanchang Cemented Carbide Limited Liability Company | Japan | ||||
Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | ||||
Gold | Neomax Hitachi | Germany | ||||
Gold | Nihon Material Co. LTD | Japan | Yes | |||
Gold | Niihama Nickel Refinery | Japan | ||||
Gold | Nippon Mining | Japan | ||||
Gold | Nippon Steel | Switzerland | ||||
Gold | Ohio Precious Metals LLC. | United States | Yes | |||
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | Russian Federation |
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Gold | OJSC Kolyma Refinery | Russian Federation | ||||
Gold | Pan Pacific Copper Co Ltd., | Korea, Republic of | ||||
Gold | PBT | Russian Federation | ||||
Gold | Perth Mint (Western Australia Mint) | Australia | Yes | |||
Gold | Pure Technology | Indonesia | ||||
Gold | RedRing Solder (M) Sdn. Bhd | Russian Federation | ||||
Gold | Royal Canadian Mint | Canada | Yes | |||
Gold | SABIN | Japan | ||||
Gold | Sabin Metal Corp. | United States | ||||
Gold | Sabin Metals | Japan | ||||
Gold | Samhwa non-ferrorus Metal ind.co.ltd | Italy | ||||
Gold | SEMPSA | Spain | Yes | |||
Gold | Senju Metal Industry Co. | Japan | ||||
Gold | Senju Metal Industry Co. (SMIC) | Spain | ||||
Gold | SENJU METAL INDUSTRY CO.,LTD. | Australia | ||||
Gold | SENJU METAL INDUSTRY CO.,LTD. | Switzerland | ||||
Gold | SGS | Russian Federation | ||||
Gold | Shandong Gold Mining (Laizhou) | China | ||||
Gold | Shandong Tiancheng Biological Gold Industrial Co. Ltd. | China | ||||
Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | China | ||||
Gold | Shandong Zhaoyuan Gold Argentine refining company limited | China |
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Gold | Shenmao | Taiwan | ||||
Gold | Shenmao | United States | ||||
Gold | Sintron, Shenmao Solder (M) Sdn Bhd | Russian Federation | ||||
Gold | So Accurate Refing Group | United States | ||||
Gold | Solar Applied Materials Technology Corp. | Taiwan | ||||
Gold | Sumimoto | Japan | ||||
Gold | Suzhou Xingrui Noble | China | ||||
Gold | TaeguTec | Japan | ||||
Gold | Taki Chemical Co., Ltd. | Brazil | ||||
Gold | Tamura | Japan | ||||
Gold | Tanaka Kikinnzoku Kogyo K.K. | Japan | Yes | |||
Gold | TANAKA KIKINZOKU HANBAI K.K. | Japan | Yes | |||
Gold | Technic Inc. | Mexico | ||||
Gold | The Great Wall Gold and Silver Refinery of China | China | ||||
Gold | The Perth Mint | Australia | ||||
Gold | The Refinery of Shandong Gold Mining Co. Ltd | China | ||||
Gold | Tongling Nonferrous Metal Group Co. Ltd | China | ||||
Gold | UBS | Canada | ||||
Gold | Umicore Precious Metals Refining | Belgium | ||||
Gold | Umicore SA | Belgium | Yes | |||
Gold | Unit Timah Kundur PT Tambang | Kazakhstan | ||||
Gold | United Precious Metal Refining Inc. | United States | Yes | |||
Gold | United Refining | Japan | ||||
Gold | Xiamen Golden Egret Special Alloy Co. Ltd. (GESAC) | Taiwan |
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Gold | YOKOHAMA METAL CO.,LTD. | Japan | ||||
Gold | Yoo Chang Metal Industries Co Ltd. | Taiwan | ||||
Gold | Yunnan Tin Group (Holding) Company Limited (YTCL) | Switzerland | ||||
Gold | Yuntinic Chemical GmbH | Kyrgyzstan | ||||
Gold | Zhaojin refining | Taiwan | ||||
Gold | Zhongjin Gold Corporation Limited | China | ||||
Gold | Zijin Mining Group Co. Ltd | China | ||||
Tantalum | Cabot Corporation | United States | ||||
Tantalum | Duoluoshan | China | Yes | |||
Tantalum | Exotech Inc. | United States | Yes | |||
Tantalum | F&X | China | Yes | |||
Tantalum | Gannon & Scott | United States | Yes | |||
Tantalum | Global Advanced Metals | United States | ||||
Tantalum | H.C. Starck GmbH | Germany | Yes | |||
Tantalum | Hi-Temp | United States | Yes | |||
Tantalum | Jiujiang Tambre | China | ||||
Tantalum | Mitsui Mining & Smelting | Japan | ||||
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Yes | |||
Tantalum | Niotan | United States | Yes | |||
Tantalum | Plansee | Austria | ||||
Tantalum | Ulba | Kazakhstan | ||||
Tin | Complejo Metalurico Vinto S.A. | Bolivia | Yes | |||
Tin | Cookson | United States | ||||
Tin | Cooper Santa | Brazil |
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Tin | CV DS Jaya Abadi | Indonesia | ||||
Tin | CV Duta Putra Bangka | Indonesia | ||||
Tin | CV JusTindo | Indonesia | ||||
Tin | CV Makmur Jaya | Indonesia | ||||
Tin | CV Nurjanah | Indonesia | ||||
Tin | CV Prima Timah Utama | Indonesia | ||||
Tin | CV Serumpun Sebalai | Indonesia | ||||
Tin | CV United Smelting | Indonesia | ||||
Tin | EM VINTO | Bolivia | ||||
Tin | Empresa Metallurgica Vinto | Bolivia | ||||
Tin | Empressa Nacional de Fundiciones (ENAF) | Bolivia | ||||
Tin | Funsur Smelter | Peru | ||||
Tin | Gejiu Non-ferrous | China | ||||
Tin | Gejiu Zi-Li | China | Yes | |||
Tin | Gejiu Zili Metallurgy Co. | China | ||||
Tin | Gold Bell Group | China | ||||
Tin | Jean Goldschmidt International | Belgium | ||||
Tin | Jiangxi Nanshan | China | ||||
Tin | Keeling & Walker | Peru | ||||
Tin | Liuzhou China Tin | China | ||||
Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Yes | |||
Tin | Metallic Resources Inc | United States | ||||
Tin | Metallo Chimique | Belgium | ||||
Tin | Mineração Taboca S.A. | Brazil | ||||
Tin | Minsur | Brazil | Yes |
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Tin | Minsur S.A. Tin Metal | Peru | Yes | |||
Tin | Mitsubishi Materials Corporation | Japan | ||||
Tin | Nathan Trotter & Co., Inc. | United States | Yes | |||
Tin | Novosibirsk | Russian Federation | ||||
Tin | OMSA | Bolivia | ||||
Tin | PT Alam Lestari Kencana | Indonesia | Yes | |||
Tin | PT Artha Cipta Langgeng | Indonesia | ||||
Tin | PT Babel Inti Perkasa | Indonesia | ||||
Tin | PT Babel Surya Alam Lestari | Indonesia | ||||
Tin | PT Bangka Kudai Tin | Indonesia | ||||
Tin | PT Bangka Putra Karya | Indonesia | ||||
Tin | PT Bangka Timah Utama Sejahtera | Indonesia | ||||
Tin | PT Belitung Industri Sejahtera | Indonesia | ||||
Tin | PT BilliTin Makmur Lestari | Indonesia | ||||
Tin | PT Bukit Timah | Indonesia | ||||
Tin | PT Eunindo Usaha Mandiri | Indonesia | Yes | |||
Tin | PT Fang Di MulTindo | Indonesia | ||||
Tin | PT HP Metals Indonesia | Indonesia | ||||
Tin | PT Koba Tin | Indonesia | ||||
Tin | PT Mitra Stania Prima | Indonesia | ||||
Tin | PT Refined Banka Tin | Indonesia | ||||
Tin | PT Sariwiguna Binasentosa | Indonesia | ||||
Tin | PT Stanindo Inti Perkasa | Indonesia | ||||
Tin | PT Sumber Jaya Indah | Indonesia |
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Tin | PT Tambang Timah | Indonesia | ||||
Tin | PT Timah | Indonesia | Yes | |||
Tin | PT Timah Nusantara | Indonesia | Yes | |||
Tin | PT Tinindo Inter Nusa | Indonesia | ||||
Tin | PT Yinchendo Mining Industry | Japan | ||||
Tin | Smelting Branch of Yunnan Tin Company Limited | China | ||||
Tin | Thailand Smelting and Refining Co. Ltd. | Thailand | ||||
Tin | Thaisarco | Thailand | ||||
Tin | White Solder Metalurgia | Brazil | Yes | |||
Tin | Yunnan Chengfeng Non-Ferrous Metals Co Ltd | China | ||||
Tin | Yunnan Tin Company Limited | China | ||||
Tin | Yuntinic Resources Inc. | China | Yes | |||
Tungsten | ATI Firth Sterling | United States | ||||
Tungsten | ATI Metalworking Products | United States | ||||
Tungsten | Chaozhou Xianglu Tungsten Industry Co Ltd | China | ||||
Tungsten | China Minmetals Corp | China | ||||
Tungsten | Chongyi Zhangyuan Tungsten Co Ltd | China | ||||
Tungsten | Ganzhou Grand Sea W & Mo Group Co Ltd | China | ||||
Tungsten | Ganzhou Huaxing Tungsten Products Co. Ltd. | China | ||||
Tungsten | Ganzhou Sea Dragon | China | ||||
Tungsten | Ganzhou Sinda W&Mo Co. Ltd. | China | ||||
Tungsten | Global Tungsten & Powders Corp | United States | ||||
Tungsten | Hunan Chenzhou Mining Group Co | China | Yes | |||
Tungsten | Jiangxi Rare Earth & Rare Metals Tungsten Group Corp | China |
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Tungsten | Jiangxi Tungsten Industry Co Ltd | China | ||||
Tungsten | Wolfram Bergbau und Hütten AG | Austria | ||||
Tungsten | Wolfram Company CJSC | Russian Federation | ||||
Tungsten | Xiamen Tungsten Co Ltd | China |
On the basis of the due diligence measures described above, Wabtec is unable to determine whether or not the 3TG contained in various components/materials which contribute to Specialty Products and Electronic; Brake Products; Remanufacturing, Overhaul and Build; and Transit Products business segments originated from the DRC or adjoining countries. Wabtec is making this determination because it does not have sufficient information from suppliers or other sources to conclude whether the necessary 3TG originated in the Covered Countries and, whether the necessary 3TG were from recycle or scrap sources.
Further, Wabtec as a purchaser is many steps removed from the mining of the conflict minerals; Wabtec does not purchase raw ore or unrefined tin, tantalum, tungsten or gold, and does no purchasing in the Covered Countries. The origin of 3TG cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other 3TG containing derivatives. The smelters and refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores.
Wabtec will undertake the following steps during the next compliance periods to improve the due diligence conducted to further mitigate the risk that its necessary 3TG do not benefit armed groups, including:
• | Increase the response rate of the suppliers’ supply chain surveys |
• | Continue to compare RCOI results to information collected via independent conflict free smelter validation programs such as the CFSI Conflict Free Smelter program. |
• | Contacting smelters identified as a result of the RCOI process and requesting their participation in obtaining a “conflict free” designation from an industry program such as the CFSI Conflict Free Smelter program. |
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