盡職調查報告
發布時間：2023-01-01 11:40:42 閱讀數：54
1、公司簡介
廣東廣晟稀有金屬光電新材料有限公司是一家全資國有公司，中國主要鉭鈮冶煉廠家之一，它的前身是從化鉭鈮冶煉廠，公司在2002年加入TIC成員，在2013年成為ITSCI正式成員。
2、評估介紹
公司在2018年12月25日通過了RMAP評估，有效期為一年。2018年1月1日起，我司停產，RMAP審計暫停；2022年6月，工廠恢復生產，因此今年申請復審。今年的評估期預計為2023年8月， 評估由負責任第三方審計公司執行。
3、公司供應鏈政策
為避免使用直接或間接為武裝團體提供資金會使他們得益的沖突礦物及/或涉及在高風險和受沖突影響地區進行其他嚴重侵犯人權行為的沖突礦物，公司制定了供應鏈政策。本供應鏈政策完全符合第三版經合組織關于來自受沖突影響和高風險區域的礦石的負責任供應鏈盡職調查指南。它涵蓋了經合組織指南附錄二中確定 的所有風險，適用全球范圍。公司承諾一經發現任何附錄二風險，將立即處理。本政策經高級管理層審查和批準，管理層致力于支持本政策的實施。本政策已向相關利益相關者（供應商，客戶，員工等）廣泛傳播，可于公司網站m.dydrd.cn查閱。
4、公司風險管理體系
1) 管理結構
公司對供應鏈有非常嚴格的管理體系，制定一系列完整的供應鏈控制體系，通過以下措施和程序確保絕不采購和使用受沖突影響地區來的沖突原料，防止任何沖突原料、不明原料進入公司的供應鏈，防止礦物的開采和貿易成為沖突，人權侵犯和不安全的來源。2022年1月，我們再次審查并修訂了所有的內部控制程序和文件，公司嚴格恪守在供應鏈政策方面的承諾，并制定了以下方面的盡職調查內部流程：
公司任命營銷中心主任負責監督盡職調查計劃和風險管理的設計和實施。
姓名：訾晨霞
職位：營銷中心主任
地址：中國廣東清遠英德華僑工業園
電話：0086-0763-2886199
該負責人負責協調相關部門（包括科技質量部，生產設備部）的工作，確保各部門恪盡職守，執行盡職調查計劃并報告發現的任何示警信號和潛在風險。
公司按照盡職調查計劃的要求每年對所有相關部門的主要人員開展至少一次盡職調查管理體系培訓，如計劃更新，公司會根據需要開展培訓。
2）內部控制體系
2023年1月公司已更新了盡職調查體系，使其與經合組織指南及RMAP一致，公司已向所有已確定上游供應商傳達了最新的供應鏈政策和采購要求，將盡職要求納入與直接供應商達成的具有法律約束力的協議中。公司參與RMI的申訴機制，收集有關方面的申訴信息。
3）記錄保留系統
公司要求與盡職調查計劃相關的所有記錄至少保存五年，要求正確使用并安全存儲在我們的數據中。
5、風險識別
公司設有一套健全的流程來識別供應鏈中的風險。
首先，參考公司供應鏈政策中的風險，公司制定了識別CAHRA的程序。程序包括使用的資源、確定“受沖突影響和高風險”地區的標準以及我們使用的頻率。公司使用以下資源來確定CAHRA：海德堡沖突晴雨表，人權治理指標，多德佛蘭克法案。
其次，公司設計了一套了解供應商（KYS)流程，納入關于供應商法律地位和身份信息，供應商分析和潛在風險，我們的大多數供應商已完成并交回表格。公司盡職調查經理與其它相關部門一起審查了提供的信息和聯合國制裁名單。只要發現示警信號，公司將與供應商進一步合作，在需要時明確和改進文件。
- 公司要求提供每起重大交易的原產地信息，并確保能夠了解交易來源，運輸路線以及直接供應商的名稱地點。
第四，公司對照CAHRA、制裁名單和內部采購管理要求審查所收集的信息。
6、風險評估（僅限高風險采購）
對于確定為高風險采購的原料和供應鏈，公司開展增強盡職調查，這包括：
- 評估CAHRA的背景
- 闡明監管鏈
- 評估上游供應商的活動和關系
- 識別礦石的開采、貿易、處理和出口的地點和定量條件以及實地主估。
為了對實際情況進行分析，開展實地評估并評估高風險供應鏈中的風險，我們主要依靠：（1）參與RMI認可的上游審驗機制；（2）ITSCI：公司是ITSCI的正式會員，對于每個高風險采購交易，ITSCI會提供以下文件：
- 事件總結報告（在獲得后）；
- 礦場考察建議，包括潛在風險和礦場名單（建議向這些礦場開展增強型盡職調查評估）；
- 國家和地區月度報告，審查實地的一般情況；
- 數據總結和其他報告。
公司開展進一步盡職調查，對照公共領域信息和實際交易信息審查來自上游計劃的相關文件，以評估風險水平。
- 風險降低
公司注重學習ITSCI其它報告及文件，例如事故報告、管理評估報告、公 司審核報告等。公司開展了進一步盡職調查，對照公共領域的信息和實際交易信息審查來自上游計劃的相關文件。同時采取以下措施降低風險：
- 無論是對高風險還是低風險，公司要求所有的供應商提供下列文件信息：供應商的盡職調查計劃，包括 KYC 調查表、公司注冊登記證或公司營業執照、 采礦證(如果是采礦公司）。
- 密切關注當地公司的運營/國家背景有關的治理信息。
- 收集每筆交易供應鏈監管鏈文件確保了解交易來源和運輸路徑。
- 充分發揮國際TIC會議作用，通過對礦山的考察，文件檢查與礦工面談，咨詢當地社區和其他利益相關者等方式進行對高風險地區的供應商進行盡職調查，以及時了解在礦產開采、運輸、貿易等過程中有無嚴重侵權行為的發生。
廣東廣晟稀有金屬光電新材料有限公司
2023年1月
Due Diligence And Risk Control Report
- Company information
Guangdong Rising Rare Metals-EO Materials Ltd. is a 100% state-owned company which is one of Chinese’s leading smelters of tantalum , niobium metals.Its predecessor was Conghua Tantalum & Niobium Smelter.It became a member of the Tantalum and Niobium International Study Center (T.I.C.) in 2002 and the formal member of ITSCI Program in 2013.
- RMAP Assessment Summary
The company has passed the RMAP audit on December 25, 2018, with a validity period of one year. Starting from January 1, 2018, our company ceased production and the RMAP audit was suspended; In June 2022, the factory resumed production and therefore applied for a re-audit this year. The evaluation period for this year is expected to be August 2023, and the evaluation will be conducted by a responsible third-party audit company.
- Company Supply Chain Policy
To avoid the use of conflict minerals, which directly or indirectly finance or benefit armed groups and/or involve other serious human right abuses in high-risk and conflict-affected regions, the company has developed a supply chain policy. The supply chain policy is fully aligned with the third edition of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance). It covers all of the risks identified in Annex II of the OECD Guidance and its geographic scope is global. The company commit to deal with any Annex II risks if identified. The policy was reviewed and approved by senior management, which committed to support its implementation. The policy has been widely spread to relevant stakeholders (suppliers, customers, employees etc.) and is available on the company website at m.dydrd.cn.
- Company Management Systems
- Management Structure
The company follows its commitments in the supply chain policy and has developed an internal procedure for due diligence with the following aspects: ·
The company’s sale manager is responsible to oversee the due diligence program and risk management design and implementation.
Name: Chenxia Zi
Position: Director, Marketing Center
Address: Qingyuan Huaqiao Industrial Park, Yingde, Guangdong Province, China.
Tel: 0086-0763-2886199
The program manager coordinate the work of the relevant departments including Technology and Quality Department and Production Facilities Department to ensure each department follows up on their roles and responsibilities to implement the due diligence program and report any red flags and potential risks identified. ·
The company conducts due diligence management system training once a year for key staff from all relevant departments required in due diligence program. If there is an update of the program, the company conducts additional training as necessary.
- Internal Systems of Control
The company has updated its due diligence management system to be aligned with the OECD Guidance and RMAP in January 2023. The company communicated the updated supply chain policy and sourcing requirements to all identified upstream suppliers. The company has incorporated due diligence requirements into legally binding agreements with direct suppliers. The company refers to RMI’s grievance mechanism to collect information on grievances from interested parties.
- Record Keeping System
The company requires that all records relating to the due diligence program are maintained at least for five years and that they be properly used and safely
stored in our online company database.
- Risk Identification
The company has a robust process to identify risks in the supply chain.
Firstly, referring to the risks in the company’s supply chain policy, the company established a procedure to identify CAHRAS. The procedure includes the resources used, the criteria to define a “conflict-affected and high-risk” area as well as the frequency with which our determination is reviewed. The company uses the following resources to determine CAHRAS: The Heidelberg Conflict Barometer provides conflict maps, representing an annual snapshot of the presence of armed conflict. The INFORM Index for Risk Management provides country-level risk profiles relating to humanitarian crises. Referring to its supply chain policy and external resources, the company has defined criteria and benchmark indicators to determine CAHRAs.
Secondly, the company designed a Know Your Supplier (KYS) to include information concerning supplier legal status and identity, supplier mapping and potential risks. The majority of our suppliers, representing 80 percent of our annual volume, have completed and returned a KYS form. The company’s due diligence program manager reviewed the provided information and the UN Sanction List with the Purchasing Team. Whenever inconsistencies, errors or incomplete information were identified in the KYS Responsible Minerals, the company communicated the improvement areas to suppliers and requested an updated form. If red flags were identified, the company would further engage with its suppliers to clarify and improve the documents as needed.
Thirdly, the company requested origin information for each material transaction and ensured that it was able to understand the transaction origin, transportation route, as well as direct suppliers’ names and locations.
Fourthly, all information collected was reviewed by the company against CAHRAS, sanction lists, local laws and internal sourcing requirements.
- Risk Assessment (HIGH RISK SOURCING ONLY)
For material and supply chains determined to be “high-risk”, the company conducted enhanced due diligence, which includes: assessing the context of CAHRAS; clarifying the chain of custody; assessing the activities and relationships of upstream suppliers; identifying locations and qualitative conditions of the extraction, trade, handling, and export of minerals; and conducting on-the-ground assessments.
In order to map the factual circumstances, conduct on-the ground assessments and assess risks in the high risk supply chains, we relied on the following: Participation in RMI recognized upstream assurance mechanisms; The company has been an active member of iTSCi. For each high-risk sourcing transaction, iTSCi provides the following documents:
- Incident summary reports as they become available
- Mine Visit Recommendations including a list of mine sites with potential risks (it is advised that companies sourcing from these mine sites conduct enhanced due diligence and risk assessment)
- Monthly country and region reports, which review the general situation on the ground
- Data summary and other reports
The company has conducted further due diligence to review these documents from upstream program against information in the public domain and the actual transaction information to assess the level of risk.
- Risk Mitigation
The company focused on studying other ITSCI reports and documents, such as incident reports, management assessment reports, and corporate audit reports. The Company conducted further due diligence by reviewing relevant documents from upstream programs against public domain information and actual transaction information. The following measures were also taken to mitigate risks.
1) For both high and low risk, the company requires the following documented information from all suppliers: supplier's due diligence plan including KYC questionnaire, company registration certificate or company business license, mining certificate (in case of mining companies).
2) Pay close attention to governance information related to the local company's operations/country context.
3) Collect chain-of-custody documentation for each transaction supply chain to ensure understanding of the source of the transaction and transportation path.
4)Make full use of international TIC meetings to conduct due diligence on suppliers in high-risk areas through mine visits, document inspections and interviews with miners, consultation with local communities and other stakeholders, etc., to understand in a timely manner whether serious violations have occurred during mineral extraction, transportation, trade, etc.
Guangdong Rising Rare Metals-EO Materials Ltd.
In January, 2023
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