EX-1.01 2 a15-12968_1ex1d01.htm EX-1.01

Exhibit 1.01

 

Conflict Minerals Report

 

I.                                        Introduction

 

Based in Charlotte, North Carolina, SPX Corporation is a global multi-industry manufacturing leader with approximately $5 billion in annual revenue, operations in more than 35 countries and over 14,000 employees. Our highly-specialized, engineered products and technologies are concentrated in flow technology and energy infrastructure.

 

Certain of our products contain materials or components that use tin, tantalum, tungsten and/or gold (“3TG”).  Due to the depth of our supply chain, we are often far removed from the sources of ore from which these metals are produced and the smelters/refiners that process those ores; the efforts undertaken to identify the countries of origin of those ores reflect our circumstances and position in the supply chain.  The amount of information available globally on the traceability and sourcing of these ores is extremely limited at this time; this situation is not unique to us.  We have taken steps to identify the applicable smelters and refiners of such 3TG metals in our supply chain; however, we believe that the smelters and refiners of 3TG are best situated to identify the sources and countries of origin of the 3TG.  We rely on our suppliers to provide us with information on the origin of any conflict minerals contained in components and materials supplied to us.

 

The due diligence efforts noted below were undertaken on the products manufactured by us in 2014.

 

II.                                   Reasonable Country of Origin Inquiry (RCOI)

 

We instructed our direct suppliers to provide answers to the Electronic Industry Citizenship Coalition-Global e-Sustainability Initiative (EICC-GeSI) Conflict Minerals Common Reporting Template.  The EICC-GeSI Conflict Minerals Common Reporting Template is regarded as the most common tool for reporting conflict minerals content and sourcing information worldwide, developed by several of the world’s leading consumer electronics companies.

 

In some cases, suppliers were required to provide corrections and clarifications.

 

As such, we believe our RCOI process was reasonably designed and performed in good faith.

 

III.                              Design of Due Diligence Framework

 

We designed our due diligence framework to conform in all material respects with the OECD 2013 Guidelines — OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing. http://dx.doi.org/10.1787/9789264185050-en

 

IV.                               Due Diligence Measures Performed

 

Due diligence measures we performed include, but are not limited to, the following:

·                  Reporting to senior management and the Board of Directors regarding the structure of our conflict minerals program.

·                  Reporting to senior management on direct suppliers’ responses to our conflict minerals information requests.

·                  Communicating our policy on conflict minerals to direct suppliers.

 

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·                  Communicating the commitments and requirements expected of our direct suppliers, supported by, when appropriate, email and phone dialogues.

·                  Comparing smelters and refiners identified by suppliers to the Conflict Free Sourcing Initiative (“CFSI”) lists of validated conflict free and verified facilities and the US Department of Commerce “Reporting Requirements Under Section 1502(d)(3)(C) of the Dodd-Frank Act World-Wide Conflict Mineral Processing Facilities”

(http://www.ita.doc.gov/td/forestprod/DOC-ConflictMineralReport.pdf), and our own independent research.

·                  Developing a risk mitigation plan that allows for continued trade with a supplier as appropriate through the supplier’s risk mitigation efforts, and evaluating the business relationship with suppliers that do not address the risks.

·                  Developing contractual terms and conditions regarding procurement practices that encourage suppliers to purchase raw materials from smelters/refiners which have achieved a conflict free designation by the CFSI’s Conflict Free Smelter Program (“CFSP”) or have an audit program with which CFSI has mutual recognition.

 

V.                                    Product Determination

 

We received inconclusive data from our direct suppliers.  Material source information is still developing.  To date, we have received no information from our direct suppliers indicating that the tin, tantalum, tungsten or gold we purchased from them directly or indirectly financed or benefitted armed groups in the Democratic Republic of the Congo (“DRC”) or adjoining countries.  Some suppliers disclosed to us that scrap/recycled sources of 3TG were identified in their supply chains and did not require due diligence.

 

We believe the following smelters/refiners have achieved a conflict free designation by the CFSI’s CFSP or have an audit program with which CFSI has mutual recognition, or are actively in the process of obtaining the designations, or are smelters/refiners for which we independently obtained country of origin information:

 

Gold

 

Advanced Chemical Company

Gold

 

Aida Chemical Industries Co. Ltd.

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

Gold

 

AngloGold Ashanti Córrego do Sítio Minerção

Gold

 

Argor-Heraeus SA

Gold

 

Asahi Pretec Corporation

Gold

 

Asaka Riken Co Ltd

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

Gold

 

Aurubis AG

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

Gold

 

Bauer Walser AG

Gold

 

Boliden AB

Gold

 

C. Hafner GmbH + Co. KG

Gold

 

Caridad

Gold

 

CCR Refinery - Glencore Canada Corporation

Gold

 

Cendres + Métaux SA

Gold

 

Chimet S.p.A.

Gold

 

China National Gold Group Corporation

Gold

 

Chugai Mining

Gold

 

Colt Refining

Gold

 

Daejin Indus Co. Ltd

 

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Gold

 

Daye Non-Ferrous Metals Mining Ltd.

Gold

 

Do Sung Corporation

Gold

 

Dowa Mining Co., Ltd.

Gold

 

Eco-System Recycling Co., Ltd.

Gold

 

FSE Novosibirsk Refinery

Gold

 

Gansu Seemine Material Hi-Tech Co Ltd

Gold

 

Guangdong Jinding Gold Limited

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

Gold

 

Heimerle + Meule GmbH

Gold

 

Heraeus Ltd. Hong Kong

Gold

 

Heraeus Precious Metals GmbH & Co. KG

Gold

 

Hwasung CJ Co. Ltd

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

Gold

 

Istanbul Gold Refinery

Gold

 

Japan Mint

Gold

 

Jiangxi Copper Company Limited

Gold

 

Johnson Matthey Inc

Gold

 

Johnson Matthey Ltd

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

Gold

 

JSC Uralelectromed

Gold

 

JX Nippon Mining & Metals Co., Ltd.

Gold

 

Kazzinc Inc.

Gold

 

Kennecott Utah Copper LLC

Gold

 

Kojima Chemicals Co., Ltd

Gold

 

Korea Metal Co. Ltd

Gold

 

Kyrgyzaltyn JSC

Gold

 

L’ azurde Company For Jewelry

Gold

 

Lingbao Gold Company Ltd.

Gold

 

Lingbao Jinyuan Tonghui Refinery Co. Ltd.

Gold

 

LS-NIKKO Copper Inc.

Gold

 

Luoyang Zijin Yinhui Metal Smelt Co Ltd

Gold

 

Materion

Gold

 

Matsuda Sangyo Co., Ltd.

Gold

 

Metalor Technologies (Hong Kong) Ltd

Gold

 

Metalor Technologies (Singapore) Pte. Ltd.

Gold

 

Metalor Technologies SA

Gold

 

Metalor USA Refining Corporation

Gold

 

Met-Mex Peñoles, S.A.

Gold

 

Moscow Special Alloys Processing Plant

Gold

 

Nadir Metal Rafineri San. Ve Tic. A.Ş.

Gold

 

Navoi Mining and Metallurgical Combinat

Gold

 

Nihon Material Co. LTD

Gold

 

Ohio Precious Metals, LLC

Gold

 

Ohura Precious Metal Industry Co., Ltd

Gold

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)

Gold

 

OJSC Kolyma Refinery

Gold

 

PAMP SA

Gold

 

Penglai Penggang Gold Industry Co Ltd

 

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Gold

 

Prioksky Plant of Non-Ferrous Metals

Gold

 

PT Aneka Tambang (Persero) Tbk

Gold

 

PX Précinox SA

Gold

 

Rand Refinery (Pty) Ltd

Gold

 

Royal Canadian Mint

Gold

 

Sabin Metal Corp.

Gold

 

Samduck Precious Metals

Gold

 

SAMWON METALS Corp.

Gold

 

Schöne Edelmetaal B.V.

Gold

 

SEMPSA Joyería Platería SA

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co. Ltd

Gold

 

So Accurate Group, Inc.

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

Gold

 

Solar Applied Materials Technology Corp.

Gold

 

Sumitomo Metal Mining Co., Ltd.

Gold

 

Tanaka Kikinzoku Kogyo K.K.

Gold

 

The Great Wall Gold and Silver Refinery of China

Gold

 

The Refinery of Shandong Gold Mining Co. Ltd

Gold

 

Tokuriki Honten Co., Ltd

Gold

 

Torecom

Gold

 

Umicore Brasil Ltda

Gold

 

Umicore Precious Metals Thailand

Gold

 

United Precious Metal Refining, Inc.

Gold

 

Valcambi SA

Gold

 

Western Australian Mint trading as The Perth Mint

Gold

 

Yamamoto Precious Metal Co., Ltd.

Gold

 

Yokohama Metal Co Ltd

Gold

 

Yunnan Copper Industry Co Ltd

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

Gold

 

Zijin Mining Group Co. Ltd

Gold, Tantalum

 

Mitsui Mining and Smelting Co., Ltd.

Gold, Tin

 

Mitsubishi Materials Corporation

Tantalum

 

AMG Advanced Metallurgical Group

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

Tantalum

 

Conghua Tantalum and Niobium Smeltry

Tantalum

 

Duoluoshan Sapphire Rare Metal Co., Ltd.

Tantalum

 

Ethiopian Minerals Development Share Company

Tantalum

 

F&X Electro-Materials Ltd.

Tantalum

 

FIR Metals & Resource., Ltd.

Tantalum

 

Global Advanced Metals Aizu

Tantalum

 

Global Advanced Metals Boyertown

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

Tantalum

 

H.C. Starck Co., Ltd.

Tantalum

 

H.C. Starck GmbH Goslar

Tantalum

 

H.C. Starck GmbH Laufenburg

Tantalum

 

H.C. Starck Hermsdorf GmbH

Tantalum

 

H.C. Starck Inc.

Tantalum

 

H.C. Starck Ltd.

 

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Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

Tantalum

 

Hi-Temp Specialty Metals, Inc.

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

Tantalum

 

Jiujiang Tanbre Co., Ltd.

Tantalum

 

KEMET Blue Metals

Tantalum

 

Kemet Blue Powder

Tantalum

 

King-Tan Tantalum Industry Ltd

Tantalum

 

LSM Brasil S.A.

Tantalum

 

Metallurgical Products India (Pvt.) Ltd.

Tantalum

 

Mitsui Mining and Smelting Co., Ltd.

Tantalum

 

Molycorp Silmet A.S.

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

Tantalum

 

Plansee SE Liezen

Tantalum

 

Plansee SE Reutte

Tantalum

 

QuantumClean

Tantalum

 

RFH Tantalum Smeltry Co., Ltd

Tantalum

 

Shanghai Jiangxi Metals Co., Ltd.

Tantalum

 

Taki Chemicals

Tantalum

 

Telex

Tantalum

 

Ulba

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd

Tantalum

 

Zhuzhou Cement Carbide

Tin

 

Alpha

Tin

 

China Rare Metal Materials Company

Tin

 

China Tin Group Co., Ltd.

Tin

 

CNMC (Guangxi) PGMA Co. Ltd.

Tin

 

Cooper Santa

Tin

 

CV Makmur Jaya

Tin

 

CV Nurjanah

Tin

 

CV Prima Timah Utama

Tin

 

CV Serumpun Sebalai

Tin

 

CV United Smelting

Tin

 

Empresa Metallurgica Vinto

Tin

 

Estanho de Rondônia S.A.

Tin

 

Fenix Metals

Tin

 

Gejiu Kai Meng Industry and Trade LLC

Tin

 

Gejiu Non-Ferrous Metal Processing Co. Ltd.

Tin

 

Gejiu Zi-Li

Tin

 

Huichang Jinshunda Tin Co. Ltd

Tin

 

Jiangxi Nanshan

Tin

 

Linwu Xianggui Smelter Co

Tin

 

Magnu’s Minerais Metais e Ligas LTDA

Tin

 

Malaysia Smelting Corporation (MSC)

Tin

 

Melt Metais e Ligas S/A

Tin

 

Metallo Chimique

Tin

 

Mineração Taboca S.A.

Tin

 

Minsur

Tin

 

Mitsubishi Materials Corporation

 

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Tin

 

Novosibirsk Integrated Tin Works

Tin

 

O.M. Manufacturing (Thailand) Co., Ltd.

Tin

 

O.M. Manufacturing Philippines, Inc.

Tin

 

Operaciones Metalurgical S.A.

Tin

 

PT Alam Lestari Kencana

Tin

 

PT Artha Cipta Langgeng

Tin

 

PT Babel Inti Perkasa

Tin

 

PT Babel Surya Alam Lestari

Tin

 

PT Bangka Putra Karya

Tin

 

PT Bangka Tin Industry

Tin

 

PT Belitung Industri Sejahtera

Tin

 

PT BilliTin Makmur Lestari

Tin

 

PT Bukit Timah

Tin

 

PT Eunindo Usaha Mandiri

Tin

 

PT HP Metals Indonesia

Tin

 

PT Justindo

Tin

 

PT Koba Tin

Tin

 

PT Mitra Stania Prima

Tin

 

PT Pelat Timah Nusantara Tbk

Tin

 

PT Prima Timah Utama

Tin

 

PT Refined Banka Tin

Tin

 

PT Sariwiguna Binasentosa

Tin

 

PT Stanindo Inti Perkasa

Tin

 

PT Sumber Jaya Indah

Tin

 

PT Supra Sukses Trinusa

Tin

 

PT Tambang Timah

Tin

 

PT Timah (Persero), Tbk

Tin

 

PT Tinindo Inter Nusa

Tin

 

PT Yinchendo Mining Industry

Tin

 

Rui Da Hung

Tin

 

Soft Metais, Ltda.

Tin

 

Thaisarco

Tin

 

White Solder Metalurgia e Mineração Ltda.

Tin

 

Yunnan Tin Company Limited

Tungsten

 

A.L.M.T. Corp.

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

Tungsten

 

Global Tungsten & Powders Corp.

Tungsten

 

Guangdong Xianglu Tungsten Industry Co., Ltd.

Tungsten

 

H.C. Starck GmbH

Tungsten

 

Hunan Chenzhou Mining Group Co., Ltd.

Tungsten

 

Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.

Tungsten

 

Japan New Metals Co., Ltd.

 

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Tungsten

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

Tungsten

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

Tungsten

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

Tungsten

 

Kennametal Fallon

Tungsten

 

Kennametal Huntsville

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

Tungsten

 

Wolfram Bergbau und Hütten AG

Tungsten

 

Wolfram Company CJSC

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

Tungsten

 

Xiamen Tungsten Co., Ltd.

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

Countries of origin for conflict minerals from the above smelters/refiners are believed to be:

 

Angola, Argentina, Armenia, Australia, Austria, Belgium, Belarus, Bermuda, Bolivia, Brazil, Burundi, Canada, Chile, China, DRC- Congo (Kinshasa), Estonia, Ethiopia, France, Germany, Ghana, Guinea, Guyana, Hong Kong, India, Indonesia, Italy, Japan, Jersey, Kazakhstan, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, South Africa, South Korea, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Tanzania, Thailand, Turkey, United Arab Emirates, United Kingdom, United States, Uzbekistan, Vietnam, Zambia, Zimbabwe.  Covered countries were identified only for audited smelters/refiners.

 

The following facilities were validated as smelters/refiners or have been audited by the CFSI, but country of origin information was not available. We continue to engage with our suppliers to determine the source of 3TG processed at the following facilities and to engage in efforts to determine the mine or location of origin of the 3TG used with greater specificity.

 

Gold

 

Doduco**

Gold

 

Fidelity Printers and Refiners Ltd.

Gold

 

Hunan Chenzhou Mining Group Co., Ltd.*

Gold

 

Ishifuku Metal Industry Co., Ltd.**

Gold

 

KGHM Polska Miedź Spółka Akcyjna

Gold

 

MMTC-PAMP India Pvt. Ltd**

Gold

 

Republic Metals Corporation**

Gold

 

Sichuan Tianze Precious Metals Co., Ltd**

Gold

 

Singway Technology Co., Ltd.**

Gold

 

TongLing Nonferrous Metals Group Holdings Co., Ltd.

Gold

 

Umicore SA Business Unit Precious Metals Refining**

Tantalum

 

D Block Metals, LLC**

Tantalum

 

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch**

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd**

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co, Ltd**

Tantalum

 

Metal Do

 

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Tantalum

 

Mineração Taboca S.A.*

Tantalum

 

Phoenix Metal Ltd

Tantalum

 

Solikamsk Metal Works**

Tantalum

 

Treibacher Industrie AG

Tantalum

 

XinXing Haorong Electronic Material Co., Ltd.**

Tantalum,

 

H.C. Starck Smelting GmbH & Co.KG**

Tungsten

 

 

Tin

 

CV Gita Pesona**

Tin

 

CV Venus Inti Perkasa

Tin

 

Dowa Mining Co., Ltd.*

Tin

 

PT ATD Makmur Mandiri Jaya**

Tin

 

PT Donna Kembara Jaya

Tin

 

PT Fang Di MulTindo

Tin

 

PT Inti Stania Prima**

Tin

 

PT Karimun Mining**

Tin

 

PT Panca Mega Persada**

Tin

 

PT Rajwa International

Tin

 

PT Seirama Tin investment

Tin

 

PT Singkep Times Utama

Tin

 

PT Tirus Putra Mandiri

Tin

 

PT Tommy Utama

Tin

 

PT WAHANA PERKIT JAYA**

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd

Tungsten

 

Asia Tungsten Products Vietnam Ltd.**

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.**

Tungsten

 

ERAMET

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

Tungsten

 

Jiangxi Richsea New Materials Co., Ltd.

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.**

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC**

Tungsten

 

Sanher Tungsten Vietnam Co., Ltd.**

Tungsten

 

Zigong Cemented Carbide Co., Ltd.

 


*  Facility has obtained a conflict free audit for a metal different from those indicated in this list.

 

**  Facility has obtained a conflict free audit but country of origin information was not available to SPX.

 

VI.                               Product Description

 

Our products subject to this disclosure are pumps; valves; mixers; plate heat exchangers; dehydration technologies; filtration technologies; dry cooling systems; evaporative and hybrid cooling systems; rotating and stationary heat exchangers; pollution control systems; boilers; heating and ventilation products; power transformers; industrial tools and hydraulic units; spectrum monitoring and signal monitoring systems; fare collection systems; and portable cable and pipe locators.  The conflict minerals necessary to the functionality or production of these products are, to our knowledge, obtained from suppliers who source these metals from the smelters/refiners and countries identified to date and listed in Section V above.

 

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VII.                          Independent Private Sector Audit

 

Not required for calendar year 2014.

 

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