1、公司简介

广东广晟稀有金属光电新材料有限公司是一家全资国有公司，中国主要钽铌冶炼厂家之一，它的前身是从化钽铌冶炼厂，公司在2002年加入TIC成员，在2013年成为ITSCI正式成员。

2、评估介绍

公司在2018年12月25日通过了RMAP评估，有效期为一年。2018年1月1日起，我司停产，RMAP审计暂停；2022年6月，工厂恢复生产，因此今年申请复审。今年的评估期预计为2023年8月， 评估由负责任第三方审计公司执行。

3、公司供应链政策

为避免使用直接或间接为武装团体提供资金会使他们得益的冲突矿物及/或涉及在高风险和受冲突影响地区进行其他严重侵犯人权行为的冲突矿物，公司制定了供应链政策。本供应链政策完全符合第三版经合组织关于来自受冲突影响和高风险区域的矿石的负责任供应链尽职调查指南。它涵盖了经合组织指南附录二中确定 的所有风险，适用全球范围。公司承诺一经发现任何附录二风险，将立即处理。本政策经高级管理层审查和批准，管理层致力于支持本政策的实施。本政策已向相关利益相关者（供应商，客户，员工等）广泛传播，可于公司网站www.gsxc723.com查阅。

4、公司风险管理体系

1) 管理结构

公司对供应链有非常严格的管理体系，制定一系列完整的供应链控制体系，通过以下措施和程序确保绝不采购和使用受冲突影响地区来的冲突原料，防止任何冲突原料、不明原料进入公司的供应链，防止矿物的开采和贸易成为冲突，人权侵犯和不安全的来源。2022年1月，我们再次审查并修订了所有的内部控制程序和文件，公司严格恪守在供应链政策方面的承诺，并制定了以下方面的尽职调查内部流程：

公司任命营销中心主任负责监督尽职调查计划和风险管理的设计和实施。

姓名：訾晨霞

职位：营销中心主任

地址：中国广东清远英德华侨工业园

电话：0086-0763-2886199

该负责人负责协调相关部门（包括科技质量部，生产设备部）的工作，确保各部门恪尽职守，执行尽职调查计划并报告发现的任何示警信号和潜在风险。

公司按照尽职调查计划的要求每年对所有相关部门的主要人员开展至少一次尽职调查管理体系培训，如计划更新，公司会根据需要开展培训。

2）内部控制体系

2023年1月公司已更新了尽职调查体系，使其与经合组织指南及RMAP一致，公司已向所有已确定上游供应商传达了最新的供应链政策和采购要求，将尽职要求纳入与直接供应商达成的具有法律约束力的协议中。公司参与RMI的申诉机制，收集有关方面的申诉信息。

3）记录保留系统

公司要求与尽职调查计划相关的所有记录至少保存五年，要求正确使用并安全存储在我们的数据中。

5、风险识别

公司设有一套健全的流程来识别供应链中的风险。

首先，参考公司供应链政策中的风险，公司制定了识别CAHRA的程序。程序包括使用的资源、确定“受冲突影响和高风险”地区的标准以及我们使用的频率。公司使用以下资源来确定CAHRA：海德堡冲突晴雨表，人权治理指标，多德佛兰克法案。

其次，公司设计了一套了解供应商（KYS)流程，纳入关于供应商法律地位和身份信息，供应商分析和潜在风险，我们的大多数供应商已完成并交回表格。公司尽职调查经理与其它相关部门一起审查了提供的信息和联合国制裁名单。只要发现示警信号，公司将与供应商进一步合作，在需要时明确和改进文件。

• 公司要求提供每起重大交易的原产地信息，并确保能够了解交易来源，运输路线以及直接供应商的名称地点。

第四，公司对照CAHRA、制裁名单和内部采购管理要求审查所收集的信息。 

6、风险评估（仅限高风险采购）

对于确定为高风险采购的原料和供应链，公司开展增强尽职调查，这包括：

• 评估CAHRA的背景
• 阐明监管链
• 评估上游供应商的活动和关系
• 识别矿石的开采、贸易、处理和出口的地点和定量条件以及实地主估。

为了对实际情况进行分析，开展实地评估并评估高风险供应链中的风险，我们主要依靠：（1）参与RMI认可的上游审验机制；（2）ITSCI：公司是ITSCI的正式会员，对于每个高风险采购交易，ITSCI会提供以下文件：

• 事件总结报告（在获得后）；
• 矿场考察建议，包括潜在风险和矿场名单（建议向这些矿场开展增强型尽职调查评估）；
• 国家和地区月度报告，审查实地的一般情况；
• 数据总结和其他报告。

公司开展进一步尽职调查，对照公共领域信息和实际交易信息审查来自上游计划的相关文件，以评估风险水平。

• 风险降低

公司注重学习ITSCI其它报告及文件，例如事故报告、管理评估报告、公 司审核报告等。公司开展了进一步尽职调查，对照公共领域的信息和实际交易信息审查来自上游计划的相关文件。同时采取以下措施降低风险： 

• 无论是对高风险还是低风险，公司要求所有的供应商提供下列文件信息：供应商的尽职调查计划，包括 KYC 调查表、公司注册登记证或公司营业执照、 采矿证(如果是采矿公司）。
• 密切关注当地公司的运营/国家背景有关的治理信息。
• 收集每笔交易供应链监管链文件确保了解交易来源和运输路径。
• 充分发挥国际TIC会议作用，通过对矿山的考察，文件检查与矿工面谈，咨询当地社区和其他利益相关者等方式进行对高风险地区的供应商进行尽职调查，以及时了解在矿产开采、运输、贸易等过程中有无严重侵权行为的发生。

 

广东广晟稀有金属光电新材料有限公司

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.

2. 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.

3. 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 www.gsxc723.com.

4. 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.

5. 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.

6. 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.

7. 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