廣西華錫集團股份有限公司負責任礦物供應鏈政策

? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ?China Tin Group Co., Ltd.

Responsible Minerals Supply Chain Policy

廣西華錫集團股份有限公司（以下簡稱公司）是一家集采、選、冶、深加工業(yè)務為一體的大型聯(lián)合企業(yè)。公司原料主要來源于自有礦山和國內(nèi)采購，以及部分境外進口。公司擁有一家錫冶煉廠，為來賓華錫冶煉有限公司（CID001070，地址：中國廣西壯族自治區(qū)來賓市新賓區(qū)大橋路河南工業(yè)園）。

China Tin Group Co., Ltd.?(hereinafter referred to as the Company) is a large-scale joint venture integrating mining, processing, metallurgy and deep-processing business. The Company's raw materials are mainly sourced from its own mines and domestic purchases, as well as some overseas imports. The Company owns a tin smelter, which is Laibin Huaxi Smelting Co., Ltd (CID001070, Address: Henan Industrial Park, Daqiao Road, Xinbin District, Laibin City, Guangxi Zhuang Autonomous Region, China).

作為一家負責任的企業(yè)，我們充分了解到在受沖突影響和高風險區(qū)域進行生產(chǎn)經(jīng)營活動可能造成的負面影響，同時認識到我們有尊重人權(quán)、不助長沖突及風險的義務。因此，我們一直嚴格遵守法律法規(guī)、尊重人權(quán)，履行社會責任，實施負責任采購，力圖促進錫產(chǎn)業(yè)可持續(xù)發(fā)展。我們承諾采納并廣泛傳播《中國礦產(chǎn)供應鏈盡責管理指南》（第二版）、《經(jīng)濟合作與發(fā)展組織關(guān)于來自受沖突影響和高風險區(qū)域的礦石的負責任供應鏈盡職調(diào)查指南》（第三版）及關(guān)于錫、鉭、鎢的增補內(nèi)容、《負責任礦物錫和鉭的審驗標準》相關(guān)內(nèi)容，并將其納入到與供應商簽訂的合同和協(xié)議之中，并在采購過程中支持采掘業(yè)透明度倡議（EITI）。這一政策為礦產(chǎn)供應鏈全過程涉及沖突敏感的采購活動以及供應商提高風險意識提供參考。我們承諾不從事任何會為沖突提供資助的活動，承諾遵守聯(lián)合國等相關(guān)制裁決議，或者在適用情況下，遵守執(zhí)行此類決議的國內(nèi)法律。

As a responsible enterprise, we are fully aware of the potential negative impacts of conducting production and operation activities in conflict-affected and high-risk areas, and at the same time recognize our obligation to respect human rights and not to contribute to conflict and risk. Therefore, we have been strictly complying with laws and regulations, respecting human rights, fulfilling our social responsibilities, implementing responsible purchasing, and trying to promote the sustainable development of the tin industry. We are committed to adopting and widely disseminating the relevant contents of the?CHINESE DUE DILIGENCE GUIDELINES FOR MINERAL SUPPLY CHAIN?(second edition), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas?(third edition) and?Supplement on Tin, Tantalum and Tungsten, and the RESPONSIBLE MINERALS ASSURANCE PROCESS?TIN AND TANTALUM STANDARD,?as well as incorporating them into the contracts and agreements signed with our suppliers, and support the Extractive Industries Transparency Initiative (EITI) in the procurement process. This policy informs conflict-sensitive sourcing activities throughout the mineral supply chain and supplier risk awareness. We are committed to not engaging in any conflict financing activities and to complying with relevant sanctions resolutions, such as those of the United Nations or, where applicable, domestic laws implementing such resolutions.

我們承諾在供應鏈運營實踐中識別和管理以下風險：

We are committed to identifying and managing the following risks in our supply chain operations practices:

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一、與礦產(chǎn)開采、運輸或貿(mào)易有關(guān)的嚴重侵權(quán)行為

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在“受沖突影響和高風險區(qū)域”開展采購或經(jīng)營活動時，我們既不會容忍也不會以任何方式獲利于、幫助或便利任何一方實施以下行為：

1、任何形式的酷刑，殘忍、不人道和有辱人格的待遇。

2、任何形式的強迫或強制勞動（強迫或強制勞動是指以懲罰作為威脅榨取的任何個人的、并非該人自愿提供的勞動或服務）。

3、最惡劣形式的童工。

4、其他嚴重侵犯和踐踏人權(quán)的行為，如普遍的性暴力行為。

5、 戰(zhàn)爭罪或其他嚴重違反國際人道主義法的行為，反人類罪或種族滅絕罪。

風險緩解策略：

如果我們有合理理由認為該風險存在，即上游供應商正從實施上述嚴重侵權(quán)行為的任何一方進行采購或與該方有關(guān)聯(lián)，我們將立即中止或終止與該供應商的合作。

I. 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:

a. any forms?of?torture,?cruel,?inhuman?and?degrading?treatment;

b.?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;

?c. the worst?forms?of?child?labour;

?d.?other?gross?human?rights?violations?and?abuses?such?as?widespread?sexual?violence;

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

Risk mitigation measures:?

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.

二、關(guān)于直接或間接支持非國家武裝團體

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我們不會容忍任何通過礦產(chǎn)開采、運輸、貿(mào)易、處理或出口為非國家武裝團體提供直接或間接的支持。通過礦產(chǎn)開采、運輸、貿(mào)易、處理或出口為非國家武裝團體提供“直接或間接的支持”包括且不限于從非國家武裝團體或其關(guān)聯(lián)方購買礦產(chǎn)，向其進行付款，或以其他方式為其提供后勤支援或設備等。

這些武裝團體或關(guān)聯(lián)方可能存在如下侵權(quán)行為：

1、非法控制礦址，或以其他方式控制運輸路線、礦產(chǎn)交易點以及供應鏈上游行為主體；并/或

2、在礦址入口、運輸路線沿線或礦產(chǎn)交易點非法征稅或者勒索錢財或礦產(chǎn)；并/或

3、對中間商、出口企業(yè)、或國際貿(mào)易者非法征稅或勒索。

風險緩解策略：

如果我們有理由認為，上游供應商從向非國家武裝團體提供直接或間接支持的任何一方進行采購或與之存在關(guān)系，我們將立即中止或終止與該供應商的合作。

II. Regarding direct or indirect support to non-state armedgroups :

We will not tolerate any direct or indirect support to non-state armed groupsthrough the extraction, transport, trade, handling or export of minerals. "Director 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 orequipment to, non-state armed groups or their affiliates who:

a.?illegally control mine sites or otherwise control transportation?routes,points where minerals are traded and upstream actors in the supplychain;

b.?illegally tax or extort money or minerals at points of access to mine sites,along transportation routes or at points where minerals are traded;

a.?illegally tax or extort intermediaries, export companies or internal traders.

Risk mitigation measures:

We will immediately suspend or discontinue engagement with upstream supplierswhere we identify a reasonable risk that they are sourcing from, or linked to, anyparty providing direct or indirect support to non-state armed groups.

三、關(guān)于公共或私人安全武裝

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我們杜絕向非法控制礦址、運輸路線以及供應鏈上游行為主體，在礦址入口、運輸路線沿線或礦產(chǎn)交易點非法征稅或索要錢財或礦產(chǎn)，或者向中間商、出口企業(yè)或國際貿(mào)易商非法征稅或進行勒索的公共或私人安全武裝提供直接或間接支持。

我們認可，礦址及/或其周邊地區(qū)以及/或運輸?shù)缆费鼐€的公共或私人安全武裝的作用僅是維護法治，包括保障人權(quán)、保護礦工、設備和設施安全、保護礦址或運輸路線以使合法的開采和貿(mào)易不受干擾。

在我們或我們供應鏈上的任何企業(yè)與公共或私人安全武裝簽訂合約的情況下，我們承諾或?qū)⒁?guī)定，這類安全武裝需被公認的處理公共或私人安全武裝的國際標準和指導性文件所認可。尤其是，我們將會支持或采取措施運用篩查政策，確保已知的實施過嚴重侵犯人權(quán)行為的個人或安全武裝單位不被錄用。

我們將支持或采取措施與中央或地方政府、國際組織和民間社會組織開展合作，共同為如何提高公共安全武裝安保費用的透明度、相稱性和問責性找到可行的解決方案。

我們將支持或采取措施與當?shù)卣?、國際組織和民間社會組織開展互動，避免或最大限度地降低公共或私人安全武裝駐扎在礦址給弱勢群體帶來的負面影響，尤其是對手工采礦礦工的負面影響。

風險緩解策略：

如果我們發(fā)現(xiàn)在一定程度上存在此類風險，將根據(jù)企業(yè)在供應鏈上所處的具體位置，立即制定、采用和實施上游供應商及其他利益相關(guān)方風險管理計劃，從而使為公共或私人安全武裝提供直接或間接支持的風險得到遏制或降低。如果風險管理計劃實施六個月未起作用，我們將暫時中止或終止與上游供應商的合作。

III. Regarding public or private security forces?:

We disagree to provide direct or indirect support to public or private?securityforces who illegally control mine sites, transportation routes and upstream actorsin the supply chain; illegally tax or extort money or?minerals at point of access tomine sites, along transportation routes or at points where minerals are traded; orillegally tax or extort?intermediaries, export companies or international traders.

We recognise that the role of public or private security forces at the mine sitesand/or surrounding areas and/or along transportation routes should be solelyto maintain the rule of law, including safeguarding human rights, providingsecurity to mine workers, equipment and facilities, and protecting the mine site ortransportation routes from interference with legitimate extraction and trade.

Where we or any company in our supply chain contract public or private securityforces, we commit to or we will require that such security forces will be engaged inaccordance with the international widely recognized standards30. In particular, wewill support or take steps, to adopt screening policies to ensure that individuals orunits of security forces that are known to have been responsible for gross humanrights abuses will not be hired.

We will support efforts, or take steps, to engage with central or local authorities,international organisations and civil society organisations to contribute toworkable solutions on how transparency, proportionality and accountability inpayments made to public security forces for the provision of security could beimproved.

We will support efforts, or take steps, to engage with local authorities, internationalorganisations and civil society organisations to avoid or minimise the exposureof vulnerable groups, in particular, artisanal miners where minerals in the supplychain are extracted through artisanal or small-scale mining, to adverse impactsassociated with the presence of security forces, public or private, on mine sites.

Risk mitigation measures:

In accordance with the specific position of the company in the supply chain, wewill immediately devise, adopt and implement a risk management plan withupstream suppliers and other stakeholders to prevent or mitigate the risk of direct?or indirect support to public or private security forces, where we identify that sucha reasonable risk exists. In such cases, we will suspend or discontinue engagementwith upstream suppliers after failed attempts at mitigation within six months fromthe adoption of the risk management plan.

四、關(guān)于行賄受賄及礦產(chǎn)原產(chǎn)地的欺詐性失實陳述

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我們不會提出、承諾、進行或索要任何賄賂，并且抵制誘惑，不會為了掩蓋或偽造礦產(chǎn)原產(chǎn)地，虛報礦產(chǎn)開采、貿(mào)易、處理、運輸、出口等活動應向政府繳納的稅收、費用和特許開采費而行賄。

關(guān)于洗錢

如果我們有理由認為，存在因開采、貿(mào)易、處理、運輸或出口在礦址入口、運輸路線沿線、或上游供應商礦產(chǎn)交易地進行非法征稅或勒索而得的礦產(chǎn)所引起或與之相關(guān)的洗錢風險，我們將支持或采取措施，為有效消除洗錢行為做出貢獻。

關(guān)于向政府支付的稅收、費用及特許費

我們將確保向政府支付所有與受沖突影響和高風險區(qū)域礦石開采、貿(mào)易、出口相關(guān)的合法稅收、費用和特許費，并且承諾根據(jù)企業(yè)在供應鏈上所處位置依照所在國關(guān)于向政府部門繳納的稅費信息公開的要求對此類支付進行披露。

風險緩解策略：

根據(jù)企業(yè)在供應鏈上所處的具體位置，我們承諾與供應商、中央或地方政府機關(guān)、國際組織、民間社會以及受影響的第三方酌情進行合作，本著在合理的時間跨度內(nèi)采取顯著措施防范或降低有負面影響的風險的目的，對績效進行改善或跟蹤。風險降低措施未起作用的，我們將暫時中止或終止與上游供應商的合作。對采用風險管理計劃后需要降低的風險，企業(yè)應額外進行風險評估。若風險管理計劃六個月內(nèi)未取得明顯效果，行賄、受賄及對礦產(chǎn)產(chǎn)地進行欺詐性失實陳述、洗錢、以及向政府繳納稅款、費用、特許費等行為的風險未能得到遏制或降低的話，企業(yè)應暫時停止或中斷與供應商的合作，時間至少是三個月，并在暫時中止合作的同時對風險管理計劃進行修訂，闡明貿(mào)易關(guān)系恢復之前改進工作所應達到的績效目標。

IV. Regarding bribery and fraudulent misrepresentation of theorigin of minerals?:

We will not offer, promise, give or demand any bribes, and will resist thesolicitation of bribes to conceal or disguise the origin of minerals, to misrepresenttaxes, fees and royalties paid to governments for the purposes of mineralextraction, trade, handling, transport and export.33

Regarding money laundering:

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

Regarding the payment of taxes, fees and royalties due to governments:

We will ensure that all taxes, fees, and royalties related to mineral extraction, tradeand export from conflict-affected and high-risk areas are paid to governmentsand, in accordance with the company's position in the supply chain, we commit to?disclose such payments in accordance with the requirements of host country onthe disclosure of tax information paid to government departments.

Risk mitigation measures:

In accordance with the specific position of the company in the supply chain,we commit to engage with suppliers, central or local governmental authorities,international organisations, civil society and affected third parties, as appropriate,to improve and track performance with a view to preventing or mitigating risksof adverse impacts through measureable steps taken in reasonable timescales.We will suspend or discontinue engagement with upstream suppliers after failedattempts at mitigation. Companies should conduct an additional risk assessmenton those risks requiring mitigation after the adoption of the risk managementplan. If within six months from the adoption of the risk management plan there isno significant measurable improvement to prevent or mitigate the risks of briberyand fraudulent misrepresentation of the origin of minerals, money-laundering andpayment of taxes, fees and royalties to governments, companies should suspendor discontinue engagement with the supplier for a minimum of three months.Suspension may be accompanied by a revised risk management plan, stating theperformance objectives for progressive improvement that should be met beforeresuming the trade relationship.

廣西華錫集團股份有限公司

聯(lián)系郵箱：[email protected]

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