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Supply Chain Policy

 

Recognizing that risks of significant adverse impacts which may be associated with extracting, trading, handling and exporting minerals from conflict-affected and high-risk areas, and recognizing that we have the responsibility to respect human rights and not contribute to conflict, we commit to adopt, widely disseminate and incorporate in contracts and/or agreements with suppliers the following policy on responsible sourcing of minerals from conflict-affected and high-risk areas, as representing a common reference for conflict-sensitive sourcing practices and suppliers risk awareness from the point of extraction until end user. We commit to refraining from any action which contributes to the financing of conflict and we commit to comply with relevant United Nations sanctions resolutions or, where applicable, domestic laws implementing such resolutions. We are committed to complying with OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. Compliance with domestic laws applicable to the implementation of such resolutions. We promise that the company will conduct due diligence on the origin of minerals and the regulatory chain in accordance with the OECD due diligence guidelines. We promise that the company will not benefit directly or indirectly from the purchase of tin, tantalum, tungsten and gold by armed groups in Congo or neighbouring countries that commit serious human rights violations.

 

1.Regarding serious abuses associated with the extraction, transport or trade of minerals:

 

While sourcing from, or operating in, conflict-affected and high-risk areas, we will neither tolerate nor by any means profit from, contribute to, assist with or facilitate the commission by any party of:

 

l  any forms of torture, cruel, inhuman and degrading treatment;

l  any forms of forced or compulsory labour, which means work or service which is exacted from any person under the menace of penalty and for which said person has not offered himself voluntarily;

l  the worst forms of child labour;

l  other gross human rights violations and abuses such as widespread sexual violence;

l  war crimes or other serious violations of international humanitarian law, crimes against humanity or genocide.

 

Risk management:

 

We will immediately suspend or discontinue engagement with upstream suppliers where we identify a reasonable risk that they are sourcing from, or linked to, any party committing serious abuses as defined above.

 

2.Regarding direct or indirect support to non-state armed groups:

 

We will not tolerate any direct or indirect support to non-state armed groups through the extraction, transport, trade, handling or export of minerals. “Direct or indirect support”to non-state armed groups through the extraction, transport, trade, handling or export of minerals includes, but is not limited to, procuring minerals from, making payments to or otherwise providing logistical assistance or equipment to, non-state armed groups or their affiliates who:

 

l  illegally control mine sites or otherwise control transportation routes, points where minerals are traded and upstream actors in the supply chain; and/or

l  illegally tax or extort money or minerals at points of access to mine sites, along transportation routes or at points where minerals are traded; and/or

l  illegally tax or extort intermediaries, export companies or international traders.

 

We agree to eliminate, direct or indirect support to public or private security forces who illegally control mine sites, transportation routes and upstream actors in the supply chain; illegally tax or extort money or minerals at point of access to mine sites, along transportation routes or at points where minerals are traded; or illegally tax or extort intermediaries, export companies or international traders.

 

We recognize that the role of public or private security forces at the mine sites and/or surrounding areas and/or along transportation routes should be solely to maintain the rule of law, including safeguarding human rights, providing security to mine workers, equipment and facilities, and protecting the mine site or transportation routes from interference with legitimate extraction and trade. We will support efforts, or take steps, to engage with local authorities, international organizations and civil society organizations to avoid or minimize the exposure of vulnerable groups, in particular, artisanal miners where minerals in the supply chain are extracted through artisanal or small-scale mining, to adverse impacts associated with the presence of security forces, public or private, on mine sites.

 

Risk management:

 

If we have reasonable grounds to believe that the upstream supplier procures or is associated with any party that provides direct or indirect support to non-State armed groups, we will immediately suspend or interrupt cooperation with that supplier.

 

When we identify the existence of such risks, we will immediately work with upstream suppliers and other stakeholders to develop, adopt and implement risk management plans in accordance with the specific location of the enterprise in the supply chain, so as to prevent or reduce the risk of providing direct or indirect support to public or private security forces.

 

In such cases, we will suspend or discontinue engagement with upstream suppliers after failed attempts at mitigation within six months from the adoption of the risk management plan.

 

3.Regarding bribery and fraudulent misrepresentation of the origin of minerals, money laundering and payment of taxes, fees and royalties to governments.

 

We will not offer, promise, give or demand any bribes, and will resist the solicitation of bribes to conceal or disguise the origin of minerals, to misrepresent taxes, fees and royalties paid to governments for the purposes of mineral extraction, trade, handling, transport and export.

 

We prohibit bribery in all business activities and transactions, including bribery by agents and other third parties, and establish standards and approval procedures for gifts and gifts.

 

We will support efforts, or take steps, to contribute to the effective elimination of money laundering where we identify a reasonable risk of money-laundering resulting from, or connected to, the extraction, trade, handling, transport or export of minerals derived from the illegal taxation or extortion of minerals at points of access to mine sites, along transportation routes or at points where minerals are traded by upstream suppliers.

 

We are committed to taking effective measures to prevent involvement in money laundering or terrorist financing.

We will ensure that all legitimate taxes, fees and royalties related to mining, trading and export of mineral resources in conflict-affected and high-risk regions are paid to the Government, and we will undertake to disclose such payments in accordance with the location of enterprises in the supply chain.

 

Risk management:

 

If we have reasonable reasons to believe that there are such risks, according to the position of enterprises in the supply chain, we commit ourselves to working with suppliers, central or local government agencies, international organizations, civil society and affected parties to develop, adopt and implement risk management plans, so as to prevent or reduce negative risks. Risk reduction measures have not worked. We will suspend or interrupt cooperation with upstream suppliers.

 

 

This policy has been in force since May 16, 2018. Revised on May 15, 2018.

 

Person in charge of Supply Chain Due Diligence of RFH RECYCLING METALS COMPANY LIMITED

 

Sun Wei

Tel: +86 (0)2586871580

Email: sunwei@richwinchina.com

 

供应链政策

认识到在受冲突影响和高风险区域从事矿产开采、交易、处理、出口存在可能形成重大负面影响的风险,并认识到我们有尊重人权、不助长冲突的义务,不对环境和社会带来负面影响义务,我们承诺采纳并广泛推广如下受冲突影响和高风险区域矿物负责任采购政策,并将其纳入与供应商签订的合同和/或协议之中。这一政策为我公司矿产资源供应链全过程及冲突敏感的采购活动以及供应商的风险意识提供了基本参考。我们承诺遵从《OECD关于受冲突影响和高风险区域矿石全球负责任供应链尽职调查》。遵守适用执行此类决议的国内法律。我们承诺公司将根据经合组织尽职调查指南,对矿产原产地和监管链进行尽职调查。我们承诺公司不会因采购锡钽钨金,使得刚果金或邻国中严重侵犯人权的武装团体直接或间接受益。

为此,我们承诺在商业活动中识别并避免以下风险:

一、严重侵犯人权的行为

我们既不容忍也不会以任何方式获利于、助长、协助或便利任何一方实施:

l  任何形式的酷刑,残忍、不人道和有辱人格的待遇;

l  任何形式的强迫或强制劳动,强迫或强制劳动是指以惩罚作为威胁榨取的任何个人的、并非该人自愿提供的劳动或服务;

l  最恶劣形式的童工;

l  其他严重侵犯和践踏人权的行为,如普遍的性暴力行为;

l  战争罪或其他严重违反国际人道主义法的行为,反人类罪或种族灭绝罪。

降低风险:

如果我们有合理理由认为上游供应商有上述严重侵犯人权行为的任何一方采购或与之存在关联,我们将立即中止或中断与该供应商的合作。

二、直接或间接支持非国家武装团体和公共或私人安全武装

我们不会容忍任何通过矿产开采、运输、交易、处理或出口为非国家组织武装团体提供直接或间接的支持。通过矿产资源开采、运输、交易、处理或出口为非国家武装团体提供 “直接或间接的支持”包括且不限于从非国家武装团体或其关联方购买矿产,向其进行付款,或以其他方式为其提供后勤支援或设备等。这些武装团体或关联方:

l  非法控制矿址,或以其他方式控制运输路线、矿产交易点以及供应链的上游行为主体;

l   在矿址入口、运输路线沿线或矿产交易点非法征税或者勒索钱财或矿产;

l  对中间商、出口企业、或国际贸易商非法征税或勒索。

我们将杜绝向非法控制矿址、运输路线以及供应链上游参与方,在矿址入口、运输路线沿线或矿产交易点非法征税或索要钱财或矿产,或者向中间商、出口企业或国际贸易商非法征税或进行勒索的公共或私人安全武装提供直接或间接支持。

我们认可,矿址及/或其周边地区以及/或运输道路沿线的公共或私人安全武装的作用仅是维护法治,包括保障人权、保护矿工、设备和设施安全、保护矿址或运输路线以使合法的开采和贸易不受影响和干扰。我们将支持或采取措施,与当地政府、国际组织和民间社会组织开展合作,供应链上的矿产资源通过小作坊或小规模采矿方式开采的, 避免或最大限度地降低公共或私人安全武装驻扎在矿址给弱势群体带来的不利影响,尤其是对小作坊矿工的负面影响。

降低风险:

如果我们有合理理由认为上游供应商从向非国家武装团体提供直接或间接支持的任何一方进行采购或与之存在关联,我们将立即中止或中断与该供应商的合作。

当我们识别此类风险的存在,我们将根据企业在供应链上所处的具体位置,立即与上游供应商及其他利益相关方一起制定、采用和实施风险管理计划,从而防范或降低向公共或私人安全武装提供直接或间接支持的风险。

在此情况下,如果风险管理计划实施六个月未奏效,我们将中止或中断与上游供应商的合作。

三、关于行贿受贿及矿产原产地的欺诈性失实、洗钱和向政府支付的各项费用

我们不会提出、承诺、进行或索要任何贿赂,并且抵制诱惑,不会为了掩盖或伪造矿产原产地,虚报矿产开采、交易、处理、运输、出口等活动应向政府缴纳的税收、费用和特许开采费而行贿。

我们禁止一切业务活动和交易中的贿赂行为,包括代理方和其他第三方的贿赂行为,为馈赠、收受礼物制定标准与审批程序。

如果我们有理由认为,存在因开采、交易、处理、运输或出口在矿址入口、运输路线沿线、或上游供应商矿产资源交易地进行非法征税或勒索而得的矿产资源所引起或与之相关的洗钱风险,我们将支持或采取措施,为有效消除洗钱行为做出贡献。

我们承诺采取有效措施,防止卷入洗钱或恐怖主义融资中。

我们将确保向政府支付所有与受冲突影响和高风险区域矿产资源开采、交易、出口相关的合法税收、费用和特许费,并且承诺根据企业在供应链上所处位置对此类支付进行披露。

降低风险:

如果我们有合理理由认为存在此类风险,根据企业在供应链上所处的位置,我们承诺与供应商、中央或地方政府机关、国际组织、民间社会以及受影响的相关方一起制定、采用和实施风险管理计划,从而防止或降低有负面影响的风险之目的,风险降低措施未起作用的,我们将暂停或中断与上游供应商的合作。

本政策自2018年5月16日起生效

                                           2018年5月15日修订

江苏镕耀新材料有限公司对于供应链尽职调查的负责人员是:

孙伟

电话:+86(0)2586871580

邮件:sunwei@richwinchina.com

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