云南铜业矿产供应链尽责管理政策与承诺

YCC Due Diligence Policy and Commitment for Mineral Supply Chain

云南铜业股份有限公司（以下简称“公司”）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、出口存在可能形成重大不利影响的风险，并认识到公司有尊重人权、不助长冲突、不对环境和社会产生不利影响的义务。公司承诺采纳并广泛推广《中国矿产供应链尽责管理指南》、《LBMA可靠性白银指导规范》等相关内容，并将其纳入与供应商签订的合同和/或协议之中。公司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，并尊重《经济合作与发展组织关于来自受冲突影响和高风险区域矿石负责任的供应链尽职调查指南》（第三版）有关信息公开的建议。为此，公司承诺在商业活动中识别并避免以下风险：

Yunnan Copper Co., Ltd. (YCC) recognizes that risks of significant adverse impacts which may be associated with extracting, trading, handling and exporting mineral from conflict-affected and high-risk areas, and we have the responsibility to  respect human rights and not contribute to conflicts, and not adversely affect the environment and society. YCC commits to adopt, widely disseminate and incorporate in contract and/or agreements with suppliers the policy of Chinese Due Diligence Guidelines for Mineral Supply Chain and LBMA Responsible Silver Guidance and etc.

YCC commits not to get involved in any activities which contributes to the financing of conflict and commits to comply with relevant United Nations sanctions resolutions or, where applicable domestic laws implementing such resolutions, and respect the recommendations of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition) on information disclosure.

YCC hereby commits to recognize and avoid the following risks in our commercial activities:

1.与矿产开采、运输、或贸易有关的严重侵权行为

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

在受冲突影响和高风险区域开展采购或经营活动时，公司既不会容忍也不会以任何方式获利于、帮助、协助或便利任何一方实施：

While sourcing from, or operating in, conflict-affected and high-risk areas, YCC will neither tolerate nor by any means profit from, contribute to, assist with or facilitate the commission by any party of:

1. 任何形式的酷刑、残忍、不人道和有辱人格的待遇。

(1) Any form of torture, cruel, inhuman and degrading treatment.

1. 任何形式的“强迫或强制劳动”，即以惩罚相威胁，在他人非自愿的情况下迫使其从事一切劳动或服务;使用强迫劳工从事劳动或服务。

(2) Any form of forced or compulsory labour, which means all kinds of work or service under the menace of penalty and for which said person has not offered him voluntarily; the use of forced labour to perform labour or services.

1. 最恶劣形式的童工。

(3) The worst forms of child labour.

1. 其他严重侵犯和践踏人权的行为, 比如普遍的性暴力行为，纵容他人侵犯人权。

(4) Other gross violations and abuses of human rights, such as widespread sexual violence, condoning human rights violations by others.

1. 战争罪、反人类罪、种族灭绝罪或其他严重违反国际人道法的行为。

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

风险缓解策略：

如果公司有合理理由认为该风险存在，即上游供应商正从实施上述严重侵权行为的任何一方进行采购或与该方有关联，公司将立即中断或终止与该供应商的合作。

Risk mitigation measures:

YCC 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.

2. 直接或间接支持非法的有组织武装团体风险

2. The risk of direct or indirect supporting to illegal organized armed groups.

公司不会容忍任何通过矿产资源的开采、运输、贸易、加工或出口的方式为非政府武装团体、公共或私人安全武装提供“直接或间接支持”，包括向以下行为的关联方（包括供应链上直接与武装团体合作提供便利的贸易商、批发商、中间商及其他各方。）购买矿产资源、支付费用，或以其他方式为其提供后勤援助或设备。

YCC will not tolerate any direct or indirect support to non-governmental armed groups, public or private security forces through the extraction, transport, trade, handling or export of minerals, including sourcing from, making payment to or otherwise providing logistical assistance or equipment to any their affiliates including traders, consolidators, intermediaries, and others in the supply chain who directly work with and facilitate the armed groups).

1. 非法控制矿区，或以其他方式对运输路线、矿产资源交易地、以及供应链上游行为主体进行控制。

(1) Illegally control mine areas, or otherwise control transportation routes, points where mineral are traded and upstream actors in the supply chain.

1. 在矿区入口、通往矿区的沿线或矿产资源交易地非法征税、勒索钱财或自然资源。

(2) Illegally tax or extort of money or minerals at points of access to mine sites, along transportation routes or at points where mineral are traded. 

1. 对中间商、出口企业或国际贸易者非法征税或勒索钱财。

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

风险缓解策略：

如果公司有合理理由认为，上游供应商从向非国家武装团体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，公司将立即中断或终止与该供应商的合作。

Risk mitigation measures:

YCC 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.

3. 与公共或私人安全武装有关的风险

3. Risks associated with public or private security forces

公司杜绝向来自于向存在下列中行为的公共或私人安全武装提供直接或间接支持或进行采购的风险，或来自于与任何向存在下列中行为的公共或私人安全武装提供直接或间接支持或进行采购方接触的风险。

YCC disagrees to provide direct or indirect support to or procuring from public or private security forces that involved in the following activities, or contact with any party that provides direct or indirect support to or procuring from public or private security forces that involved in the following activities:

1. 非法控制矿区、运输路线和/ 或供应链上游行为主体。

(1) Illegally control of mine sites, transportation routes and/or upstream actors in the supply chain.

1. 在矿区入口、通往矿区的沿线或矿产资源交易地非法征税、勒索钱财或自然资源。

 (2) Illegally tax or extort of money or minerals at point of access to mine sites, along transportation routes or at points where mineral are traded.

1. 非法勒索中间商、出口公司或者不尊重法治和人权的国际贸易商，或者因忽视矿工利益、设备设施、矿址或运输路线安全导致合法的开采和贸易遭受干扰。

(3) Illegally extort intermediaries, export companies or international traders who do not respect laws and human rights, or legal mining and trade has been interrupted due to ignoring the interests of miners, safety or equipment and facilities, mine sites or transportation routes.

1. 未能确保安全武装团体的活动遵循国际认可的标准（私人武装团体则应遵循指导文件，尤其是未采纳筛选策略，未能确保曾严重侵犯过人权的个人或安全武装团体不被雇佣）。

(4) Failure to ensure that the activities of security armed groups comply with internationally recognized standards (private security forces should follow guidance documents, especially if they do not adopt screening policies，it hard 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.

在公司或公司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，公司承诺或者将规定，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》等国际指导文件的规定。尤其是，公司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录用。

Where YCC or any company in YCC’s supply chain contract public or private security forces, YCC commits to or YCC will be ruled in accordance with the international widely recognized guidance documents, such as the Voluntary Principles of Security and Human Rights when cooperating with such security forces. In particular we will support or take steps, to adopt screening policies to ensure that individual or units of security forces that are known to have been responsible for gross human rights abuses will not be hired.

公司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、相称性和问责性找到可行的解决方案。

YCC 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 payment made to public security forces for the provision of security could be improved.

公司将支持或采取措施与当地政府、国际组织和民间社会组织开展互动，避免或最大限度地降低公共或私人安全武装驻扎在矿址给弱势群体带来的负面影响。

YCC will support efforts, or take steps, to engage with local authorities, international organisations and civil society organisations to avoid or minimize adverse impacts of vulnerable groups associated with the presence of security forces, public or private, on mine sites.

风险缓解策略：

如果公司发现在一定程度上存在此类风险，将根据企业在供应链上所处的具体位置，立即制定、采用和实施为期六个月的上游供应商及其他利益相关方风险管理计划，从而使上述为公共或私人安全武装提供直接或间接支持的风险得到遏制或降低。如果风险管理计划实施六个月未起作用，本公司将暂时停止或终止与上游供应商的合作。

Risk mitigation measures:

In accordance with the specific position of the company in the supply chain, YCC will immediately devise, adopt and implement a risk management plan for six months 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 exist. 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.

4. 关于行贿受贿及矿产原产地的欺诈性失实陈述

4. Regarding bribery and fraudulent misrepresentation of the origin of minerals

（1）公司不会提出、承诺、进行或索要任何贿赂，并且抵制诱惑，不会为了掩盖或伪造矿产原产地，虚报矿产开采、贸易、处理、运输、出口等活动应向政府缴纳的税收、费用和特许开采费而行贿。

YCC will not offer, promise, give or demand any bribes, and will resist the solicitation of bribes to conceal or disguise the origin of mineral, to misrepresent taxes, fees and royalties paid to government for the purposes of mineral extraction, trade, handling, transport and export.

1. 如果公司有理由认为，存在因开采、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而得的矿产所引起或与之相关的洗钱风险，公司将支持或采取措施，为有效消除洗钱行为做出贡献。

(1) YCC 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.

（2）公司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位置依照《采掘行业透明度行动计划》（EITI）中的各项原则对此类支付进行披露。

YCC will ensure that all taxes, fees and royalties related to mineral extraction, trade and export form 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 out in the Extractive Industries Transparency Action Plan (EITI).

风险缓解策略：

根据企业在供应链上所处的具体位置，公司承诺与供应商、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风险管理措施防范或降低有负面影响的风险之目的，对上述情况进行改善或跟踪。风险管理措施未起作用的，公司将暂时停止或中断与上游供应商的合作。

Risk mitigation measures:

In accordance with the specific position of the company in the supply chain, YCC commits 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 mitigation 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 from the adoption of the risk management plan.

5. 关于职业健康与安全

5. On occupational health and safety

在高风险地区进行采购或开展经营活动时，公司将不会获利于、协助、便利于任何为其直接或间接雇员以及在其生产现场的任何人员提供威胁到生命的职业健康与安全环境的一方，或从该方处采购或与之存在关联。

While sourcing from, or operating in high-risk areas, YCC will not profit from, contribute to assist with or facilitate any party that provides a life-threatening occupational health and safety environment for its direct or indirect employees and any personnel on its production sites, or sourcing from or be linked with the party.

风险缓解策略：

如果公司有合理理由认为上游供应商提供威胁到生命的职业健康和安全环境的任何一方采购或与之存在关联，公司将立即中止或中断与该供应商的合作。

Risk mitigation measures:

YCC 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 that provides a life-threatening occupational health and safety environment.

6. 关于雇佣童工

6. On Child Labour

在高风险区域开展采购或开展经营活动时，公司将不会雇佣、获利于、协助或为低于东道国法律或法规规定的最低工作年龄的儿童就业而提供便利或跟其采购或与其有关联。如果东道国没有相关的法律或法规规定，那么就参照国际劳工组织的《最低工作年龄公约》（第 138 号公约，1973 年）的规定确定最低就业年龄。

While sourcing from, or operating in high-risk areas, YCC will not employ children, profit from and contribute to assist any party that facilitate employment of children under the minimum working age specified by the laws and regulations of the host country, or sourcing from or linked to the party. If the host country does not have relevant laws and regulations on the minimum working age, minimum working age will be ruled referring to regulation on the Minimum working age of the International Labour Organization Convention (No. 138, 1973)

风险缓解策略：

如果公司有合理理由认为该风险存在，即上游供应商正从任何一方雇佣童工进行采购或与该方有关联，公司将立即中止或中断与该供应商的合作。

Risk mitigation measures:

YCC 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 where child labour hired.

7. 土地权利、排放和小作坊

7. Land rights, emissions and small workshops

公司不参与、不容忍、也不受益于在未获得当地人和土著人自由、预先、知情的同意的土地上开采资源，包括持有法定所有权、租赁权、特许权或许可证的开采商。我们不参与、不容忍、也不受益于当地人和土著人的文化和遗产未受尊重和保护，或损害当地人传统文化的开采作业。

YCC does not participate in, tolerate, or benefit from the extraction of resources on the land without the free, prior and informed consent of local and indigenous peoples, including extractor who has the legal title, right to lease, concession or permit of the land. YCC does not participate in, tolerate or benefit from mining in or purchasing resources from mining operations that do not respect or protect the culture and heritage, or damage the traditional culture of local and indigenous people.

本公司确保避免给周围土壤、空气和水的状况造成重大不利影响，严重违反当地相关法律法规，包括制造、交易、使用因对生物体高毒性、环境持久性、或潜在的不可逆生态影响而受到国际禁令的化学品与危险物质。

YCC ensures that it does not cause significant adverse impacts on the surrounding soil, air and water, in serious violation of relevant local laws and regulations, including the manufacturing, trading and using chemicals and hazardous substances that are subject to international bans due to their high toxicity to organisms, environmental persistence, or potentially irreversible ecological effects.

公司禁止在世界遗产地或法定保护区开采资源，以及由此给这些遗产的突出普遍价值造成威胁。

YCC prohibits extracting resources in World Heritage Sites or legally protected areas and that may threaten the prominence value of these sites.

风险缓解策略：

如果公司有合理理由认为存在此风险，我们将根据企业在供应链上所处的具体位置，立即与供应商及其他利益相关方一起制定和实施为期六个月的风险管理计划，从而防范或降低侵害土地权利、引发重大不利环境影响或与小作坊或小规模采矿商相关的具体风险。如果风险管理计划实施六个月未奏效，我们将中止或中断与供应商的合作。

Risk mitigation measures:

In accordance with the specific position of the company in the supply chain, YCC will immediately devise, and implement a risk management plan for six months with upstream suppliers and other stakeholders to prevent or mitigate land rights violations, significant adverse environmental impacts, or specific risks associated with small workshops or small-scale miners. 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.

8. 关于强迫劳动

8. On forced Labour

公司反对任何形式的“强迫或强制劳动”，即以惩罚相威胁，在他人非自愿的情况下迫使其从事一切劳动或服务;反对使用强迫劳工从事劳动或服务。强迫劳动既包括员工不愿意从事某一类劳动而迫使其从事该类劳动的情形，也包括员工虽愿意从事某类劳动但不愿意从事超强度、超体力、超时间的劳动，而迫使其从事超强度、超体力、超时间的劳动的情形；既包括强迫体力劳动，也包括强迫脑力劳动。

YCC opposes any form of Forced or Compulsory Labour, that are all works or services which are exacted from any person under the threat of a penalty and for which the person has not offered himself or herself voluntarily and opposes the use of forced Labour in labour or services.

Forced labor includes the situation in which employees are not willing to engage in a certain kind of labor but forced to engage in, and it also includes the situation in which employees are willing to engage in a certain kind of labor but are not willing to engage in ultra-intensity, ultra-physical strength, and overtime labor, and force them to engage in s ultra-intensity, ultra-physical strength, and overtime labor; It includes both forced physical labor and forced mental labor.

风险缓解策略：

公司将严格遵守《劳动合同法》《中华人民共和国刑法》等国内相关法律及《强迫劳动公约》（第29号）和《废除强迫劳动公约》（第105号）等国际法规。如果公司有合理理由认为该风险存在，即上游供应商存在上述侵权行为或正从实施上述侵权行为的任何一方进行采购，公司将立即中断或终止与该供应商的合作。

Risk mitigation measures:

YCC will strictly abide by relevant domestic laws such as the Labor Contract Law, the Criminal Law of the People's Republic of China, and international laws and regulations such as the Forced Labor Convention (No.29) and the Forced Labor Abolition Convention (No. 105). YCC 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 who does the above rights violations.

公司将本着持续改进的原则，将以上政策融入公司管理体系及各相关部门职责，纳入与供应商的合同或协议之中。公司同时承诺，将加强与同行业及利益相关方的沟通与合作，广泛传播该政策，并籍此持续提高公司的供应链尽责管理能力。

In line with the principle of continuous improvement, YCC will integrate the above policies into the company's management system and the responsibilities of relevant departments, and incorporate them into contracts or agreements with suppliers. YCC also commits to strengthen communication and cooperation with the industry and stakeholders to widely disseminate the policy, and continue to improve the company's supply chain due diligence management capabilities.

如果对本公司矿产供应链管理有任何疑问，请通过电话+86 871-63124933 或电子邮件yxjsb@chncopper.com与我们联系。

If you have any questions about the Company's Mineral supply chain management, please contact us at +86 871-63124933 or by email yxjsb@chncopper.com.

云南铜业股份有限公司

2024年2月4日

Yunnan Copper Co., Ltd.

Feb. 4, 2024