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廣東廣晟稀有金屬光電新材料有限公司管理制度

受沖突影響和高風險區域礦石全球負責任供應鏈政策

受沖突影響和高風險區域：受沖突影響和高風險區域是經識別存在武裝沖突、大面積暴力活動或其他存在使人民遭受傷害的風險地區。武裝沖突地形式多種多樣，如國際沖突或非國際沖突，可能涉及兩個或兩個以上國家，可能由解放戰爭，叛亂、內站等構成。高風險區域可能包括那些政局不穩，或存在政治壓迫、制度缺陷、不安全因素、民用基礎設施崩潰、廣泛暴力活動的地區。這類地區的特點往往是大規模侵犯人權、違反國際或國內法律等。

認識到在受沖突影響和高風險區域從事礦產開采、貿易、處理、出口存在可能形成重大負面影響的風險，并認識到我們有尊重人權、不助長沖突的義務，我們承諾采納并廣泛推廣如下受沖突影響和高風險區域礦石負責任采購政策，并將其納入與供應商簽訂的合同和/協議之中。我們承諾不從事任何為沖突提供資助的活動，承諾遵守聯合國相關制裁決議，或者在適用情況下，遵守執行此類決議的國內法律。

為此，我們承諾，在采購含鉭原料的過程中，堅決識別并避免以下風險。

與礦產開采、運輸、或貿易有關的嚴重侵權行為：

1、在受沖突影響和高風險區域開展采購或經營活動時，我們既不會容忍也不會以任何方式獲利于、幫助、協助或便利于任何一方實施：

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）其他嚴重侵權和踐踏人權的行為，如普遍的性暴力行為；

5）戰爭罪或其他嚴重違反國際人道主義法的行業，反人類罪或種族滅絕罪。

對嚴重侵權行為的風險管理：

2、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第1條所規定的嚴重侵權行為的任何一方進行采購或與該方有關聯，我們將立即中止或中斷與該供應商的合作。

關于直接或間接支持非國家武裝團體：

3、我們不會容忍任何通過礦產開采、運輸、貿易、處理或出口為非國家武裝團體提供直接或間接的支持。通過礦產開采、運輸、貿易、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聯方購買礦產，向其進行付款，或以其他方式為其提供后勤支援或設備等。這些武裝團體或關聯方：

1）非法控制礦址，或以其他方式控制運輸路線、礦產交易點以及供應鏈的上游行為主體并或

2）在礦址入口、運輸路線沿線或礦產交易點非法征稅或者勒索錢財或礦產并或

3）對中間商、出口企業、或國際貿易者非法征稅或勒索。

對向非國家武裝團體提供直接或間接支持的風險管理：

4、如果我們有理由認為，上游供應商從非國家武裝團體提供直接或間接支持任何一方進行采購或與之存在關關系，我們將立即中止或中斷與該供應商的合作。

關于公或共私人安全武裝：

5、我們同意根據第十段之規定，杜絕向非法控制礦址、運輸路線或礦產交易點非法征稅或索要錢財或礦產，或者向中間商、出口企業或國際貿易者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。

6、我們認可，礦址及/或其周邊地區以及/或運輸道路沿線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、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易不受干擾。

7、在我們或我們供應鏈上的任何企業與公共或私人安全武裝簽訂了合約的情況下，我們承諾或者將規定，在與這類安全武裝進行合作的過程中將遵守《安全與人權自愿原則》的規定。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行為的個人或安全武裝單位不被錄用。

8、我們將支持或采取與中央或地方政府、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。

9、我們將支持或采取措施與當地政府、國際組織和民間社會組織開展合作，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，尤其是對小作坊礦工的負面影響，在這種情況下，供應鏈上的礦產是通過小作坊或小規模采礦的方式開采出來的小作坊。

對公共或私人安全武裝的風險管理：

10、如果我們發現在一定程度上存在此類風險，將根據企業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方風險管理計劃，從而使第五段中所述的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，我們將暫時停止或中斷與上游供應商的合作。我們發現在一定程度上有可能存在有違反第8段第9段內容的行為的情況下，將采取同樣的應對措施。

關于行賄及礦產原產地的欺詐性失實陳述：

11、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原產地，虛報礦產開采、貿易、處理、運輸、出口等活動應向政府繳稅的稅收、費用和特許開采費而行賄。

關于洗錢

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

關于向政府支付的稅收、費用及特許費：

13、我們將確保向政府支付所有與受沖突影響和高風險區域礦石開采、貿易、出口相關的合法稅收、費用和特許費，并且承諾根據企業在供應鏈上所處位置依照《采掘行業透明度行動計劃》中的各項原則對此類支付進行批露。

對行賄及礦產原產地的欺詐性失實陳述、洗錢及向政府支付的稅收、費用、特許費的風險管理：

14.根據企業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、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采取顯著措施防范或降低有負面影響的風險之目的，對績效進行改善或跟蹤。風險降低措施未起作用的，我們將暫時停止或中斷與上游供應商的合作。   

 

 

                         

 

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, 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.

To this end, we are committed to resolutely identifying and avoiding the following risks in the procurement of tantalum-containing raw materials.

 

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

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:

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

2）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;

3）the worst forms of child labour;

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

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

 

Regarding risk management of serious abuses:

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 paragraph 1.

 

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

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 logisticalassistance or equipment to, non-state armed groups or their affiliates who 

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

2）illegally tax or extort6 money or minerals at points of access to mine sites, along transportation routes or at points where minerals are traded; and/or

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

 

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

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 paragraph

 

Regarding public or private security forces:

5. We agree to eliminate, in accordance with paragraph 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 taxor extort intermediaries, export companies or international traders.
6. 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.
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. We will support efforts, or take steps, to engage with central or local authorities, international organizations and civil societyorganizations 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. We will support efforts, or take steps, to engage with local authorities, international organizations and civil society organizations to avoid or minimise the exposure of vulnerable groups, in particular, artisanal miners

 

Regarding risk management of public or private security forces:

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, as identified in paragraph 5, where we identify that such a reasonable risk exists. In such cases, we will suspend or discontinueengagement with upstream suppliers after failed attempts at mitigation within six months from the adoption of the risk management plan.8 Where we identify a reasonable risk of activities inconsistent with

paragraphs 8 and 9, we will respond in the same vein.

 

Regarding bribery and fraudulent misrepresentation of the origin of minerals:

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 thepurposes of mineral extraction, trade, handling, transport and export.9

 

Regarding money laundering:

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.

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

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).

 

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. 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 organizations, 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 measurable steps taken in reasonable timescales. We will suspend or discontinue engagement with upstream suppliers after failed attempts at mitigation.