廣西華錫集團(tuán)股份有限公司負(fù)責(zé)任礦物供應(yīng)鏈政策

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

Responsible Minerals Supply Chain Policy

廣西華錫集團(tuán)股份有限公司（以下簡(jiǎn)稱公司）是一家集采、選、冶、深加工業(yè)務(wù)為一體的大型聯(lián)合企業(yè)。公司原料主要來(lái)源于自有礦山和國(guó)內(nèi)采購(gòu)，以及部分境外進(jìn)口。公司擁有一家錫冶煉廠，為來(lái)賓華錫冶煉有限公司（CID001070，地址：中國(guó)廣西壯族自治區(qū)來(lái)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(fù)責(zé)任的企業(yè)，我們充分了解到在受沖突影響和高風(fēng)險(xiǎn)區(qū)域進(jìn)行生產(chǎn)經(jīng)營(yíng)活動(dòng)可能造成的負(fù)面影響，同時(shí)認(rèn)識(shí)到我們有尊重人權(quán)、不助長(zhǎng)沖突及風(fēng)險(xiǎn)的義務(wù)。因此，我們一直嚴(yán)格遵守法律法規(guī)、尊重人權(quán)，履行社會(huì)責(zé)任，實(shí)施負(fù)責(zé)任采購(gòu)，力圖促進(jìn)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(guó)礦產(chǎn)供應(yīng)鏈盡責(zé)管理指南》（第二版）、《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來(lái)自受沖突影響和高風(fēng)險(xiǎn)區(qū)域的礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版）及關(guān)于錫、鉭、鎢的增補(bǔ)內(nèi)容、《負(fù)責(zé)任礦物錫和鉭的審驗(yàn)標(biāo)準(zhǔn)》相關(guān)內(nèi)容，并將其納入到與供應(yīng)商簽訂的合同和協(xié)議之中，并在采購(gòu)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(yīng)鏈全過程涉及沖突敏感的采購(gòu)活動(dòng)以及供應(yīng)商提高風(fēng)險(xiǎn)意識(shí)提供參考。我們承諾不從事任何會(huì)為沖突提供資助的活動(dòng)，承諾遵守聯(lián)合國(guó)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(guó)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(yīng)鏈運(yùn)營(yíng)實(shí)踐中識(shí)別和管理以下風(fēng)險(xiǎn)：

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(yùn)輸或貿(mào)易有關(guān)的嚴(yán)重侵權(quán)行為

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在“受沖突影響和高風(fēng)險(xiǎn)區(qū)域”開展采購(gòu)或經(jīng)營(yíng)活動(dòng)時(shí)，我們既不會(huì)容忍也不會(huì)以任何方式獲利于、幫助或便利任何一方實(shí)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(qiáng)迫或強(qiáng)制勞動(dòng)（強(qiáng)迫或強(qiáng)制勞動(dòng)是指以懲罰作為威脅榨取的任何個(gè)人的、并非該人自愿提供的勞動(dòng)或服務(wù)）。

3、最惡劣形式的童工。

4、其他嚴(yán)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(zhēng)罪或其他嚴(yán)重違反國(guó)際人道主義法的行為，反人類罪或種族滅絕罪。

風(fēng)險(xiǎn)緩解策略：

如果我們有合理理由認(rèn)為該風(fēng)險(xiǎn)存在，即上游供應(yīng)商正從實(shí)施上述嚴(yán)重侵權(quán)行為的任何一方進(jìn)行采購(gòu)或與該方有關(guān)聯(lián)，我們將立即中止或終止與該供應(yīng)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(guó)家武裝團(tuán)體

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

這些武裝團(tuán)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(yùn)輸路線、礦產(chǎn)交易點(diǎn)以及供應(yīng)鏈上游行為主體；并/或

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

3、對(duì)中間商、出口企業(yè)、或國(guó)際貿(mào)易者非法征稅或勒索。

風(fēng)險(xiǎn)緩解策略：

如果我們有理由認(rèn)為，上游供應(yīng)商從向非國(guó)家武裝團(tuán)體提供直接或間接支持的任何一方進(jìn)行采購(gòu)或與之存在關(guān)系，我們將立即中止或終止與該供應(yīng)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(yùn)輸路線以及供應(yīng)鏈上游行為主體，在礦址入口、運(yùn)輸路線沿線或礦產(chǎn)交易點(diǎn)非法征稅或索要錢財(cái)或礦產(chǎn)，或者向中間商、出口企業(yè)或國(guó)際貿(mào)易商非法征稅或進(jìn)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(rèn)可，礦址及/或其周邊地區(qū)以及/或運(yùn)輸?shù)缆费鼐€的公共或私人安全武裝的作用僅是維護(hù)法治，包括保障人權(quán)、保護(hù)礦工、設(shè)備和設(shè)施安全、保護(hù)礦址或運(yùn)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(yīng)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(rèn)的處理公共或私人安全武裝的國(guó)際標(biāo)準(zhǔn)和指導(dǎo)性文件所認(rèn)可。尤其是，我們將會(huì)支持或采取措施運(yùn)用篩查政策，確保已知的實(shí)施過嚴(yán)重侵犯人權(quán)行為的個(gè)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(guó)際組織和民間社會(huì)組織開展合作，共同為如何提高公共安全武裝安保費(fèi)用的透明度、相稱性和問責(zé)性找到可行的解決方案。

我們將支持或采取措施與當(dāng)?shù)卣?、?guó)際組織和民間社會(huì)組織開展互動(dòng)，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(shì)群體帶來(lái)的負(fù)面影響，尤其是對(duì)手工采礦礦工的負(fù)面影響。

風(fēng)險(xiǎn)緩解策略：

如果我們發(fā)現(xiàn)在一定程度上存在此類風(fēng)險(xiǎn)，將根據(jù)企業(yè)在供應(yīng)鏈上所處的具體位置，立即制定、采用和實(shí)施上游供應(yīng)商及其他利益相關(guān)方風(fēng)險(xiǎn)管理計(jì)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(fēng)險(xiǎn)得到遏制或降低。如果風(fēng)險(xiǎn)管理計(jì)劃實(shí)施六個(gè)月未起作用，我們將暫時(shí)中止或終止與上游供應(yīng)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(shí)陳述

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我們不會(huì)提出、承諾、進(jìn)行或索要任何賄賂，并且抵制誘惑，不會(huì)為了掩蓋或偽造礦產(chǎn)原產(chǎn)地，虛報(bào)礦產(chǎn)開采、貿(mào)易、處理、運(yùn)輸、出口等活動(dòng)應(yīng)向政府繳納的稅收、費(fèi)用和特許開采費(fèi)而行賄。

關(guān)于洗錢

如果我們有理由認(rèn)為，存在因開采、貿(mào)易、處理、運(yùn)輸或出口在礦址入口、運(yùn)輸路線沿線、或上游供應(yīng)商礦產(chǎn)交易地進(jìn)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(fēng)險(xiǎn)，我們將支持或采取措施，為有效消除洗錢行為做出貢獻(xiàn)。

關(guān)于向政府支付的稅收、費(fèi)用及特許費(fèi)

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

風(fēng)險(xiǎn)緩解策略：

根據(jù)企業(yè)在供應(yīng)鏈上所處的具體位置，我們承諾與供應(yīng)商、中央或地方政府機(jī)關(guān)、國(guó)際組織、民間社會(huì)以及受影響的第三方酌情進(jìn)行合作，本著在合理的時(shí)間跨度內(nèi)采取顯著措施防范或降低有負(fù)面影響的風(fēng)險(xiǎn)的目的，對(duì)績(jī)效進(jìn)行改善或跟蹤。風(fēng)險(xiǎn)降低措施未起作用的，我們將暫時(shí)中止或終止與上游供應(yīng)商的合作。對(duì)采用風(fēng)險(xiǎn)管理計(jì)劃后需要降低的風(fēng)險(xiǎn)，企業(yè)應(yīng)額外進(jìn)行風(fēng)險(xiǎn)評(píng)估。若風(fēng)險(xiǎn)管理計(jì)劃六個(gè)月內(nèi)未取得明顯效果，行賄、受賄及對(duì)礦產(chǎn)產(chǎn)地進(jìn)行欺詐性失實(shí)陳述、洗錢、以及向政府繳納稅款、費(fèi)用、特許費(fèi)等行為的風(fēng)險(xiǎn)未能得到遏制或降低的話，企業(yè)應(yīng)暫時(shí)停止或中斷與供應(yīng)商的合作，時(shí)間至少是三個(gè)月，并在暫時(shí)中止合作的同時(shí)對(duì)風(fēng)險(xiǎn)管理計(jì)劃進(jìn)行修訂，闡明貿(mào)易關(guān)系恢復(fù)之前改進(jìn)工作所應(yīng)達(dá)到的績(jī)效目標(biāo)。

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(tuán)股份有限公司

聯(lián)系郵箱：hxys-yx@China-tin.com

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