江西稀有稀土金属钨业集团进出口有限公司

Jiangxi Rare Earth & Rare Metals Tungsten Group Import & Export Co., Ltd.

遵守负责任矿产供应链管理的政策声明书

Policy Statement on Adhering to Responsible Mineral Supply Chain Management

我公司是江西钨业控股集团有限公司的下属公司，公司致力于打造活跃于国内外各类有色金属市场，以促进全球资源流动为己任的国际一流贸易团队, 秉承“回归经营本质、坚守价值创造、奉行稳健经营、追求人正品真”的核心价值观经营贸易业务。公司已通过ISO9001质量管理体系认证，并建立了完善的风险管理体系，愿意和上游原料供应商和下游客户一起，共同建设负责任的矿产供应链。

Our company is a subsidiary of Jiangxi Tungsten Holding Group Company Limited and is committed to building an international first-class trade team active in various non-ferrous metal markets both domestically and internationally, with the responsibility of promoting global resource flow. We do business with the core values of "returning to the essence of business, adhering to value creation, adhering to stable management, and pursuing upright and genuine spirits”. Our company has obtained ISO9001 quality management system certification and established a comprehensive risk management system. We are willing to work with upstream raw material suppliers and downstream customers to jointly build responsible mineral supply chains.

本公司对锡（Tin）、钽（Tantalum）、钨（Tungsten）、金（Gold）四类矿产落实负责任矿产供应链管理，并根据业务需要，扩展至其他对于负责任矿产供应链有要求的产品品种。

Our company implements responsible mineral supply chain management for four types of minerals: tin, tantalum, tungsten, and gold, and expands it to other product varieties with requirements for responsible mineral supply chain according to business needs.

我公司遵循中国五矿化工进出口商会发布的《中国矿产供应链尽责管理指南》（第二版）和OECD（经合组织）发布的《经合组织对受冲突影响和高风险地区矿产负责任的供应链的尽职调查指南》（第三版）的要求，对于来自“受冲突影响和高风险区域”的矿产搜集和/或提供高风险供应链要求的单据，对于来自其他区域的矿产搜集和/或提供低风险供应链要求的单据。“受冲突影响和高风险区域”的定义遵从加工该矿产的下游冶炼厂的定义，如果该定义无法获得，则遵从最低限度的“受冲突影响和高风险区域”的定义（该定义包含多德-弗兰克法案中列明的冲突地区-刚果民主共和国及其九个相邻国家，即安哥拉、布隆迪、中非共和国、刚果共和国、卢旺达、南苏丹、坦桑尼亚、乌干达和赞比亚，以及欧盟受冲突影响和高风险地区清单中的地区，详见https://www.cahraslist.net/cahras）。

Our company complies with the requirements of the Chinese Due Diligence Guidelines for Mineral Supply Chain (Second Edition) issued by the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition) issued by the OECD. We collect and/or provide documents for minerals from “conflict-affected and high-risk areas” according to high-risk supply chain documentation requirements , or collect and/or provide documents for minerals from other areas according to low-risk supply chain documentation requirements. The definition of “conflict-affected and high-risk areas” follows the definition of downstream smelters processing the mineral. If this definition is unavailable, the minimum definition of “conflict-affected and high-risk areas” is followed (this definition includes the conflict areas listed in the Dodd Frank Act - the Democratic Republic of the Congo and its nine neighboring countries, namely Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia, as well as the areas in the EU list of conflict affected and high-risk areas at https://www.cahraslist.net/cahras).

我们认识到在受冲突影响和高风险区域从事矿产开采、贸易、处理和出口可能存在形成重大负面影响的风险，并且认识到我们有尊重人权、不助长冲突的责任，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石负责任采购政策，并将其纳入与供应商签订的合同和/或协议之中。这一政策为从开采到终端用户整个过程中的对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。我们承诺不从事任何会为冲突提供资助的活动，承诺遵守联合国相关制裁决议，或者在适用情况下，遵守执行此类决议的国内法律。

We recognize 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 recognize 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.

与矿产开采、运输或贸易有关的严重侵权行为：

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

1.在受冲突影响和高风险区域开展采购或经营活动时，我们既不会容忍也不会以任何方式帮助、协助任何一方实施以下活动或为其提供便利，也不从中获利：

1. 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:

i) 任何形式的酷刑，残忍、不人道和有辱人格的待遇；

i) any forms of torture, cruel, inhuman and degrading treatment;

ii) 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；

ii) 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;

iii) 最恶劣形式的童工；

iii) the worst forms of child labour;

iv) 其他严重侵犯和践踏人权的行为，如普遍的性暴力行为；

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

v) 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。

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

 

对严重侵权行为的风险管理

Regarding risk management of serious abuses:

2.如果我们有合理理由认为该风险存在，即上游供应商正在从实施第1 条所规定的严重侵权行为的任何一方进行采购或与该方有关联，我们将立即暂停或终止与该供应商的合作。

2. 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 in item 1.

关于直接或间接支持非国家武装团体：

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

3. 我们不会容忍任何通过矿产开采、运输、贸易、处理或出口直接或间接支持非国家武装团体。通过矿产开采、运输、贸易、处理或出口“直接或间接支持”非国家武装团体包括但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：

3. 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:

i) 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上游行为主体；并/或

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

ii) 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；并/或

ii) 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

iii) 对中间商、出口企业、或国际贸易者非法征税或勒索。

iii) illegally tax or extort intermediaries, export companies or international traders.

对向非国家武装团体提供直接或间接支持的风险管理：

Regarding risk management of direct or indirect support to non-state armed groups:

4. 如果我们有理由认为，上游供应商向非国家武装团体（见第3条中的定义）提供直接或间接支持的任何一方进行采购或与之存在关系，我们将立即暂停或终止与该供应商的合作。

4. 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 providing direct or indirect support to non-state armed groups as defined in item 3.

关于公共或私人安全武装：

Regarding public or private security forces:

5. 我们同意根据第10条之规定，杜绝向对于矿址、运输路线以及供应链上游行为主体进行非法控制，在矿址入口、运输路线沿线或矿产交易点非法征税或勒索钱财或矿产，或者向中间商、出口企业或国际贸易者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。

5. We agree to eliminate, in accordance with item 10, 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.

6. 我们认可，矿址及/或其周边地区及/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干扰。

6. We recognise 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.

7. 在我们或我们供应链上的任何企业与公共或私人安全武装签订了合约的情况下，我们承诺或者将规定，在与这类安全武装进行合作的过程中将遵守《安全与人权自愿原则》的规定。尤其是，我们将会支持或采取措施运用筛查政策，确保已知的实施过严重侵犯人权行为的个人或安全武装单位不被雇用。

7. Where we or any company in our supply chain contract public or private security forces, we commit to or we will require that such security forces will be engaged in accordance with the Voluntary Principles on Security and Human Rights. In particular, we will support or take steps, to adopt screening policies to ensure that individuals or units of security forces that are known to have been responsible for gross human rights abuses will not be hired.

8. 我们将支持或采取措施与中央或地方政府、国际组织和民间社会组织开展合作，共同为如何提高公共安全武装安保费用的透明度、相称性和可说明性找到可行的解决方案。

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

9. 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合作，避免或最大限度地降低驻扎在矿址的公共或私人安全武装给弱势群体，尤其是小作坊及小规模采矿带来的负面影响。

9. We will support efforts, or take steps, to engage with local authorities,international organisations and civil society organisations to avoid or minimise 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.

对公共或私人安全武装的风险管理：

Regarding risk management of public or private security forces:

10.如果有理由认为存在向公共或私人安全武装提供直接或间接支持的风险，我们将根据企业在供应链上所处的具体位置，立即制定、采用并实施上游供应商及其他利益相关方风险管理计划，从而预防或降低该风险。如果风险管理计划实施六个月未起作用，我们将暂停或终止与上游供应商的合作。在我们有理由认为有可能存在违反第8 条和第9 条内容的行为的情况下，我们将采取同样的应对措施。

10. In accordance with the specific position of the company in the supply chain, we will immediately devise, adopt and implement a risk management plan with upstream 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 such a reasonable risk exists. 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. Where we identify a reasonable risk of activities inconsistent with item 8 and 9, we will respond in the same vein.

关于贿赂及矿产原产地的欺诈性失实陈述：

Regarding bribery and fraudulent misrepresentation of the origin of minerals:

11. 我们不会提出、承诺、给与或索要任何贿赂，并且会抵制为了掩盖或伪造矿产原产地，或者为了虚报因矿产开采、贸易、处理、运输和出口而应向政府缴纳的税收、费用和特许费而进行贿赂的诱惑。

11. 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.

Regarding money laundering:

关于洗钱

12. 如果我们有理由认为，存在因矿物开采、贸易、处理、运输或出口，在矿址入口、运输路线沿线、或上游供应商矿产交易地进行非法征税或勒索引起的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。

12. 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.

关于向政府支付的税收、费用及特许费：

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

13. 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石开采、贸易、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的位置，依照《采掘业透明度倡议》（EITI）中的各项原则对此类支付进行披露。

13. We will ensure that all taxes, fees, and royalties related to mineral extraction, trade and export from conflict-affected and high-risk areas are paid to governments and, in accordance with the company’s position in the supply chain, we commit to disclose such payments in accordance with the principles set forth under the Extractive Industry Transparency Initiative (EITI).

对贿赂及矿产原产地的欺诈性失实陈述、洗钱及向政府支付的税收、费用、特许费的风险管理：

Regarding risk management of bribery and fraudulent misrepresentation of the origin of minerals, money-laundering and payment of taxes, fees and royalties to governments:

14. 我们承诺根据公司在供应链上所处的具体位置，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第三方酌情进行合作，本着在合理的时间跨度内采取显著措施防范或降低负面影响的风险的目的来改善及跟踪成效。风险降低措施未起作用的，我们将暂停或终止与上游供应商的合作。

14. 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 risks of adverse impacts through measureable steps taken in reasonable timescales. We will suspend or discontinue engagement with upstream suppliers after failed attempts at mitigation.

 

江西稀有稀土金属钨业集团进出口有限公司

Jiangxi Rare Earth & Rare Metals Tungsten Group Import & Export Co., Ltd.

                                             日期： 2024年6月5日

                               Date:  June 5，2024