2025-2026个旧市自立矿冶有限公司矿产（锡）供应链尽责管理报告（中英版）

个旧市自立矿冶有限公司

Gejiu Zili Mining & Metallurgy Co., Ltd.

矿产（锡）供应链尽责管理报告

Mineral (Tin) Supply Chain Due Diligence Report

2025-2026

2025-2026

执行摘要  Executive Summary

个旧市自立矿冶有限公司（以下简称"公司"）是一家专业从事锡锭生产制造和销售的企业，位于中国云南省个旧市。本报告覆盖2025年8月1日至2026年7月31日期间公司锡供应链尽责管理工作，遵循《中国矿产供应链尽责管理指南》（第二版）和经合组织《受冲突影响和高风险区域矿石负责任供应链尽职调查指南》（第三版）的六步框架编制。

Gejiu Zili Mining & Metallurgy Co., Ltd. (hereinafter referred to as "the Company") is an enterprise specializing in the manufacturing and sales of tin ingots, located in Gejiu City, Yunnan Province, China. This report covers the Company's tin supply chain due diligence work from August 1, 2025 to July 31, 2026, and is prepared in accordance with the six-step framework of the China Due Diligence Guidelines for Mineral Supply Chains (Second Edition) and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition).

报告期内，公司金属原料总采购量为9304.787吨，折合金属总量4469.99吨。公司一级供应商主要来自中国湖南省，包括湖南庆丰利贸易矿业有限公司、郴州市富祥矿业有限公司、湖南汇弘利贸易有限公司、嘉禾县宏兴矿业有限公司、济源新识国际贸易有限公司、临武县金鸿矿产品贸易有限公司等，最终矿源主要追溯至湖南省临武县香花岭锡业有限责任公司。

During the reporting period, the Company's total purchase volume of metal raw materials was 9,304.787 tons, equivalent to 4,469.99 tons of metal. The Company's primary suppliers are mainly from Hunan Province, China, including Hunan Qingfengli Trade Mining Co., Ltd., Chenzhou Fuxiang Mining Co., Ltd., Hunan Huihongli Trade Co., Ltd., Jiahe Hongxing Mining Co., Ltd., Jiyuan Xinshi International Trade Co., Ltd., Linwu Jinhong Mineral Products Trade Co., Ltd., etc. The ultimate mineral sources are mainly traced back to Xianghualing Tin Industry Co., Ltd. in Linwu County, Hunan Province.

在风险识别方面，公司识别到缅甸矿山供应商，其所在国家缅甸被认定为"受冲突影响和高风险区域"（CAHRAs），触发第一类警示信号。针对该供应商，公司开展了桌面风险评估，评估结果显示所有风险点均为绿色风险（低风险）。因未能与该供应商取得有效联系，实地评估延迟，公司已采用"桌面评估报告+次年实地评估计划"作为替代方案，并积极联系中国五矿化工进出口商会申请加入集中风险评估机制，同时自2026年8月1日起主动减少缅甸未做评估矿山的原料采购，增加回收料和副产品采购。

In terms of risk identification, the Company identified a supplier in Myanmar, where the supplier is located, is recognized as a "Conflict-Affected and High-Risk Area" (CAHRAs), triggering the first category of red flags. For this supplier, the Company conducted a desktop risk assessment, and the results showed that all risk points are green risks (low risks). Due to the failure to establish effective contact with the supplier, the on-site assessment was delayed. The Company has adopted a "desktop assessment report + next-year on-site assessment plan" as an alternative, and actively contacted the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters to apply for participation in the centralized risk assessment mechanism. Meanwhile, starting from August 1, 2026, the Company has proactively reduced raw material purchases from unassessed mines in Myanmar and increased purchases of recycled materials and by-products.

公司已建立完善的供应链尽责管理体系，包括负责任采购政策、组织架构、风险分级判定规则、内部申诉渠道、内部控制与透明度系统、供应商合作机制等。报告期内，公司未识别到任何证据证明供应链存在《中国指南》附录一和《OECD指南》附录二所列四类风险。公司将持续完善供应链尽责管理工作，确保锡供应链的合规性和可持续性。

The Company has established a comprehensive supply chain due diligence system, including responsible sourcing policies, organizational structure, risk classification rules, internal grievance channels, internal control and transparency systems, and supplier cooperation mechanisms. During the reporting period, the Company did not identify any evidence proving the existence of the four categories of risks listed in Appendix I of the China Guidelines and Appendix II of the OECD Guidelines in the supply chain. The Company will continuously improve its supply chain due diligence work to ensure the compliance and sustainability of the tin supply chain.

步骤一：建立完善的供应链管理制度  Step 1 Establish Management System

1.1 负责任采购书面政策  Written Responsible Sourcing Policy

公司已制定并正式发布《锡供应链尽责管理政策》，作为公司供应链尽责管理的纲领性文件。该政策遵循《中国矿产供应链尽责管理指南》（第二版）和《OECD指南》（第三版）的要求，涵盖以下核心内容：

The Company has formulated and officially released the "Tin Supply Chain Due Diligence Policy" as the guiding document for the Company's supply chain due diligence. This policy follows the requirements of the China Due Diligence Guidelines for Mineral Supply Chains (Second Edition) and the OECD Guidelines (Third Edition), and covers the following core contents:

● 明确公司对自身及供应商的尽责管理要求，承诺不采购直接或间接支持非国家武装团体、涉及严重侵权行为、行贿受贿、洗钱及矿产原产地失实陈述的矿产；

● Clarify the Company's due diligence requirements for itself and suppliers, and commit not to purchase minerals that directly or indirectly support non-state armed groups, involve serious human rights abuses, bribery and corruption, money laundering, and fraudulent misrepresentation of mineral origin;

● 规定供应链风险识别、评估、缓解和报告的管理流程；

● Specify the management processes for supply chain risk identification, assessment, mitigation, and reporting;

● 明确尽责管理六步骤的实施要求和责任部门；

● Clarify the implementation requirements and responsible departments for the six steps of due diligence;

● 承诺定期审查和更新政策，确保其与最新法规和行业标准保持一致。

● Commit to regularly reviewing and updating the policy to ensure its consistency with the latest regulations and industry standards.

该政策已传达至全体员工和所有供应商，并作为供应商准入和合同签订的必要条件。

This policy has been communicated to all employees and all suppliers, and serves as a necessary condition for supplier admission and contract signing.

1.2 组织架构、权责与人员配置  Organization Map and Responsibilities

公司设立了供应链尽责管理联合办公室（以下简称"联合办公室"），作为供应链尽责管理工作的统筹协调机构。联合办公室由公司高层牵头，成员包各职能部门。

The Company has established the Joint Office for Supply Chain Due Diligence (hereinafter referred to as the "Joint Office") as the coordinating body for supply chain due diligence work. The Joint Office is led by the Company's senior management, with members from various functional departments.

各部门职责分工如下：

The division of responsibilities among departments is as follows:

● 原料部负责指导搜集、提供和维护以下信息，包括但不局限于：供应商合同管理、向供应商传递《供应商行为守则》、责任合同条款及事故表并维护文件有效性、物流路线说明、海关报关文件、原产地证、批次物料入库记录、产品入库管理办法的说明。

● The Raw Materials Department is responsible for guiding the collection, provision, and maintenance of the following information, including but not limited to: supplier contract management, communicating the "Supplier Code of Conduct" to suppliers, responsible contract clauses and incident forms and maintaining document validity, logistics route descriptions, customs declaration documents, certificates of origin, batch material warehousing records, and descriptions of product warehousing management measures.

● 公司办公室负责指导搜集、提供和维护以下信息，包括但不局限于：公司管理架构图（包括企业高层管理人员、董事姓名）、公司股权关系及实益所有权信息说明、员工花名册、员工招聘和选拔政策、童工预防和补救程序、强迫劳动预防和补救程序等。

● The Company Office is responsible for guiding the collection, provision, and maintenance of the following information, including but not limited to: company management structure chart (including names of senior management personnel and directors), descriptions of company equity relationships and beneficial ownership information, employee rosters, employee recruitment and selection policies, child labor prevention and remediation procedures, forced labor prevention and remediation procedures, etc.

● 财务部负责指导搜集、提供和维护以下信息，包括但不局限于：公司向政府（及政府官员）缴纳的税收、费用、特许费或其他款项证明文件（如涉及）。

● The Finance Department is responsible for guiding the collection, provision, and maintenance of the following information, including but not limited to: supporting documents for taxes, fees, royalties, or other payments made by the Company to the government (and government officials) (if applicable).

● 安全环保部负责指导搜集、提供和维护以下信息，包括但不局限于：事故汇报、物料平衡核算及证明文件等。

● The Safety and Environmental Protection Department is responsible for guiding the collection, provision, and maintenance of the following information, including but not limited to: incident reporting, material balance accounting and supporting documents, etc.

● 生产车间负责指导搜集、提供和维护以下信息，包括但不局限于：原料加工、存放地点、加工流程与工艺说明等。

● The Production Workshop is responsible for guiding the collection, provision, and maintenance of the following information, including but not limited to: raw material processing, storage locations, processing flows and process descriptions, etc.

● 人事部负责指导搜集、提供和维护以下信息，包括但不局限于：安保人员职业操守规范。

● The Human Resources Department is responsible for guiding the collection, provision, and maintenance of the following information, including but not limited to: security personnel professional ethics standards.

● 销售部负责客户负责任采购/供应链尽责管理诉求的整理等。

● The Sales Department is responsible for organizing customer responsible sourcing / supply chain due diligence requests, etc.

● 尽责管理联合办公室：公司增设尽责管理联合办公室，承担委员会日常工作职能，将委员会重要决策正确传达给公司各部门和外部相关方。尽责管理联合办公室协调各内部部门，负责供应链尽责管理政策实施、供应链风险识别、起草供应链风险管理计划、协调各部门实施风险管理计划、维护申诉机制、开展内部评估以及其他日常管理工作。同时，尽责管理联合办公室负责尽责管理体系文件归档、对接第三方以及客户的实地评估或审核、撰写供应链尽责管理年度报告，以及必要的对外宣传、媒体回应等。

● Joint Office for Due Diligence Management: The Company has established the Joint Office for Due Diligence Management, which undertakes the daily work functions of the committee and correctly communicates important committee decisions to various departments and external stakeholders. The Joint Office coordinates various internal departments and is responsible for the implementation of supply chain due diligence policies, supply chain risk identification, drafting supply chain risk management plans, coordinating departments to implement risk management plans, maintaining grievance mechanisms, conducting internal assessments, and other daily management work. Meanwhile, the Joint Office is responsible for archiving due diligence system documents, coordinating third-party and customer on-site assessments or audits, writing annual supply chain due diligence reports, and necessary external publicity and media responses.

1.3 风险分级判定规则与内部流程  Risk Classification Judgment Rules and Internal Procedures

公司建立了供应链风险分级判定规则，将风险划分为三级：

The Company has established supply chain risk classification rules, dividing risks into three levels:

● 低风险（绿色）：发生的可能性较小且负面影响不明显，纳入常规供应商管理；

● Low risk (green): The likelihood of occurrence is relatively small and the negative impact is not obvious, included in routine supplier management;

● 中风险（黄色）：有造成负面影响的可能性但负面影响可控，维持合作并下达整改计划，定期复核；

● Medium risk (yellow): There is a possibility of causing negative impacts but the negative impacts are controllable, maintain cooperation and issue rectification plans, conduct regular reviews;

● 高风险（红色）：具有十分严重的负面影响并且十分可能发生或已经发生，暂停新增采购，要求供应商提交纠正行动计划，验收合格后方可恢复采购，整改不合格永久终止合作。

● High risk (red): Has very serious negative impacts and is very likely to occur or has already occurred, suspend new purchases, require suppliers to submit corrective action plans, resume purchases only after passing acceptance, permanently terminate cooperation if rectification fails.

同时，公司设立零容忍清单，包含保护区矿产、联合国制裁实体、冲突融资、系统性严重人权侵害等情形，对涉及零容忍清单的供应商禁止开展商业合作。

Meanwhile, the Company has established a zero-tolerance list, including minerals from protected areas, UN-sanctioned entities, conflict financing, systematic serious human rights abuses, etc., and prohibits commercial cooperation with suppliers involved in the zero-tolerance list.

1.4 内部申诉及举报渠道  Internal Grievance and Reporting Channels

公司设立了供应链尽责管理申诉机制，面向员工、供应商、周边社区及其他利益相关方接收供应链违规线索和申诉。公司制定了《供应链尽责管理申诉办法》，对申诉渠道、处理流程、时限要求、保密措施等作出明确规定。

The Company has established a supply chain due diligence grievance mechanism to receive supply chain violation clues and grievances from employees, suppliers, surrounding communities, and other stakeholders. The Company has formulated the "Supply Chain Due Diligence Grievance Measures," which clearly stipulate grievance channels, processing procedures, time limit requirements, confidentiality measures, etc.

（一）申诉提交渠道  (I) Grievance Submission Channels

● 匿名举报邮箱：574247278＠qq.com，申诉人可通过匿名方式发送邮件，无需提供个人身份信息；

● Anonymous reporting email: 574247278@qq.com. Grievants can send emails anonymously without providing personal identity information;

● 线下投递地址：云南省红河州个旧市鸡街镇火谷都个旧市自立矿冶有限公司供应链尽责管理联合办公室（邮编：661000），可投递书面申诉材料；

● Offline submission address: Joint Office for Supply Chain Due Diligence, Gejiu Zili Mining & Metallurgy Co., Ltd., Huogudu, Jijie Town, Gejiu City, Honghe Prefecture, Yunnan Province (Postal Code: 661000). Written grievance materials can be submitted;

● 供应商专属沟通渠道：采购部在与供应商的日常沟通中设立申诉入口，供应商可直接向采购部或联合办公室提出申诉。

● Exclusive communication channel for suppliers: the Procurement Department has established a grievance entry in daily communication with suppliers, and suppliers can directly raise grievances to the Procurement Department or the Joint Office.

（二）申诉处理标准流程及时限  (II) Standard Grievance Processing Procedures and Time Limits

● 受理与登记（1个工作日内）：联合办公室收到申诉后1个工作日内完成登记，编号建档，记录申诉时间、渠道、内容摘要等信息；

● Acceptance and registration (within 1 working day): The Joint Office completes registration within 1 working day after receiving the grievance, assigns a number and files it, and records information such as grievance time, channel, and content summary;

● 初步审查与分流（3个工作日内）：联合办公室对申诉内容进行初步审查，判断是否属于供应链尽责管理申诉范围，属于范围的根据涉及部门和风险类型分流至责任部门或成立专项调查小组；

● Preliminary review and triage (within 3 working days): The Joint Office conducts a preliminary review of the grievance content to determine whether it falls within the scope of supply chain due diligence grievances. If it falls within the scope, it is triaged to the responsible department or a special investigation team is established based on the involved department and risk type;

● 调查核实（15个工作日内）：责任部门或专项调查小组通过查阅文件、访谈相关人员、现场核查等方式开展调查，复杂案件经联合办公室批准可延长至30个工作日；

● Investigation and verification (within 15 working days): The responsible department or special investigation team conducts investigations through document review, interviews with relevant personnel, on-site verification, etc. For complex cases, the period may be extended to 30 working days with the approval of the Joint Office;

● 处理决定与反馈（5个工作日内）：调查结束后5个工作日内形成处理决定，对实名申诉人以书面或口头方式反馈处理结果；对匿名申诉，在公司内部公告栏或网站公示处理结果摘要（不涉及申诉人信息）；

● Processing decision and feedback (within 5 working days): A processing decision is formed within 5 working days after the investigation is completed, and the processing result is feedback to real-name grievants in writing or orally; for anonymous grievances, a summary of the processing result is posted on the Company's internal bulletin board or website (without involving grievant information);

● 闭环与归档：处理决定执行完毕后，联合办公室对申诉处理全过程进行闭环确认，所有申诉材料、调查记录、处理决定等归档保存，保存期限不少于5年。

● Closure and archiving: After the execution of the processing decision is completed, the Joint Office conducts a closure confirmation of the entire grievance processing process. All grievance materials, investigation records, processing decisions, etc. are archived and preserved for a period of not less than 5 years.

（三）申诉人保护与保密措施  (III) Grievant Protection and Confidentiality Measures

● 身份保密：申诉人个人信息严格保密，仅限联合办公室指定经办人员知悉，调查过程中不得泄露申诉人身份；

● Identity confidentiality: The personal information of grievants is strictly confidential, only known to designated handling personnel of the Joint Office, and the identity of grievants shall not be disclosed during the investigation;

● 反报复保护：公司严禁任何部门或个人对申诉人进行打击报复，如发现报复行为，将依据公司规章制度严肃处理，涉嫌违法的移送司法机关；

● Anti-retaliation protection: The Company strictly prohibits any department or individual from retaliating against grievants. If retaliation is found, it will be seriously dealt with in accordance with the Company's rules and regulations, and those suspected of violating the law will be transferred to judicial organs;

● 信息安全：申诉材料实行专人保管、专柜存放，电子申诉材料加密存储，访问权限严格控制；

● Information security: Grievance materials are managed by dedicated personnel and stored in dedicated cabinets. Electronic grievance materials are encrypted and stored, with access permissions strictly controlled;

● 独立调查：对于涉及公司管理层或敏感事项的申诉，由联合办公室直接组织调查，必要时可聘请外部独立第三方参与，确保调查公正性。

● Independent investigation: For grievances involving the Company's management or sensitive matters, the Joint Office directly organizes the investigation. If necessary, external independent third parties may be engaged to participate to ensure the fairness of the investigation.

报告期内，公司收到0条有效举报，未发生供应链尽责管理相关申诉事件。

During the reporting period, the Company received 0 valid reports, and no supply chain due diligence-related grievance incidents occurred.

1.5 企业内部控制与透明度系统  Enterprise Internal Control and Transparency System

公司建立了供应链控制和透明度系统，收集和维护以下信息：原产地信息、供应商全称和地理位置、运输路线和运输方式、矿产或金属的商品名和类型、直接供应商和已知上游企业的所有权信息等。

The Company has established a supply chain control and transparency system to collect and maintain the following information: origin information, full names and geographical locations of suppliers, transportation routes and methods, commodity names and types of minerals or metals, ownership information of direct suppliers and known upstream enterprises, etc.

采购管控机制包含供应商准入多级审批、原产地文件独立核验，同时在采购、财务与质量职能之间实施职责分离，防范利益冲突并落实责任追溯。公司编制《供应链追溯地图信息表》，对所有矿产原料采购进行全链条追溯，尽量追溯至矿山源头。

The procurement control mechanism includes multi-level approval for supplier admission and independent verification of origin documents. Meanwhile, separation of duties is implemented among procurement, finance, and quality functions to prevent conflicts of interest and implement accountability tracing. The Company has compiled the "Supply Chain Traceability Map Information Form" to conduct full-chain tracing of all mineral raw material purchases, tracing back to the mine source as much as possible.

1.6 供应商合作方式与内容  Supplier Cooperation Methods and Content

公司与所有供应商签署《供应商行为守则》，要求供应商遵守与公司尽责管理政策相一致的行为规范。对于直接与矿山供应商签订合同的，定期更新《供应商行为守则》；通过贸易商采购的，定期更新《供应商行为守则》、签署责任合同条款、通过KYS问卷开展尽职调查。

The Company signs the "Supplier Code of Conduct" with all suppliers, requiring suppliers to abide by behavioral norms consistent with the Company's due diligence policies. For contracts signed directly with mine suppliers, the "Supplier Code of Conduct" is regularly updated; for purchases through traders, the "Supplier Code of Conduct" is regularly updated, responsible contract clauses are signed, and due diligence is conducted through KYS questionnaires.

公司与供应商保持定期沟通，协助供应商进行能力建设，提升其尽责管理绩效。对于高风险地区供应商，公司加强沟通频率，要求供应商提供更多尽责管理信息。

The Company maintains regular communication with suppliers, assists suppliers in capacity building, and improves their due diligence performance. For suppliers in high-risk areas, the Company increases the frequency of communication and requires suppliers to provide more due diligence information.

步骤二：识别并评估供应链风险  Step 2 Identify and Assess Supply-Chain Risks

2.1 供应商清单与物料来源统计  Supplier List and Material Source Statistics

报告期内，公司金属原料总采购量为9304.787吨，折合金属总量4469.99吨。公司一级供应商主要来自中国湖南省，云南省。

During the reporting period, the Company's total purchase volume of metal raw materials was 9,304.787 tons, equivalent to 4,469.99 tons of metal. The Company's primary suppliers are mainly from Hunan Province and Yunnan Province, China.

通过供应链追溯，公司上述湖南供应商的矿源主要追溯至中国湖南省、云南省和缅甸。此外，公司上游供应链中涉及缅甸的一个矿山供应商，触发CAHRAs警示信号。

Through supply chain tracing, the mineral sources of the above-mentioned Hunan suppliers are mainly traced back to Hunan Province, Yunnan Province, and Myanmar, China. In addition, the Company's upstream supply chain involves a mine supplier in Myanmar, triggering the CAHRAs red flag.

2.2 高风险地区识别  CAHRAs Identification

公司按照《中国指南》要求，建立了《"受冲突影响和高风险区域"识别程序》，定期对照欧盟CAHRAs指示性清单及其他国际评估框架，识别供应商所在国家/地区是否属于受冲突影响和高风险区域。

In accordance with the requirements of the China Guidelines, the Company has established the "Identification Procedure for Conflict-Affected and High-Risk Areas," and regularly compares with the EU CAHRAs indicative list and other international assessment frameworks to identify whether the country/region where the supplier is located belongs to conflict-affected and high-risk areas.

经识别，公司上游一个供应商所在国家缅甸被欧盟CAHRAs清单及负责任矿产倡议等国际框架认定为"受冲突影响和高风险区域"，触发第一类警示信号（矿产来自于CAHRAs及运输路线经过CAHRAs）。公司其他主要供应商位于中国湖南省、河南省，不属于CAHRAs区域。

Upon identification, Myanmar, where the Company's upstream supplier located, is recognized as a "Conflict-Affected and High-Risk Area" by the EU CAHRAs list and international frameworks such as the Responsible Minerals Initiative, triggering the first category of red flags (minerals from CAHRAs and transportation routes passing through CAHRAs). Other major suppliers of the Company are located in Hunan Province and Henan Province, China, which do not belong to CAHRAs areas.

2.3 尽调执行方式  DDS Method

公司根据供应商风险等级采取差异化的尽职调查方式：

The Company adopts differentiated due diligence methods based on supplier risk levels:

● 低风险供应商：文件审阅，包括营业执照、进出口许可、产地证、KYS问卷等；

● Low-risk suppliers: document review, including business licenses, import/export permits, certificates of origin, KYS questionnaires, etc.;

● 中风险供应商：文件审阅+桌面风险评估+定期现场走访；

● Medium-risk suppliers: document review + desktop risk assessment + regular on-site visits;

● 高风险供应商：桌面风险评估+实地评估+持续监控；

● High-risk suppliers: desktop risk assessment + on-site assessment + continuous monitoring;

● 疑似零容忍供应商：直接终止合作。

● Suspected zero-tolerance suppliers: directly terminate cooperation.

针对缅甸的供应商，因属于CAHRAs区域供应商，公司按高风险供应商管理，开展了全面的桌面风险评估，并制定了实地评估计划。

For supplier in Myanmar  is located in a CAHRAs area, the Company manages it as a high-risk supplier, conducted a comprehensive desktop risk assessment, and formulated an on-site assessment plan.

2.4 本年度风险识别汇总  Annual Risk Summary

报告期内，公司对所有供应商进行了风险识别和评估，结果如下：

During the reporting period, the Company conducted risk identification and assessment for all suppliers, with the following results:

● 严重侵权风险：未发现明确证据证明供应商存在童工、强迫劳动、性别歧视、性暴力、超时工时等严重侵权行为，判定为低风险；

● Serious human rights abuse risk: No clear evidence was found proving that suppliers have serious human rights abuses such as child labor, forced labor, gender discrimination, sexual violence, excessive working hours, etc., assessed as low risk;

● 非国家武装团体风险：公司主要供应商位于中国，不存在非国家武装团体风险；针对缅甸供应商的桌面评估显示，矿区及运输路线不在非国家武装团体活跃区域，未发现非国家武装团体控制、征税、勒索等证据，判定为低风险；

● Non-state armed group risk: The Company's main suppliers are located in China, and there is no non-state armed group risk; the desktop assessment for the supplier in Myanmar shows that the mining area and transportation routes are not in active areas of non-state armed groups, and no evidence of non-state armed group control, taxation, extortion, etc. was found, assessed as low risk;

● 公共或私人安全武装力量关联风险：未发现安保人员人权侵害记录，安保人员筛选和培训包含人权内容，判定为低风险；

● Public or private security armed force association risk: No records of human rights abuses by security personnel were found, and security personnel screening and training include human rights content, assessed as low risk;

● 行贿受贿及原产地失实陈述、洗钱及税费风险：未发现行贿、腐败、洗钱、原产地失实陈述、税费逾期等问题，判定为低风险。

● Bribery and corruption, origin misrepresentation, money laundering, and tax/fee risk: No issues such as bribery, corruption, money laundering, origin misrepresentation, overdue tax/fee payments, etc. were found, assessed as low risk.

综上，公司供应链所有风险点均判定为低风险（绿色风险）。

In summary, all risk points in the Company's supply chain are assessed as low risk (green risk).

2.5 产销监管链与供应链追溯  Chain of Custody and Supply Chain Traceability

公司建立了产销监管链体系，对原料从入库、加工、库存到成品出库的全流程进行标识和追溯。原料入库时记录供应商信息、批次号、品位、重量等信息；加工过程中记录物料流转和物料平衡；成品出库时记录客户信息和产品批次。通过批次号可以实现从成品到原料供应商的反向追溯。

The Company has established a chain of custody system to identify and trace the entire process from raw material warehousing, processing, inventory, to finished product outbound. When raw materials are warehoused, information such as supplier information, batch number, grade, and weight is recorded; during processing, material flow and material balance are recorded; when finished products are outbound, customer information and product batches are recorded. Through batch numbers, reverse tracing from finished products to raw material suppliers can be achieved.

公司编制《供应链追溯地图信息表》，对所有矿产原料采购进行全链条追溯，尽量追溯至矿山源头。报告期内，公司主要湖南供应商的矿源已追溯至香花岭锡业有限责任公司（矿山）。

The Company has compiled the "Supply Chain Traceability Map Information Form" to conduct full-chain tracing of all mineral raw material purchases, tracing back to the mine source as much as possible. During the reporting period, the mineral sources of the Company's main Hunan suppliers have been traced back to Xianghualing Tin Industry Co., Ltd. (mine).

2.6 实地评估方法、过程与结果  On-Site Assessment Methodology, Process and Results

针对触发警示信号的缅甸矿源供应商，公司制定了《实地评估计划》，计划对其开展现场评估，评估范围涵盖采矿点、选矿厂区、收矿站点、仓储、运输全流程，评估内容包括严重侵权风险、非国家武装团体风险、公共或私人安全武装力量关联风险、行贿受贿及原产地失实陈述/洗钱/税费风险等四类风险。

For the supplier in Myanmar, which triggered the red flag, the Company formulated the "On-Site Assessment Plan," planning to conduct on-site assessment. The assessment scope covers the entire process of mining sites, beneficiation plants, mineral collection stations, warehousing, and transportation. The assessment content includes four categories of risks: serious human rights abuse risk, non-state armed group risk, public or private security armed force association risk, and bribery/corruption, origin misrepresentation/money laundering/tax and fee risk.

因截至本报告出具之日，公司未能与缅甸供应商取得有效联系，不具备实施实地评估的条件，实地评估予以延迟。依据《中国指南》5.2.2款规定，公司采用"桌面评估报告+次年实地评估计划"作为替代方案。

As of the date of this report, the Company was unable to establish effective contact with supplier in Myanmarand did not have the conditions to implement the on-site assessment, so the on-site assessment was delayed. In accordance with the provisions of Article 5.2.2 of the China Guidelines, the Company adopted a "desktop assessment report + next-year on-site assessment plan" as an alternative.

桌面评估结果显示，缅甸的供应商在四类风险领域所有风险点的可能性等级均为"1（几乎不可能）"，严重性等级均为"A（不明显）"，整体判定为绿色风险（低风险）。

The desktop assessment results show that the likelihood levels of all risk points in the four categories of risk areas for the supplier in Myanmar are "1 (almost impossible)," and the severity levels are "A (not obvious)," overall assessed as green risk (low risk).

同时，公司已采取以下措施降低风险敞口：1.积极联系中国五矿化工进出口商会，申请加入集中风险评估机制；2.持续尝试联系缅甸矿山供应商，争取恢复联系后尽快启动实地评估；3.自2026年8月1日起减少缅甸未做评估矿山的原料采购，增加国内回收料和副产品采购。

Meanwhile, the Company has taken the following measures to reduce risk exposure: 1. Actively contacted the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters to apply for participation in the centralized risk assessment mechanism; 2. Continuously attempted to contact the Myanmar mine supplier, striving to start the on-site assessment as soon as possible after contact is restored; 3. Starting from August 1, 2026, reduce raw material purchases from unassessed mines in Myanmar and increase domestic purchases of recycled materials and by-products.

步骤三：制定并且落实风险应对策略  Step 3 Risk Mitigation Actions

3.1 风险处置分类方式  Risk Disposal Classification Method

公司根据风险等级采取差异化的风险处置方式：

The Company adopts differentiated risk disposal methods based on risk levels:

● 低风险：纳入常规供应商管理，定期更新文件，保持沟通；

● Low risk: included in routine supplier management, regularly update documents, and maintain communication;

● 中等风险：维持合作，下达整改计划，设定整改周期，定期复核提交资料；

● Medium risk: maintain cooperation, issue rectification plans, set rectification cycles, and regularly review submitted materials;

● 高风险：暂停新增采购，供应商提交纠正行动计划（CAP），验收合格后方可恢复采购，整改不合格永久终止合作；

● High risk: suspend new purchases, suppliers submit corrective action plans (CAP), resume purchases only after passing acceptance, and permanently terminate cooperation if rectification fails;

● 零容忍：立即终止合作。

● Zero tolerance: immediately terminate cooperation.

对于回收料和副产品供应商，公司要求签署《供应商行为守则》，收集营业执照/再生许可审查，入库化验和形态记录，确保替代原料来源合规、可追溯。

For recycled material and by-product suppliers, the Company requires signing the "Supplier Code of Conduct," collecting business license/recycling permit reviews, warehousing testing and form records, to ensure that alternative raw material sources are compliant and traceable.

3.2 本年度整改落实详情  Details of Rectification and Implementation in the Current Year

报告期内，公司供应链所有风险点均判定为低风险，无中高风险项需要整改。针对缅甸矿矿山供应商的实地评估延迟的情况，公司已落实以下改进措施：

During the reporting period, all risk points in the Company's supply chain were assessed as low risk, and there were no medium or high risk items requiring rectification. Regarding the delay in on-site assessment for the Myanmar mine supplier, the Company has implemented the following improvement measures:

● 完成桌面风险评估，输出《矿产供应链风险桌面评估报告》，结论为全部为低风险（绿色等级风险）；

● Completed the desktop risk assessment and output the "Mineral Supply Chain Risk Desktop Assessment Report," with the conclusion that all are low risk (green level risk);

● 制定《实地评估延迟说明》，明确延迟原因和后续安排；

● Formulated the "On-Site Assessment Delay Explanation," clarifying the reasons for the delay and subsequent arrangements;

● 制定《风险评估结果汇报表》，向高级管理层汇报风险评估结果；

● Formulated the "Risk Assessment Result Report Form," reporting risk assessment results to senior management;

● 制定《风险管理计划》，明确后续风险管理措施；

● Formulated the "Risk Management Plan," clarifying subsequent risk management measures;

● 积极联系五矿商会，申请加入集中风险评估机制；

● Actively contacted the CCCMC to apply for participation in the centralized risk assessment mechanism;

● 自2026年8月1日起执行原料结构调整，减少缅甸未评估矿山原料采购，增加回收料和副产品采购。

● Implemented raw material structure adjustment starting from August 1, 2026, reducing raw material purchases from unassessed mines in Myanmar and increasing purchases of recycled materials and by-products.

3.3 突发事件上报机制  Emergency Incident Reporting Mechanism

公司建立了供应链突发事件上报机制，若出现武装冲突融资、重大人权侵害、洗钱等重大风险事件，第一时间向中国五矿化工进出口商会主动报备，并启动应急预案。公司要求所有供应商在发生重大风险事件时24小时内通知公司，公司联合办公室在收到信息后立即组织评估和应对。

The Company has established a supply chain emergency incident reporting mechanism. In the event of major risk incidents such as armed conflict financing, major human rights abuses, money laundering, etc., the Company will proactively report to the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters as soon as possible and activate the emergency response plan. The Company requires all suppliers to notify the Company within 24 hours when major risk incidents occur, and the Company's Joint Office will immediately organize assessment and response upon receiving the information.

3.4 风险管理计划与利益相关方参与  Risk Management Plan and Stakeholder Engagement

公司制定了《风险管理计划》，涵盖对所有已识别风险的管理措施。风险管理计划的制定征询了供应商和受影响利益相关方的意见，就风险缓解策略达成一致。公司与利益相关方（供应商）共同推动风险管理计划的实施，在实施过程中如果发现风险出现重大变化则相应调整风险管理计划。

The Company has formulated the "Risk Management Plan," covering management measures for all identified risks. The formulation of the risk management plan solicited opinions from suppliers and affected stakeholders, and consensus was reached on risk mitigation strategies. The Company and stakeholders (suppliers) jointly promote the implementation of the risk management plan, and if major changes in risks are found during implementation, the risk management plan will be adjusted accordingly.

3.5 风险监测与跟踪绩效  Risk Monitoring and Tracking Performance

公司建立了结构化的风险监测与绩效跟踪体系，衡量风险缓释措施的有效性并跟踪进展情况。风险监测融入日常供应商管理流程，并以明确的关键绩效指标为支撑，包括：供应商文件完整率、KYS问卷回收率、高风险供应商实地评估完成率、风险事件数量、整改完成率等。

The Company has established a structured risk monitoring and performance tracking system to measure the effectiveness of risk mitigation measures and track progress. Risk monitoring is integrated into the daily supplier management process and supported by clear key performance indicators, including: supplier document completeness rate, KYS questionnaire recovery rate, high-risk supplier on-site assessment completion rate, number of risk incidents, rectification completion rate, etc.

监测结果形成书面记录，并纳入风险评估循环，确保风险管理具备动态调整能力，能够及时应对形势变化。绩效数据按季度汇总，并上报供应链尽责管理联合办公室和高级管理层。

Monitoring results are documented in writing and incorporated into the risk assessment cycle to ensure that risk management has dynamic adjustment capabilities and can respond to changing situations in a timely manner. Performance data is summarized quarterly and reported to the Joint Office for Supply Chain Due Diligence and senior management.

步骤四：获取第三方独立鉴证  Step 4 Independent External Assurance

4.1 企业评估概要  Enterprise Assessment Summary

公司按照《中国指南》要求建立了内部评估制度，并积极推进外部第三方鉴证工作。本年度评估情况概要如下：

The Company has established an internal assessment system in accordance with the requirements of the China Guidelines and actively promotes external third-party assurance work. A summary of this year's assessment is as follows:

（一）内部评估  (I) Internal Assessment

● 评估时间：2026年6月15日至16日；

● Assessment time: June 15 to 16, 2026;

● 评估范围：公司供应链尽责管理体系全部要素，包括尽责管理六步骤的实施情况、《OECD指南》附录二所列四类风险的管理情况，以及公司加工厂及附属设施的运行情况；评估周期为2025年7月1日至2026年6月30日；

● Assessment scope: All elements of the Company's supply chain due diligence system, including the implementation of the six steps of due diligence, the management of the four categories of risks listed in Appendix II of the OECD Guidelines, and the operation of the Company's processing plants and ancillary facilities; the assessment period is from July 1, 2025 to June 30, 2026;

● 评估员：卢浩然（内部评估组组长）、孙建芬（内部评估组成员），两名评估员均接受过供应链尽责管理培训，熟悉《中国指南》和《OECD指南》要求，具备供应链尽责管理评估能力和相关资质；

● Assessors: Lu Haoran (Leader of the Internal Assessment Team), Sun Jianfen (Member of the Internal Assessment Team). Both assessors have received supply chain due diligence training, are familiar with the requirements of the China Guidelines and OECD Guidelines, and possess supply chain due diligence assessment capabilities and relevant qualifications;

● 评估方法：采用现场内部评估方式，通过首次会议、文件审阅（体系文件、供应商管理文件、风险评估报告等）、人员访谈、现场走访（生产车间、原料和成品仓库）、随机抽样等方式搜集证据，并做好内审记录，最后召开末次会议宣读评估发现。

● Assessment method: On-site internal assessment method, collecting evidence through opening meetings, document review (system documents, supplier management documents, risk assessment reports, etc.), personnel interviews, on-site visits (production workshops, raw material and finished product warehouses), random sampling, etc., and maintaining internal assessment records. Finally, a closing meeting is held to read out the assessment findings.

（二）内部评估发现的主要问题及整改情况  (II) Main Issues Found in Internal Assessment and Rectification

本次内部评估共审查了尽责管理六步骤全部条款及《OECD指南》附录二四类风险，评估结果显示：

This internal assessment reviewed all clauses of the six steps of due diligence and the four categories of risks in Appendix II of the OECD Guidelines. The assessment results show:

● 符合项：除1项需改进外，其余条款均判定为"符合"或"不适用"，公司供应链尽责管理体系运行基本有效；

● Compliant items: Except for 1 item requiring improvement, all other clauses are assessed as "compliant" or "not applicable," and the Company's supply chain due diligence system is basically operating effectively;

● 需改进项：步骤二2.2条"当在警示信号审查中发现警示信号，企业需对相应供应链的实际情况进行实地评估"——针对缅甸，因未能与供应商取得有效联系，实地评估延迟，判定为"需改进"；

● Items requiring improvement: Article 2.2 of Step 2 "When red flags are found in the red flag review, the enterprise needs to conduct on-site assessment of the actual situation of the corresponding supply chain" — for the supplier in Myanmar, due to the failure to establish effective contact with the supplier, the on-site assessment was delayed, assessed as "requiring improvement";

● 整改措施：针对上述需改进项，公司已采取以下整改措施：①采用"桌面评估报告+次年实地评估计划"作为替代方案，桌面评估结果为全部绿色风险；②积极联系中国五矿化工进出口商会申请加入集中风险评估机制；③自2026年8月1日起减少缅甸未做评估矿山的原料采购，增加回收料和副产品采购；④持续尝试联系缅甸的供应商，争取在12个月内启动实地评估。整改责任部门为供应链尽责管理联合办公室，整改期限为12个月。

● Rectification measures: For the above items requiring improvement, the Company has taken the following rectification measures: ① Adopted a "desktop assessment report + next-year on-site assessment plan" as an alternative, with the desktop assessment results being all green risks; ② Actively contacted the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters to apply for participation in the centralized risk assessment mechanism; ③ Starting from August 1, 2026, reduced raw material purchases from unassessed mines in Myanmar and increased purchases of recycled materials and by-products; ④ Continuously attempted to contact the supplier in Myanmar, striving to start the on-site assessment within 12 months. The responsible department for rectification is the Joint Office for Supply Chain Due Diligence, and the rectification period is 12 months.

（三）外部评估/第三方鉴证进展状态  (III) Progress Status of External Assessment/Third-Party Assurance

● 公司已向中国五矿化工进出口商会提交《中国矿产供应链尽责管理指南》评估申请材料，计划在条件成熟时接受第三方独立评估；

● The Company has submitted the application materials for assessment under the China Due Diligence Guidelines for Mineral Supply Chains to the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters, and plans to accept independent third-party assessment when conditions are ripe;

● 公司已申请加入五矿商会集中风险评估机制，借助行业平台开展联合风险识别与评估；

● The Company has applied to join the CCCMC centralized risk assessment mechanism to conduct joint risk identification and assessment through the industry platform;

● 公司已充分准备供外部评估需要的文件，包括体系文件、供应商管理文件、风险评估报告、内部评估报告等，以备评估员查看。

● The Company has fully prepared documents required for external assessment, including system documents, supplier management documents, risk assessment reports, internal assessment reports, etc., for assessors to review.

（四）评估结论摘要  (IV) Summary of Assessment Conclusions

综合内部评估结果，公司供应链尽责管理体系运行有效，已按照《中国指南》和《OECD指南》的要求建立并实施了六步尽责管理流程。公司未识别到任何证据证明锡供应链存在直接或间接的四类风险，所有已识别风险均为低风险（绿色风险）。针对缅甸供应商实地评估延迟的需改进项，公司已采取桌面评估、加入集中风险评估、原料结构调整等替代和缓解措施，风险可控。公司将持续推进缅甸供应商实地评估，确保整改措施落实到位。

Based on the internal assessment results, the Company's supply chain due diligence system is operating effectively, and the six-step due diligence process has been established and implemented in accordance with the requirements of the China Guidelines and OECD Guidelines. The Company has not identified any evidence proving the existence of direct or indirect four categories of risks in the tin supply chain, and all identified risks are low risks (green risks). For the item requiring improvement regarding the delay in on-site assessment of the supplier in Myanmar, the Company has taken alternative and mitigation measures such as desktop assessment, joining centralized risk assessment, and raw material structure adjustment, and the risks are controllable. The Company will continuously promote the on-site assessment of Myanmar suppliers to ensure the implementation of rectification measures.

4.2 第三方独立鉴证推进  Third-Party Independent Assurance

公司积极参与中国五矿化工进出口商会组织的《中国矿产供应链尽责管理指南》评估工作，已提交相关申请材料，计划在条件成熟时接受第三方独立评估。公司已充分准备供评估需要的文件，包括体系文件、供应商管理文件、风险评估报告、内部评估报告等，以备评估员查看。

The Company actively participates in the assessment work of the China Due Diligence Guidelines for Mineral Supply Chains organized by the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters, has submitted relevant application materials, and plans to accept independent third-party assessment when conditions are ripe. The Company has fully prepared documents required for assessment, including system documents, supplier management documents, risk assessment reports, internal assessment reports, etc., for assessors to review.

同时，公司已申请加入五矿商会集中风险评估机制，借助行业平台开展联合风险识别与评估，获取区域性风险评估结果作为公司供应链风险判定的重要依据。

Meanwhile, the Company has applied to join the CCCMC centralized risk assessment mechanism to conduct joint risk identification and assessment through the industry platform, and obtain regional risk assessment results as an important basis for the Company's supply chain risk determination.

公司承诺，通过五矿商会评估后，将公开发布摘要评估报告，接受社会监督。

The Company commits that after passing the CCCMC assessment, it will publicly release the summary assessment report and accept social supervision.

公司上年度评估结果为B，评估报告摘要见：

The Company's assessment result for the previous year was B. The summary of the assessment report can be found at:

https://www.cccmc.org.cn/kcxfzzx/zyzx/bg/ff8080819e6998d6019ec9d4c1cc1375.html

步骤五：年度对外披露  Step 5 Annual Public Disclosure

5.1 五步法合规自评  Self-Assessment on Compliance with the Five-Step Due Diligence Framework

公司对供应链尽责管理五步法（六步骤）的实施情况进行了合规自评，结果如下：

The Company conducted a compliance self-assessment on the implementation of the five-step (six-step) supply chain due diligence process, with the following results:

● 步骤一（建立尽责管理体系）：符合，已建立政策、组织架构、风险分级规则、申诉渠道、透明度系统、供应商合作机制；

● Step 1 (Establish due diligence system): Compliant. Policies, organizational structure, risk classification rules, grievance channels, transparency systems, and supplier cooperation mechanisms have been established;

● 步骤二（风险识别与评估）：符合，已完成供应商清单梳理、CAHRAs识别、差异化尽调、风险汇总、供应链追溯、桌面评估；实地评估因供应商联系问题延迟，已采取替代方案，判定为需持续改进；

● Step 2 (Risk identification and assessment): Compliant. Supplier list compilation, CAHRAs identification, differentiated due diligence, risk summary, supply chain tracing, and desktop assessment have been completed; the on-site assessment was delayed due to supplier contact issues, and an alternative has been adopted, assessed as requiring continuous improvement;

● 步骤三（风险预防和缓解）：符合，已建立风险处置分类方式、整改落实机制、突发事件上报机制、风险管理计划、风险监测与跟踪体系；

● Step 3 (Risk prevention and mitigation): Compliant. Risk disposal classification methods, rectification implementation mechanisms, emergency incident reporting mechanisms, risk management plans, and risk monitoring and tracking systems have been established;

● 步骤四（开展内外部评估）：符合，已建立内部评估制度并完成2026年度内部评估，已申请五矿商会外部评估和集中风险评估；

● Step 4 (Conduct internal and external assessments): Compliant. An internal assessment system has been established and the 2026 internal assessment has been completed. Applications for CCCMC external assessment and centralized risk assessment have been submitted;

● 步骤五（沟通和报告）：符合，已编制本年度尽责管理进展报告，计划通过公司网站和五矿商会平台公开；

● Step 5 (Communication and reporting): Compliant. This year's due diligence progress report has been prepared, and plans to disclose it through the Company's website and the CCCMC platform;

● 步骤六（补救）：不适用，报告期内未识别到需要补救的不利影响。

● Step 6 (Remediation): Not applicable. No adverse impacts requiring remediation were identified during the reporting period.

五步尽职调查流程全部落地执行，公司将持续修订内部尽调作业指引，完善海外供应商尽调模板。

All five-step due diligence processes have been implemented. The Company will continuously revise internal due diligence operation guidelines and improve overseas supplier due diligence templates.

5.2 未消除风险以及持续改进计划  Unresolved Risks and Continuous Improvement Plan

现存短板：缅甸供应商实地评估因未能取得联系而延迟，海外偏远供应商信息获取时效性偏弱。

Existing shortcomings: The on-site assessment of the supplier in Myanmar was delayed due to the failure to establish contact, and the timeliness of information acquisition for overseas remote suppliers is relatively weak.

后续改进计划：

Subsequent improvement plan:

● 持续尝试与缅甸供应商恢复联系，争取在12个月内启动实地评估；

● Continuously attempt to restore contact with the supplier in Myanmar, striving to start the on-site assessment within 12 months;

● 积极参与五矿商会集中风险评估，获取区域性风险评估结果作为补充；

● Actively participate in the CCCMC centralized risk assessment to obtain regional risk assessment results as a supplement;

● 继续执行原料结构调整措施，降低未评估矿山原料占比；

● Continue to implement raw material structure adjustment measures to reduce the proportion of raw materials from unassessed mines;

● 每季度更新高风险国家清单，加强海外供应商信息收集能力；

● Update the list of high-risk countries quarterly to strengthen the ability to collect information on overseas suppliers;

● 探索与海外当地代理机构合作，辅助开展海外供应商尽调。

● Explore cooperation with overseas local agencies to assist in conducting overseas supplier due diligence.

5.3 利益相关方沟通  Stakeholder Communication

年度内，公司同主要供应商开展了社会责任、环境合规线上会谈，传达公司尽责管理要求，了解供应商尽责管理实施情况。公司通过本报告对外公示尽责管理工作，接收社会问询。公司设立了申诉邮箱和热线，面向员工、供应商、周边社区接收供应链违规线索和意见建议。

During the year, the Company held online meetings with major suppliers on social responsibility and environmental compliance, communicated the Company's due diligence requirements, and understood the implementation of suppliers' due diligence. The Company publicly discloses due diligence work through this report and receives social inquiries. The Company has established a grievance email and hotline to receive supply chain violation clues and opinions and suggestions from employees, suppliers, and surrounding communities.

5.4 管理层总体结论  Overall Management Conclusion

公司管理层认为，报告期内公司供应链尽责管理体系运行有效，已按照《中国指南》和《OECD指南》的要求建立并实施了六步尽责管理流程。公司未识别到任何证据证明锡供应链存在直接或间接的四类风险，所有已识别风险均为低风险（绿色风险）。针对缅甸供应商实地评估延迟的情况，公司已采取桌面评估、加入集中风险评估、原料结构调整等替代和缓解措施，风险可控。

The Company's management believes that during the reporting period, the Company's supply chain due diligence system operated effectively, and the six-step due diligence process has been established and implemented in accordance with the requirements of the China Guidelines and OECD Guidelines. The Company has not identified any evidence proving the existence of direct or indirect four categories of risks in the tin supply chain, and all identified risks are low risks (green risks). Regarding the delay in on-site assessment of the supplier in Myanmar, the Company has taken alternative and mitigation measures such as desktop assessment, joining centralized risk assessment, and raw material structure adjustment, and the risks are controllable.

公司将持续完善供应链尽责管理体系，积极推进缅甸供应商实地评估，加强海外供应商尽调能力，确保锡供应链的合规性和可持续性。

The Company will continuously improve the supply chain due diligence system, actively promote the on-site assessment of Myanmar suppliers, strengthen overseas supplier due diligence capabilities, and ensure the compliance and sustainability of the tin supply chain.

5.5 报告定期编制与公开承诺  Annual Report Preparation and Public Disclosure Commitment

公司承诺每年编制并发布供应链尽责管理进展报告，报告周期为每年7月1日至次年6月30日，报告于每年8月底前完成编制并发布。公司将通过公司网站、五矿商会平台等渠道公开报告或摘要，接受利益相关方监督。

The Company commits to preparing and releasing the supply chain due diligence progress report annually. The reporting period is from July 1 to June 30 of the following year, and the report is completed and released by the end of August each year. The Company will disclose the report or summary through channels such as the Company's website and the CCCMC platform, and accept supervision from stakeholders.

5.6 采掘业透明度与信息公开  Extractive Industry Transparency and Information Disclosure

公司要求供应商按照所在国法律法规要求缴纳税收、费用和特许费，并提供相关证明文件。公司在供应链追溯地图信息表中公开供应商基本信息、矿源地、采购量等信息，在保护商业秘密的前提下提高供应链透明度。

The Company requires suppliers to pay taxes, fees, and royalties in accordance with the laws and regulations of their host countries and provide relevant supporting documents. The Company discloses basic supplier information, mineral source locations, purchase volumes, and other information in the supply chain traceability map information form, improving supply chain transparency while protecting trade secrets.

步骤六：适时提供条件或合作开展补救  Step 6 Provide Conditions or Cooperate to Remedy

公司制定了《补救识别过程控制程序》，用于识别公司与不利影响的关系，并在识别到公司已经造成或助长实际不利影响时，通过提供条件或合作开展补救以减缓这些影响。

The Company has formulated the "Remediation Identification Process Control Procedure" to identify the relationship between the Company and adverse impacts, and when it is identified that the Company has caused or contributed to actual adverse impacts, mitigate these impacts by providing conditions or cooperating in remediation.

报告期内，公司未识别到自身已经造成或助长实际不利影响的情况，无需开展补救。公司将持续监测供应链运行情况，一旦发现需要补救的情形，将按照程序及时开展补救工作，并与司法或非司法机制（如所在国家司法机制、OECD国家联络点、行业申诉机制等）合作。

During the reporting period, the Company did not identify any situation where it has caused or contributed to actual adverse impacts, and no remediation is required. The Company will continuously monitor the operation of the supply chain. Once a situation requiring remediation is found, it will promptly carry out remediation work in accordance with procedures and cooperate with judicial or non-judicial mechanisms (such as judicial mechanisms in the host country, OECD National Contact Points, industry grievance mechanisms, etc.).

附录  Appendices

（仅向中国五矿商会提交，不对外公开发布）

(To be submitted exclusively to the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters, not for public release)

● 附录A：供应商监测表

● Appendix A: Supplier Monitor List

● 附录B：供应链追溯信息表

● Appendix B: Supply Chain Traceability Information Form

● 附录C：桌面风险评估报告

● Appendix C: Desktop Risk Assessment Report for the supplier in Myanmar

● 附录D：实地评估计划及延迟说明

● Appendix D: On-Site Assessment Plan and Delay Explanation

● 附录E：2026年度内部评估报告

● Appendix E: 2026 Internal Assessment Report

个旧市自立矿冶有限公司

Gejiu Zili Mining & Metallurgy Co., Ltd.

2026年7月1日

July 1, 2026