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Due Diligence Report Of 2018

1. Company information(ALL SOURCES)

 

The company is called RFH RECYCLING METALS COMPANY LIMITED.

 

The company was established in 2016 with its office address is in located in 1507 Huijie Plaza, No.268 Zhongshan Road, Nanjing Jiangsu Province and its factory is located in No.98 Changjiang Northwest Road, Nangjing Economy & Technology Development District, Nanjing. RFH is specialized in Strategic rare metals supply chain integration management, production and processing and international trade,including the processing of physical forged to Tantalum raw materials into Tantalum chunks. Our company always adheres to the "quality first" policy and fully implement the ISO9001 quality system and also has good business trading relationships with many well-known companies in International Metal Industry to meet the requirements of the customers and ensure a 100% satisfaction

 

2. RMAP Assessment Summary (ALL SOURCES)

As a responsible company. We are dedicated to assist upstream supply chain to work together and share the responsibility and strictly abide by China's relevant laws and regulations and international rules. In 2018, we have organized the studying and training for many times to fully obey OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance). Only purchase from the low risk areas to complete the processing of finished Tantalum chunks according to the requirements. And will strictly managing and control to the whole processing and to execute according to OECD GUIDANCE 5-STEP and Responsible Minerals Assurance Process. We expect to be audited by an independent third party RMAP which is authorized by RMI in June 2019.

 

3. Company Supply Chain Policy (ALL SOURCE)

We use the policy of openness and transparency to the purchasing of raw materials and obey OECD Guidance. In order to avoid using the materials from conflict areas, we work out Supply Chain Policy and put it into use of our contracts, the policy is completely meet the requirements of OECD Guidance,which includes all the risks mentioned in Appendix II and apply to the global. We promise to conduct as soon as the risks were found. The policy are audited by senior manager and approved by the general manager,all the managing departments are supporting the policy. Also we have wide spread it to the related beneficiary such as supplier,customers,staff and so on,which is also available on the website of http://www.rfh-metals.com

 

4. Company Management System (ALL SOURCES)

4.1 Our company is committed to the policy in supply chain and formulate the following process of due diligence.

The General Manager is responsible to oversee the due diligence program and risk management design and implementation.

The company has assigned a due diligence program Senior manager Sun Wei to coordinate the work of relevant departments (including the Operation Center, Technical Center, Production Center) 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.

4.2 Internal System of Control

Our company has established its due diligence management system, by carrying out Qualified Supplier Managing Rules, Tantalum Supplying Managing Rule andIdentifying and Traceability Rules to control the choosing/permission and the flow of materials. So to get a balance evaluation and keep pace with OECD Guidance and RMAP during the whole process.

The company has communicated the newest supply chain policy and purchase requirements to the confirmed upstream suppliers. And will include all the requirements in due diligence to the legally binding agreements which has taken effect. As part of the talk in due diligence,our company inspect every single supply each year.

 

Our company has released the complaint channel publicly on the website of the Senior Manager of EICC to accept all the supervision from all sides,either from RMI is available.

 

4.3 Record Keeping System

The company requires that all records relating to the due diligence program are maintained at least for five years. Carrying out Documents and Records Control Program.

5. Risk Identification (ALL SOURCES)

5.1 By executing Tantalum Supplier Management Rules to identify the risks in supplier chain. 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.

 

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 form, 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. During this reporting period, no red flags were identified related to submitted KYS forms.

 

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.

 

All information collected was reviewed by the company against CAHRAs, sanction lists, local laws and internal sourcing requirements.

 

6. Risk Assessment and Reduction

6.1 According to the above methods to identify risk, for materials and supply chains determined to be “high -risk”, the company should stop all the cooperation with upstream supplies.

6.2 Our company shall purchase all the Tantalum raw materials which origin from RMI permitted only.

    

2018年度尽职调查报告

1.公司简介(所有来源)

江苏镕耀新材料有限公司成立于2016年,办公地址位于江苏省南京市中山路268号汇杰广场1507室,工厂地址位于南京经济技术开发区龙潭街道长江西北路98号。专业从事战略稀有金属供应链整合管理、生产加工和国际贸易。其中包含钽锭原材料经过工厂物理锻轧加工为钽块的过程。我司始终坚持“质量第一”方针,全面贯彻ISO9001质量体系,与国际金属行业知名公司进行合作,确保用户需要,使交付的产品用户100%满意。

2.RMAP评估总结(所有来源)

    作为一个负责任的公司。我们一直致力于协助上游供应链共同承担社会责任。严格遵守我国相关的法律法规和国际规则。2018年度,经过多次的学习与培训, 我们公司遵从《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指南》,只采购来自低风险地区国家的钽锭到加工成客户要求的成品钽块。整个过程中进行严格管控,坚决按《经合组织五步框架》和《负责任矿物审验流程》的要求来执行。预计在2019年6月接受RMI委托的独立第三方RMAP审核。

3.公司供应链政策(所有来源)  

我司原材料采购实施公开、透明的采购政策。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指南》,为避免使用直接或间接为武装团体提供资金或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,制定了《供应链政策》,并把供应链政策纳入采购合同。此政策完全符合《受冲突影响和高风险区域矿石全球负责任供应链示范政策》(经合组织指南附录二)的要求,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。本政策经高级经理审查,总经理批准,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,可用于公司网站http://www.rfh-metals.com

4.公司管理体系(所有来源)

4.1 我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:

l  总经理负责监督尽职调查计划和风险管理的设计和实施。

l  已任命孙伟为高级经理,负责尽职调查计划,协调相关部门(包括运营中心、技术中心和生产中心)的工作,确保各部门恪尽职守,执行尽职调查计划并报告所发现的任何示警信号和潜在风险。

l  公司按照尽职调查计划的要求对所有有关部门的主要人员开展一次尽职调查管理体系培训。如计划有更新,公司会根据需要开展额外培训。

4.2内部控制系统

l  公司已设立尽职调查管理系统,通过执行《合格供方(采购)管理规定》、《钽供应商管理规定》、《标识和可追溯性管理办法》等控制供应商的选择、批准和物料的流转过程控制,在整个过程中实施质量平衡评估,使其与经合组织指南及RMAP保持一致。

l  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。公司已将尽职调查要求纳入与直接供应商达成的具体法律约束力的协议中。公司每年考察100%的直接供应商一次,占全年销量的100%,并将尽职调查要求作为谈话的一部分。

l  我公司在网站公开了EICC高级经理的联系方式作为投诉通道,接受社会各界的监督。也可以通过RMI的申诉机制。

4.3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。执行《文件和记录控制程序》。

5.风险识别

5.1公司执行《钽供应商管理规定》来识别供应链中的风险。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检讨决定的频率。公司使用一下资源来确定CAHRA:

l  海德堡冲突晴雨表提供了冲突地图,是武装冲突存在地区的年度快照。

l  INFORM风险管理指数提供了与人道主义危机相关的国家层面风险状况。

参考其供应链政策和外部资源,公司已制定确定CAHRA的标准和基准指标。

5.2 公司设计了一套了解供应商流程,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。我们的所有供应商已完成并交回KYS表格。公司的尽职调查高级经理与采购团队一起审查了获提供的信息和联合国制裁名单。只要在KYS表格中发现不一致、错误或不完整信息,公司将与供应商进一步合作,在需要时明确和改进文件。在本报告期间,没有发现与所提交的KYS表格相关的示警信号。

5.3 对每一笔交易,公司要求供应商提供每批货的生产日期分析证书和整套追溯单据。

5.4 公司对照CAHRA、制裁清单、当地法律和内部采购要求审查所有收集的所有信息。

6.风险评估及风险降低

6.1根据以上风险识别方法,对于确定为“高风险”的原料和供应链,公司立即中止或中断与上游供应商的合作。

6.2我们公司只采购来源于RMI认可的供应商的钽原料。    

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