EX-1.01 2 exhibit101vrtconflictminer.htm EX-1.01 Document
Exhibit 1.01
Vertiv Holdings Co
Conflict Minerals Report
For the Calendar Year Ended December 31, 2020
This Conflict Minerals Report contains “forward-looking statements” that are based on our current expectations and assumptions. Forward-looking statements by their nature address matters that are, to different degrees, uncertain. Forward-looking statements include any statements that are not historical and includes the statements made under the heading “Risk Mitigation.” All forward-looking statements made in this Conflict Minerals Report are based on information available to Vertiv Holdings Co (“Vertiv,” “we,” “us,” or “our”) as of the date of this report. Vertiv undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events, or otherwise, except as required by law. In addition, forward-looking statements are subject to certain risks and uncertainties that could cause actual results to differ materially from Vertiv’s historical experience and its present expectations. These risks and uncertainties include, but are not limited to, the continued implementation by Vertiv and our direct and indirect suppliers of satisfactory traceability and other compliance measures on a timely basis, or at all.
Vertiv has prepared this Conflict Minerals Report for the year ended December 31, 2020 consistent with the requirements of Rule 13p-1 of the Securities Exchange Act of 1934, as amended, relating to conflict minerals (the “Rule”). The Rule imposes certain reporting obligations on Securities and Exchange Commission registrants whose manufactured products or products contracted to be manufactured contain conflict minerals which are necessary to the functionality or production of their products. The term “conflict minerals” is defined in the Rule as cassiterite, columbite-tantalite (coltan), wolframite, and their derivatives, tin, tantalum, tungsten and gold (“conflict minerals” or “3TG”); or any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of Congo (“DRC”) or any adjoining country that shares an internationally recognized border with the DRC (the “Covered Countries”).
1.Company Overview
Vertiv is a global leader in the design, manufacturing and servicing of critical digital infrastructure technology that powers, cools, deploys, secures and maintains electronics that process, store and transmit data. We provide this technology to data centers, communication networks and commercial and industrial environments worldwide.
Vertiv is headquartered in Columbus, Ohio and has regional offices located in the United Kingdom, Italy, China, India and the Philippines. We have approximately 20,000 employees and sell products to customers worldwide. Our supply chain includes more than 10,000 vendor partners in 115 countries providing Vertiv with manufactured components, raw materials, software, professional services, logistics support and subcontracted services.
Vertiv’s supply chain is multi-tiered and we are typically many levels removed from mines, smelters and refiners. We do not purchase any 3TG directly from mines, smelters or refiners. Some of Vertiv’s products may contain 3TG either from recycled sources or in their processed form. We rely on our direct suppliers to provide information on the existence of, and the origin of, any 3TG contained in components and materials supplied to us, including the sources of any 3TG supplied to such direct suppliers from their lower-tier suppliers. Direct suppliers to Vertiv similarly rely on information provided by their suppliers.
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Vertiv is committed to complying with the Rule and upholding responsible sourcing practices. As such, Vertiv has published a Conflict Minerals Statement and built a complex due diligence program to ensure responsible sourcing practices in its supply chain. Vertiv’s Conflict Minerals Statement is available at the following link: https://www.vertiv.com/en-asia/support/conflict-minerals-statement/
Vertiv has actively engaged with its customers, suppliers and other stakeholders on the use of conflict minerals and responsible sourcing since the Rule was enacted. Vertiv requires that all materials used in its products be preferably sourced from conflict-free smelters or refiners. Further, Vertiv is a member company of the Responsible Minerals Initiative (RMI) and requires its suppliers to work with their supply chain to cease sourcing from smelters or refiners that are designated as non-conformant per the RMI’s Responsible Minerals Assurance Program or are otherwise identified as high-risk.

2.Reasonable Country of Origin Inquiry
Vertiv determined that 3TG were necessary to the functionality and production of some of our products manufactured during the 2020 calendar year. Vertiv products that contain 3TG include Uninterruptible Power Supplies (UPS), DC Power Systems, and Thermal Management Products. Accordingly, we conducted a reasonable country of origin inquiry in good faith to determine whether the 3TG may have originated in the DRC or Covered Countries.
To assist with our country of origin inquiry, Vertiv retained Assent Compliance, a third-party service provider, to assist Vertiv with reviewing its supply chain and identifying risks. Vertiv provided to Assent Compliance a list of suppliers whose products possibly contain 3TG and Assent Compliance conducted a survey of such suppliers using the Conflict Minerals Reporting Template (CMRT) version 6.1, maintained by the Responsible Minerals Initiative. For the reporting period covered by this report, the suppliers surveyed represented approximately 91% of our total direct materials expenditures for 2020.
Assent Compliance contacted the suppliers and requested that they complete the CMRT via its software-as-a-service (SaaS) platform, which facilitates communications and allows suppliers to upload completed CMRTs directly to the platform for validation, assessment and management. Assent Compliance assessed the quality of each supplier response and assigned a health score based on the supplier’s declaration. Vertiv and/or Assent Compliance contacted suppliers with potentially invalid or incomplete CMRTs and encouraged them to submit or resubmit a valid response, providing guidance on how to correct errors via feedback to the CMRT submission, training courses, and direct engagement by Assent Compliance’s multilingual Supplier Experience team. Assent Compliance monitored and tracked all supplier responses and communications for reporting and transparency.
Based on data collected through May 17, 2021, 61% of the surveyed suppliers, representing 70% of our total direct material expenditures in 2020, submitted a CMRT.
3.Due Diligence
Vertiv designed its due diligence measures to conform, in all material respects, to the framework in the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, and the related supplements for gold, tin, tantalum and tungsten (the “OECD Guidance”). Due diligence requires Vertiv to rely on data provided by direct suppliers and third-party audit programs. There is therefore a risk of incomplete or inaccurate data as the entire process is not, and cannot, be fully managed by
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Vertiv. However, through continued outreach and process validation, Vertiv’s due diligence process aligns with industry standards and market expectations for downstream companies’ due diligence.
Vertiv integrated the five steps recommended by the OECD Guidance as follows:
a.Establishment of Company Management Systems
Vertiv established a cross-functional team to implement and manage our conflict minerals compliance program. The team, led by our global procurement organization, includes representatives from our product development, supply chain, legal, and Environmental, Health and Safety departments. The team is responsible for implementing conflict minerals compliance strategies and briefing senior management about the results of our due diligence measures.
In addition, Vertiv has implemented the following:
i.As noted above, Vertiv adopted and published on its public website a Conflict Minerals Statement that articulates Vertiv’s support for efforts to end the human suffering and environmental impact that have been associated with mining in the DRC and Covered Countries.
ii.Vertiv’s contracts with direct suppliers require the suppliers to trace and disclose information about the country of origin of minerals used in goods supplied to Vertiv.
iii.Vertiv actively enforces its Code of Ethics and Supplier Code of Conduct, which outline expected behaviors for our employees, officers, directors and suppliers. All suppliers are expected to act in accordance with such documents and comply with product-related requirements, including conflict minerals reporting. Vertiv’s Code of Ethics and Supplier Code of Conduct are available on our website at: https://www.vertiv.com/en-us/about/ethics--compliance/
iv.Vertiv established a helpline that allows employees and suppliers to report any suspected violations or concerns, including any suspected violation or concern regarding our conflict minerals program, Code of Ethics or Supplier Code of Conduct.
v.Vertiv engaged Assent Compliance to assist with evaluating supply chain information regarding 3TG, identifying potential risks, and developing additional due diligence steps that Vertiv may undertake with suppliers. Assent Compliance’s dedicated program specialists support Vertiv’s conflict minerals program and provide frequent updates to Vertiv. Each member of Assent Compliance’s Customer Success team is trained in conflict minerals compliance and understands the intricacies of the CMRT and conflict minerals reporting, as well as Section 1502 of the Dodd-Frank Act.
vi.Vertiv, in cooperation with Assent Compliance, organized a training webinar where all suppliers in scope for Vertiv’s conflict minerals program were invited and trained on the OECD Due Diligence and 5 Step Framework principles, Vertiv’s conflict minerals policy and responsible sourcing requirements, and supplier obligations under Vertiv’s conflict minerals program.
vii.Non-English-speaking suppliers are included in Vertiv initiatives and have access to multilingual help desk support and other resources via Assent Compliance. This
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permits all suppliers worldwide to access Vertiv’s platform for CMRT uploads and correspondence.
viii.In response to specific customer requests, Vertiv engaged directly with specific suppliers to obtain valid conflict-free CMRT reports and documentation.
b.Identify and Assess Risks in the Supply Chain
As stated above, Vertiv is a member of RMI and has adopted the RMI’s approach to identifying and assessing risks in its supply chain. In applying this approach, we conducted due diligence to trace the origin of 3TG provided to us by identifying in our supply chain smelters, refiners or recyclers and scrap supplier sources.
Vertiv, through Assent Compliance, verified the information provided by our suppliers for completeness and consistency of responses. Where we identified inaccuracies, we required the suppliers to correct the errors and submit an updated CMRT or to provide additional information.
Assent Compliance confirmed the validation status of the smelters and refiners reported by our suppliers by determining if such entities had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (RMAP). Smelters and refiners that have completed an RMAP audit are considered DRC-conflict free. Assent Compliance followed up with suppliers reporting smelters or refiners that have not been audited against the RMAP standard or that are considered non-conformant by RMAP.
Each facility that meets the definition of a smelter or refiner of a 3TG was assessed according to red flag indicators defined in the OECD Guidance. Assent Compliance used several factors to measure sourcing risk, including:
Geographic proximity to the DRC and Covered Countries
Known mineral source country of origin
RMAP audit status
Credible evidence of unethical or conflict sourcing
Peer assessments conducted by credible third-party sources
In response to specific customer requests, Vertiv initiated risk mitigation efforts where a supplier’s CMRT reported facilities of concern, including instructing the supplier to undertake its own independent risk mitigation actions and asking the supplier to submit a product-specific CMRT to Vertiv identifying the connection, if any, between the facilities of concern and 3TG supplied to Vertiv. Vertiv provided suppliers with clear performance objectives within reasonable timeframes with the ultimate goal of progressively eliminating facilities of concern from Vertiv’s supply chain.
For the suppliers that provided country of origin information for 3TG, we confirmed the listed countries of origin for each smelter and refinery if the information was available from RMI. Some suppliers identified missing information from their supply chains and therefore could not provide a complete list of their upstream smelters and refiners.
 
i.Design and Implement a Strategy to Respond to Identified Risks
Vertiv’s strategy to respond to identified risks is to enforce our Supplier Code of Conduct and Purchase Order Terms and Conditions. Both documents communicate to our suppliers our expectations and requirements relating to the use and sourcing of 3TG. Specifically, Vertiv’s Terms and Conditions of
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Purchase require our suppliers to trace and declare the country of origin of minerals used in all materials and to promptly provide Vertiv with relevant CMRT reports upon request.
Suppliers that are either non-responsive or provide incomplete or inconsistent responses to Vertiv’s solicitations for information are escalated within Vertiv’s procurement organization for follow-up and receive email communications reminding them of Vertiv’s expectations relating to the use and sourcing of 3TG.
The Global Procurement Compliance team regularly reports to Vertiv’s procurement leadership and Chief Compliance Officer on its efforts to collect CMRTs, the conflict-free status of suppliers, and the findings of the supply chain risk assessment.
ii.Independent Third-Party Audits of Supply Chain Due Diligence
As a downstream company, Vertiv does not have a direct relationship with smelters or refiners and we do not perform or direct audits of smelters or refiners. Vertiv relies on third-party audits of smelters and refiners conducted as a part of the RMAP and results of such audits made available by RMI. Assent Compliance followed up with suppliers reporting smelters or refiners that are considered non-conformant by RMAP and smelters and refiners that have not been audited against the RMAP standard to encourage their participation and gather information regarding each facilities’ sourcing practices.
e.Report on Supply Chain Due Diligence
Vertiv reports annually on its conflict minerals due diligence program in this Conflict Minerals Report, which is filed annually with the Securities and Exchange Commission.
4.Results of Our Reasonable Country of Origin Inquiry and Due Diligence
For the reporting period of January 1, 2020 through December 31, 2020, Vertiv solicited 1,903 in-scope suppliers to gather detailed information regarding the existence of 3TG in components and materials sold to us, as well as the origin and chain of custody of such 3TG. Based on the information provided by our suppliers and our own due diligence efforts through May 17, 2021, we do not have sufficient information to conclusively determine the countries of origin or chain of custody of all 3TG in our products. We have provided in Annex A to this Report a list of smelters and refiners that may have been used to process 3TGs in Vertiv’s supply chain and in Annex B a list of countries of origin of these 3TGs, based on information provided through the CMRT data collection process, from direct smelter outreach and the RMAP.
The tables below summarize the quantity of smelters and refiners and source of 3TG reported in the CMRTs submitted by Vertiv´s suppliers who responded to our Conflict Minerals campaign for reporting year 2020:
Conflict MineralRMAP Conformant
RMAP
Active
Non-enrolledNon-ConformantTotal
Tin54129479
Tantalum3710038
Tungsten3853046
Gold1086544172

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Source of 3TGRMAP Conformant
RMAP
Active
Non-enrolledNon-ConformantTotal
3TG sourced from DRC or adjoining country2500025
3TG not sourced from DRC or adjoining country112000112
Unknown10024668
198

5.Risk Mitigation
Vertiv intends to continue evaluating its Reasonable Country of Origin Inquiry and due diligence processes in accordance with the provisions of the Rule to mitigate the risk that 3TGs necessary to our products benefit armed groups. In particular, we intend to:
i.Engage with suppliers to improve the quantity and quality of information received during our due diligence processes;
ii.Contact suppliers that submitted potentially unreliable or unacceptable responses;
iii.Review the criteria used to select suppliers to direct our efforts at the most relevant subset of our supply base;
iv.Request suppliers to source 3TG only from smelters and refiners that are Conformant or Active in the RMI’s Responsible Minerals Assurance Process;
v.Expand our involvement in the RMI and participation in its initiatives; and
vi.Continue engagement with suppliers, providing information about the importance of conflict-free sourcing for Vertiv and directing suppliers to information and training resources regarding responsible sourcing of 3TGs.


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ANNEX A
Table 1 below lists smelters and refiners from Vertiv’s 3TG country of origin inquiry. Please note that some of the listed smelters and refiners may not actually provide 3TG to be used in Vertiv products because the smelters and refiners may have declared 3TG only as part of a company-level CMRT submission, rather than a CMRT specific to the products supplied to Vertiv. However, Vertiv is listing these smelters and refiners in the interest of presenting a complete list.
Table 1. Smelters and refiners reported in Vertiv CMRT.
MineralSmelter / Refiner NameFacility Location
Gold8853 S.p.A.ITALY
GoldAbington Reldan Metals, LLCUNITED STATES OF AMERICA
GoldAdvanced Chemical CompanyUNITED STATES OF AMERICA
GoldAfrican Gold RefineryUGANDA
GoldAida Chemical Industries Co., Ltd.JAPAN
GoldAl Etihad Gold Refinery DMCCUNITED ARAB EMIRATES
GoldAlexy MetalsUNITED STATES OF AMERICA
GoldAllgemeine Gold-und Silberscheideanstalt A.G.GERMANY
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UZBEKISTAN
GoldAngloGold Ashanti Corrego do Sitio MineracaoBRAZIL
GoldArgor-Heraeus S.A.SWITZERLAND
GoldAsahi Pretec Corp.JAPAN
GoldAsahi Refining Canada Ltd.CANADA
GoldAsahi Refining USA Inc.UNITED STATES OF AMERICA
GoldAsaka Riken Co., Ltd.JAPAN
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEY
GoldAU Traders and RefinersSOUTH AFRICA
GoldAugmont Enterprises Private LimitedINDIA
GoldAurubis AGGERMANY
GoldBangalore RefineryINDIA
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINES
GoldBoliden ABSWEDEN
GoldC. Hafner GmbH + Co. KGGERMANY
GoldC.I Metales Procesados Industriales SASCOLOMBIA
GoldCaridadMEXICO
GoldCCR Refinery - Glencore Canada CorporationCANADA
GoldCendres + Metaux S.A.SWITZERLAND
GoldCGR Metalloys Pvt Ltd.INDIA
GoldChimet S.p.A.ITALY
GoldChugai MiningJAPAN
GoldDaye Non-Ferrous Metals Mining Ltd.CHINA
GoldDegussa Sonne / Mond Goldhandel GmbHGERMANY
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GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATES
GoldDODUCO Contacts and Refining GmbHGERMANY
GoldDowaJAPAN
GoldDS PRETECH Co., Ltd.KOREA, REPUBLIC OF
GoldDSC (Do Sung Corporation)KOREA, REPUBLIC OF
GoldEco-System Recycling Co., Ltd. East PlantJAPAN
GoldEco-System Recycling Co., Ltd. North PlantJAPAN
GoldEco-System Recycling Co., Ltd. West PlantJAPAN
GoldEmerald Jewel Industry India Limited (Unit 1)INDIA
GoldEmerald Jewel Industry India Limited (Unit 2)INDIA
GoldEmerald Jewel Industry India Limited (Unit 3)INDIA
GoldEmerald Jewel Industry India Limited (Unit 4)INDIA
GoldEmirates Gold DMCCUNITED ARAB EMIRATES
GoldFidelity Printers and Refiners Ltd.ZIMBABWE
GoldFujairah Gold FZCUNITED ARAB EMIRATES
GoldGCC Gujrat Gold Centre Pvt. Ltd.INDIA
GoldGeib Refining CorporationUNITED STATES OF AMERICA
GoldGold Coast RefineryGHANA
GoldGold Refinery of Zijin Mining Group Co., Ltd.CHINA
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINA
GoldGuangdong Jinding Gold LimitedCHINA
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINA
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINA
GoldHeimerle + Meule GmbHGERMANY
GoldHeraeus Metals Hong Kong Ltd.CHINA
GoldHeraeus Precious Metals GmbH & Co. KGGERMANY
GoldHunan Chenzhou Mining Co., Ltd.CHINA
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINA
GoldHwaSeong CJ CO., LTD.KOREA, REPUBLIC OF
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINA
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATES
GoldIshifuku Metal Industry Co., Ltd.JAPAN
GoldIstanbul Gold RefineryTURKEY
GoldItalpreziosiITALY
GoldJALAN & CompanyINDIA
GoldJapan MintJAPAN
GoldJiangxi Copper Co., Ltd.CHINA
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATION
GoldJSC UralelectromedRUSSIAN FEDERATION
GoldJX Nippon Mining & Metals Co., Ltd.JAPAN
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GoldK.A. RasmussenNORWAY
GoldKaloti Precious MetalsUNITED ARAB EMIRATES
GoldKazakhmys Smelting LLCKAZAKHSTAN
GoldKazzincKAZAKHSTAN
GoldKennecott Utah Copper LLCUNITED STATES OF AMERICA
GoldKGHM Polska Miedz Spolka AkcyjnaPOLAND
GoldKojima Chemicals Co., Ltd.JAPAN
GoldKorea Zinc Co., Ltd.KOREA, REPUBLIC OF
GoldKundan Care Products Ltd.INDIA
GoldKyrgyzaltyn JSCKYRGYZSTAN
GoldKyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATION
GoldL'azurde Company For JewelrySAUDI ARABIA
GoldLingbao Gold Co., Ltd.CHINA
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINA
GoldL'Orfebre S.A.ANDORRA
GoldLS-NIKKO Copper Inc.KOREA, REPUBLIC OF
GoldLT Metal Ltd.KOREA, REPUBLIC OF
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINA
GoldMarsam MetalsBRAZIL
GoldMaterionUNITED STATES OF AMERICA
GoldMatsuda Sangyo Co., Ltd.JAPAN
GoldMD OverseasINDIA
GoldMetal Concentrators SA (Pty) Ltd.SOUTH AFRICA
GoldMetallix Refining Inc.UNITED STATES OF AMERICA
GoldMetalor Technologies (Hong Kong) Ltd.CHINA
GoldMetalor Technologies (Singapore) Pte., Ltd.SINGAPORE
GoldMetalor Technologies (Suzhou) Ltd.CHINA
GoldMetalor Technologies S.A.SWITZERLAND
GoldMetalor USA Refining CorporationUNITED STATES OF AMERICA
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MEXICO
GoldMitsubishi Materials CorporationJAPAN
GoldMitsui Mining and Smelting Co., Ltd.JAPAN
GoldMMTC-PAMP India Pvt., Ltd.INDIA
GoldModeltech Sdn BhdMALAYSIA
GoldMorris and WatsonNEW ZEALAND
GoldMoscow Special Alloys Processing PlantRUSSIAN FEDERATION
GoldNadir Metal Rafineri San. Ve Tic. A.S.TURKEY
GoldNavoi Mining and Metallurgical CombinatUZBEKISTAN
GoldNH Recytech CompanyKOREA, REPUBLIC OF
GoldNihon Material Co., Ltd.JAPAN
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GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIA
GoldOhura Precious Metal Industry Co., Ltd.JAPAN
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATION
GoldOJSC Novosibirsk RefineryRUSSIAN FEDERATION
GoldPAMP S.A.SWITZERLAND
GoldPease & CurrenUNITED STATES OF AMERICA
GoldPenglai Penggang Gold Industry Co., Ltd.CHINA
GoldPlanta Recuperadora de Metales SpACHILE
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATION
GoldPT Aneka Tambang (Persero) TbkINDONESIA
GoldPX Precinox S.A.SWITZERLAND
GoldQG Refining, LLCUNITED STATES OF AMERICA
GoldRand Refinery (Pty) Ltd.SOUTH AFRICA
GoldRefinery of Seemine Gold Co., Ltd.CHINA
GoldREMONDIS PMR B.V.NETHERLANDS
GoldRoyal Canadian MintCANADA
GoldSAAMPFRANCE
GoldSabin Metal Corp.UNITED STATES OF AMERICA
GoldSafimet S.p.AITALY
GoldSAFINA A.S.CZECH REPUBLIC
GoldSai RefineryINDIA
GoldSamduck Precious MetalsKOREA, REPUBLIC OF
GoldSamwon Metals Corp.KOREA, REPUBLIC OF
GoldSancus ZFS (L’Orfebre, SA)COLOMBIA
GoldSAXONIA Edelmetalle GmbHGERMANY
GoldSellem Industries Ltd.MAURITANIA
GoldSEMPSA Joyeria Plateria S.A.SPAIN
GoldShandong Humon Smelting Co., Ltd.CHINA
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINA
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINA
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CHINA
GoldShirpur Gold Refinery Ltd.INDIA
GoldSichuan Tianze Precious Metals Co., Ltd.CHINA
GoldSingway Technology Co., Ltd.TAIWAN, PROVINCE OF CHINA
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATION
GoldSolar Applied Materials Technology Corp.TAIWAN, PROVINCE OF CHINA
GoldSovereign MetalsINDIA
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GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIA
GoldSudan Gold RefinerySUDAN
GoldSumitomo Metal Mining Co., Ltd.JAPAN
GoldSungEel HiMetal Co., Ltd.KOREA, REPUBLIC OF
GoldSuper Dragon Technology Co., LtdTAIWAN, PROVINCE OF CHINA
GoldT.C.A S.p.AITALY
GoldTanaka Kikinzoku Kogyo K.K.JAPAN
GoldThe Refinery of Shandong Gold Mining Co., Ltd.CHINA
GoldTokuriki Honten Co., Ltd.JAPAN
GoldTongling Nonferrous Metals Group Co., Ltd.CHINA
GoldTony Goetz NVBELGIUM
GoldTOO Tau-Ken-AltynKAZAKHSTAN
GoldTorecomKOREA, REPUBLIC OF
GoldUmicore Precious Metals ThailandTHAILAND
GoldUmicore S.A. Business Unit Precious Metals RefiningBELGIUM
GoldUnited Precious Metal Refining, Inc.UNITED STATES OF AMERICA
GoldValcambi S.A.SWITZERLAND
GoldWestern Australian Mint (T/a The Perth Mint)AUSTRALIA
GoldWIELAND Edelmetalle GmbHGERMANY
GoldYamakin Co., Ltd.JAPAN
GoldYokohama Metal Co., Ltd.JAPAN
GoldYunnan Copper Industry Co., Ltd.CHINA
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCHINA
TantalumAsaka Riken Co., Ltd.JAPAN
TantalumChangsha South Tantalum Niobium Co., Ltd.CHINA
TantalumD Block Metals, LLCUNITED STATES OF AMERICA
TantalumExotech Inc.UNITED STATES OF AMERICA
TantalumF&X Electro-Materials Ltd.CHINA
TantalumFIR Metals & Resource Ltd.CHINA
TantalumGlobal Advanced Metals AizuJAPAN
TantalumGlobal Advanced Metals BoyertownUNITED STATES OF AMERICA
TantalumGuangdong Zhiyuan New Material Co., Ltd.CHINA
TantalumH.C. Starck Co., Ltd.THAILAND
TantalumH.C. Starck Hermsdorf GmbHGERMANY
TantalumH.C. Starck Inc.UNITED STATES OF AMERICA
TantalumH.C. Starck Ltd.JAPAN
TantalumH.C. Starck Smelting GmbH & Co. KGGERMANY
TantalumH.C. Starck Tantalum and Niobium GmbHGERMANY
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CHINA
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TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINA
TantalumJiangxi Tuohong New Raw MaterialCHINA
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CHINA
TantalumJiujiang Tanbre Co., Ltd.CHINA
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINA
TantalumKEMET Blue MetalsMEXICO
TantalumLSM Brasil S.A.BRAZIL
TantalumMetallurgical Products India Pvt., Ltd.INDIA
TantalumMineracao Taboca S.A.BRAZIL
TantalumMitsui Mining and Smelting Co., Ltd.JAPAN
TantalumNingxia Orient Tantalum Industry Co., Ltd.CHINA
TantalumNPM Silmet ASESTONIA
TantalumPRG DooelNORTH MACEDONIA, REPUBLIC OF
TantalumQuantumCleanUNITED STATES OF AMERICA
TantalumResind Industria e Comercio Ltda.BRAZIL
TantalumSolikamsk Magnesium Works OAORUSSIAN FEDERATION
TantalumTaki Chemical Co., Ltd.JAPAN
TantalumTelex MetalsUNITED STATES OF AMERICA
TantalumUlba Metallurgical Plant JSCKAZAKHSTAN
TantalumXinXing HaoRong Electronic Material Co., Ltd.CHINA
TantalumYancheng Jinye New Material Technology Co., Ltd.CHINA
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CHINA
TinAlphaUNITED STATES OF AMERICA
TinAn Vinh Joint Stock Mineral Processing CompanyVIET NAM
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINA
TinChifeng Dajingzi Tin Industry Co., Ltd.CHINA
TinChina Tin Group Co., Ltd.CHINA
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBRAZIL
TinCRM SynergiesSPAIN
TinCV Ayi JayaINDONESIA
TinCV Venus Inti PerkasaINDONESIA
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINA
TinDowaJAPAN
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIET NAM
TinEM VintoBOLIVIA (PLURINATIONAL STATE OF)
TinEstanho de Rondonia S.A.BRAZIL
TinFenix MetalsPOLAND
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TinGejiu City Fuxiang Industry and Trade Co., Ltd.CHINA
TinGejiu Fengming Metallurgy Chemical PlantCHINA
TinGejiu Kai Meng Industry and Trade LLCCHINA
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CHINA
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINA
TinGejiu Zili Mining And Metallurgy Co., Ltd.CHINA
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CHINA
TinHuiChang Hill Tin Industry Co., Ltd.CHINA
TinJiangxi New Nanshan Technology Ltd.CHINA
TinLuna Smelter, Ltd.RWANDA
TinMa'anshan Weitai Tin Co., Ltd.CHINA
TinMagnu's Minerais Metais e Ligas Ltda.BRAZIL
TinMalaysia Smelting Corporation (MSC)MALAYSIA
TinMelt Metais e Ligas S.A.BRAZIL
TinMetallic Resources, Inc.UNITED STATES OF AMERICA
TinMetallo Belgium N.V.BELGIUM
TinMetallo Spain S.L.U.SPAIN
TinMineracao Taboca S.A.BRAZIL
TinMinsurPERU
TinMitsubishi Materials CorporationJAPAN
TinModeltech Sdn BhdMALAYSIA
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIET NAM
TinNovosibirsk Processing Plant Ltd.RUSSIAN FEDERATION
TinO.M. Manufacturing (Thailand) Co., Ltd.THAILAND
TinO.M. Manufacturing Philippines, Inc.PHILIPPINES
TinOperaciones Metalurgicas S.A.BOLIVIA (PLURINATIONAL STATE OF)
TinPongpipat Company LimitedMYANMAR
TinPrecious Minerals and Smelting LimitedINDIA
TinPT Aries Kencana SejahteraINDONESIA
TinPT Artha Cipta LanggengINDONESIA
TinPT ATD Makmur Mandiri JayaINDONESIA
TinPT Babel Inti PerkasaINDONESIA
TinPT Babel Surya Alam LestariINDONESIA
TinPT Bangka SerumpunINDONESIA
TinPT Bukit TimahINDONESIA
TinPT Cipta Persada MuliaINDONESIA
TinPT Lautan Harmonis SejahteraINDONESIA
TinPT Masbro Alam StaniaINDONESIA
TinPT Menara Cipta MuliaINDONESIA
TinPT Mitra Stania PrimaINDONESIA
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TinPT Mitra Sukses GlobalindoINDONESIA
TinPT Prima Timah UtamaINDONESIA
TinPT Rajawali Rimba PerkasaINDONESIA
TinPT Rajehan AriqINDONESIA
TinPT Refined Bangka TinINDONESIA
TinPT Stanindo Inti PerkasaINDONESIA
TinPT Sukses Inti MakmurINDONESIA
TinPT Timah NusantaraINDONESIA
TinPT Timah Tbk KundurINDONESIA
TinPT Timah Tbk MentokINDONESIA
TinPT Tinindo Inter NusaINDONESIA
TinResind Industria e Comercio Ltda.BRAZIL
TinRui Da HungTAIWAN, PROVINCE OF CHINA
TinSoft Metais Ltda.BRAZIL
TinSuper LigasBRAZIL
TinThai Nguyen Mining and Metallurgy Co., Ltd.VIET NAM
TinThaisarcoTHAILAND
TinTin Technology & RefiningUNITED STATES OF AMERICA
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIET NAM
TinVQB Mineral and Trading Group JSCVIET NAM
TinWhite Solder Metalurgia e Mineracao Ltda.BRAZIL
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINA
TinYunnan Tin Company LimitedCHINA
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CHINA
TungstenA.L.M.T. Corp.JAPAN
TungstenACL Metais EireliBRAZIL
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BRAZIL
TungstenArtek LLCRUSSIAN FEDERATION
TungstenAsia Tungsten Products Vietnam Ltd.VIET NAM
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CHINA
TungstenChina Molybdenum Co., Ltd.CHINA
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CHINA
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINA
TungstenCronimet Brasil LtdaBRAZIL
TungstenFujian Ganmin RareMetal Co., Ltd.CHINA
TungstenGanzhou Haichuang Tungsten Co., Ltd.CHINA
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CHINA
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CHINA
TungstenGanzhou Seadragon W & Mo Co., Ltd.CHINA
TungstenGEM Co., Ltd.CHINA
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TungstenGlobal Tungsten & Powders Corp.UNITED STATES OF AMERICA
TungstenGuangdong Xianglu Tungsten Co., Ltd.CHINA
TungstenH.C. Starck Smelting GmbH & Co. KGGERMANY
TungstenH.C. Starck Tungsten GmbHGERMANY
TungstenHunan Chenzhou Mining Co., Ltd.CHINA
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CHINA
TungstenHydrometallurg, JSCRUSSIAN FEDERATION
TungstenJapan New Metals Co., Ltd.JAPAN
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CHINA
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CHINA
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINA
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINA
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CHINA
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CHINA
TungstenJSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATION
TungstenKennametal FallonUNITED STATES OF AMERICA
TungstenKennametal HuntsvilleUNITED STATES OF AMERICA
TungstenKGETS Co., Ltd.KOREA, REPUBLIC OF
TungstenLianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINA
TungstenMalipo Haiyu Tungsten Co., Ltd.CHINA
TungstenMasan Tungsten Chemical LLC (MTC)VIET NAM
TungstenMoliren Ltd.RUSSIAN FEDERATION
TungstenNiagara Refining LLCUNITED STATES OF AMERICA
TungstenNPP Tyazhmetprom LLCRUSSIAN FEDERATION
TungstenPhilippine Chuangxin Industrial Co., Inc.PHILIPPINES
TungstenUnecha Refractory metals plantRUSSIAN FEDERATION
TungstenWolfram Bergbau und Hutten AGAUSTRIA
TungstenXiamen Tungsten (H.C.) Co., Ltd.CHINA
TungstenXiamen Tungsten Co., Ltd.CHINA
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINA

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ANNEX B
Table 2 below is an aggregate list of countries of origin from which the reported facilities collectively source 3TGs, based on information provided through the CMRT data collection process, direct smelter and refinery outreach, and the RMAP. As stated above, some smelters and refiners may have been declared as part of a company-level CMRT submission, rather than a CMRT specific to the products supplied to Vertiv. Therefore, Table 2 may list more countries than those which are the actual sources of 3TG for Vertiv products.
Table 2. Countries of Origin of Conflict Minerals.
Country
Afghanistan
Albania
Angola
Argentina
Armenia
Australia
Austria
Belarus
Belgium
Bermuda
Bolivia
Brazil
Bulgaria
Burundi
Cambodia
Canada
Central African Republic
Chile
China
Colombia
Czech Republic
Djibouti
Dominican Republic
DRC or an adjoining country (Covered Countries)
Ecuador
Egypt
England
Estonia
Ethiopia
Finland
France
16



Germany
Ghana
Guinea
Guyana
Hungary
India
Indonesia
Ireland
Israel
Italy
Ivory Coast
Japan
Kazakhstan
Kenya
Kyrgyzstan
Laos
Liberia
Lithuania
Luxembourg
Madagascar
Malaysia
Mali
Mauritania
Mexico
Mongolia
Morocco
Mozambique
Myanmar
Namibia
Netherlands
New Zealand
Niger
Nigeria
Papua New Guinea
Peru
Philippines
Poland
Portugal
Republic Of Korea
Russia
Rwanda
17



Saudi Arabia
Sierra Leone
Singapore
Slovakia
Slovenia
South Africa
Spain
Sudan
Suriname
Sweden
Switzerland
Tanzania
Thailand
Turkey
Uganda
United Arab Emirates
United Kingdom
USA
Uzbekistan
Vietnam
Zambia
Zimbabwe





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