个旧市自立矿冶有限公司 2025–2026年度社会责任报告

个旧市自立矿冶有限公司

2025–2026年度社会责任报告

报告期：2025年8月1日至2026年7月31日

Gejiu Zili Mining & Smelting Co., Ltd.

2025–2026 Corporate Social Responsibility Report

Reporting Period: August 1, 2025 – July 31, 2026

目录 / Table of Contents

一、关于本报告

I. About This Report

二、公司概况

II. Company Profile

三、社会责任治理

III. CSR Governance

四、负责任矿产供应链管理

IV. Responsible Mineral Supply Chain Management

五、人权保护

V. Human Rights Protection

六、环境保护

VI. Environmental Protection

七、员工权益与发展

VII. Employee Rights and Development

八、职业健康与安全生产

VIII. Occupational Health and Safety

九、社区参与与公益

IX. Community Engagement and Public Welfare

十、商业道德与反腐败

X. Business Ethics and Anti-Corruption

十一、利益相关方沟通

XI. Stakeholder Engagement

十二、透明度与信息披露

XII. Transparency and Disclosure

十三、展望

XIII. Outlook

一、关于本报告

I. About This Report

本报告是个旧市自立矿冶有限公司（以下简称"个旧自立"或"公司"）发布的年度社会责任报告，全面披露公司在报告期内于公司治理、负责任矿产供应链管理、人权保护、环境保护、员工权益、职业健康与安全、社区参与、商业道德及利益相关方沟通等方面的政策、实践与绩效。

This report is the annual Corporate Social Responsibility (CSR) Report published by Gejiu Zili Mining & Smelting Co., Ltd. (hereinafter referred to as "Gejiu Zili" or "the Company"), comprehensively disclosing the Company's policies, practices and performance in corporate governance, responsible mineral supply chain management, human rights protection, environmental protection, employee rights and interests, occupational health and safety, community engagement, business ethics and stakeholder engagement during the reporting period.

报告期间：2025年8月1日至2026年7月31日。

Reporting Period: August 1, 2025 to July 31, 2026.

报告范围：本报告涵盖个旧市自立矿冶有限公司本部运营及其锡矿产供应链管理活动，除特别说明外，数据统计范围与报告期间一致。

Scope: This report covers the operations of Gejiu Zili Mining & Smelting Co., Ltd. and its tin mineral supply chain management activities. Unless otherwise specified, the data statistics scope is consistent with the reporting period.

发布与保证：本报告经公司管理层审阅批准后对外发布。报告中矿产供应链尽责管理相关内容已纳入公司年度内部评估范围；公司已向中国五矿化工进出口商会（CCCMC）提交第三方独立评估申请，上年度评估结果为B级；其他社会责任信息由公司相关职能部门提供并核实。

Publication and Assurance: This report is published following review and approval by the Company's management. The mineral supply chain due diligence related content in this report has been included in the Company's annual internal assessment scope; the Company has submitted a third-party independent assessment application to the China Chamber of Commerce for Metals, Minerals and Chemicals Import and Export (CCCMC), with the previous year's assessment result being Grade B; other CSR information is provided and verified by the Company's relevant functional departments.

二、公司概况

II. Company Profile

个旧市自立矿冶有限公司成立于2004年6月，坐落于享誉世界的"中国锡都"——云南省红河哈尼族彝族自治州个旧市鸡街镇火谷都（个旧市北郊6公里处），是一家集有色金属采矿、选矿、冶炼于一体的锡冶炼民营企业。公司具备炼前处理、粗炼、精炼、炼渣和环保等五大工业系统，主要产品为"云山"牌锡锭，年生产能力12000吨，产品已通过伦敦金属交易所（LME）和上海期货交易所的品牌注册（LME注册商标"YS"）。

Founded in June 2004 and located in Huogudu, Jijie Town, Gejiu City, Honghe Hani and Yi Autonomous Prefecture, Yunnan Province — known worldwide as the "China Tin Capital" (6 km north of Gejiu City), Gejiu Zili Mining & Smelting Co., Ltd. is a private tin smelting enterprise integrating non-ferrous metal mining, beneficiation and smelting. The Company has five major industrial systems: pre-smelting treatment, rough smelting, refining, slag treatment and environmental protection. Its main product is "Yunshan" brand tin ingots, with an annual production capacity of 12,000 tonnes. The products have been brand-registered by the London Metal Exchange (LME, registered trademark "YS") and the Shanghai Futures Exchange.

关键数据 / Key Figures

组织架构与生产能力：公司设有原料部、公司办公室、财务部、安全环保部、生产车间、人事部、销售部等职能部门，以及供应链尽责管理联合办公室。公司具备完整的锡冶炼生产线，涵盖炼前处理、粗炼、精炼、炼渣和环保五大系统，配套建设有污水处理站、废气处理设施、固废暂存场等环保基础设施。公司产品包括精锡、焊锡、锡加工产品、电解铅、金属砷等有色金属加工产品。

Organizational Structure and Production Capacity: The Company has functional departments including the Raw Materials Department, Company Office, Finance Department, Safety & Environmental Protection Department, Production Workshop, Human Resources Department, and Sales Department, as well as the Joint Office for Supply Chain Due Diligence. The Company has a complete tin smelting production line covering five major systems: pre-smelting treatment, rough smelting, refining, slag treatment and environmental protection, with supporting environmental protection infrastructure including sewage treatment stations, waste gas treatment facilities, and solid waste temporary storage sites. The Company's products include refined tin, solder, tin processed products, electrolytic lead, metallic arsenic and other non-ferrous metal processed products.

经济社会贡献：公司作为个旧市锡冶炼骨干企业，为地方经济发展和就业作出了积极贡献。公司现有员工约454人，优先招用本地员工，带动周边配套服务业发展。公司严格依法纳税，按时足额缴纳各项税费，为地方财政收入贡献力量。

Economic and Social Contribution: As a key tin smelting enterprise in Gejiu City, the Company has made positive contributions to local economic development and employment. The Company currently has about 454 employees, prioritizes recruiting local employees, and drives the development of surrounding supporting service industries. The Company strictly pays taxes in accordance with the law, pays all taxes and fees in full and on time, and contributes to local fiscal revenue.

创新能力与荣誉资质：公司系国家级高新技术企业，拥有多项锡冶炼相关技术专利。公司已通过ISO 9001质量管理体系认证、ISO 14001环境管理体系认证及ISO 45001职业健康安全管理体系认证，覆盖公司锡矿采选、加工冶炼等主要生产运营环节。公司"云山"牌锡锭在伦敦金属交易所注册"YS"商标，产品质量获得国际市场认可。

Innovation Capability and Honors: The Company is a national high-tech enterprise with multiple tin smelting related technology patents. The Company has obtained ISO 9001 Quality Management System certification, ISO 14001 Environmental Management System certification and ISO 45001 Occupational Health and Safety Management System certification, covering major production and operation links including tin ore mining and beneficiation, processing and smelting. The Company's "Yunshan" brand tin ingots are registered with the "YS" trademark on the London Metal Exchange, and product quality has gained recognition in the international market.

经营理念：公司秉持"质量是我们的生命，顾客是我们永恒的宗旨"的质量方针，坚持"合规经营、诚信为本、尊重人权、保护环境"的经营理念，将社会责任融入企业发展战略。公司认识到，作为锡供应链的重要参与方，负有识别、防范和缓解供应链中人权侵犯、冲突融资、环境破坏及损害商业道德等不利影响的责任，并承诺采纳并实施负责任矿产供应链尽责管理。

Business Philosophy: The Company upholds the quality policy of "Quality is our life, customers are our eternal purpose", and adheres to the business philosophy of "compliant operation, integrity-based, respect for human rights, and environmental protection", integrating social responsibility into its corporate development strategy. The Company recognizes that, as an important participant in the tin supply chain, it has the responsibility to identify, prevent and mitigate adverse impacts such as human rights violations, conflict financing, environmental damage and business ethics violations in the supply chain, and commits to adopting and implementing responsible mineral supply chain due diligence.

三、社会责任治理

III. CSR Governance

公司高度重视社会责任治理体系建设，将矿产供应链尽责管理与公司整体治理架构有机结合，建立了从决策层到执行层的完整社会责任治理体系。

The Company attaches great importance to building a CSR governance system, integrating mineral supply chain due diligence management with the Company's overall governance structure, and has established a complete CSR governance system from the decision-making level to the execution level.

治理架构：公司设立供应链尽责管理联合办公室，作为供应链尽责管理工作的统筹协调机构，由公司高层牵头，成员包括各职能部门。联合办公室承担委员会日常工作职能，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等。

Governance Structure: The Company has established the Joint Office for Supply Chain Due Diligence as the coordinating body for supply chain due diligence work, led by senior management of the Company, with members including various functional departments. The Joint Office undertakes the daily work functions of the committee, responsible for supply chain due diligence policy implementation, supply chain risk identification, drafting supply chain risk management plans, coordinating various departments to implement risk management plans, maintaining grievance mechanisms, conducting internal assessments and other daily management work, as well as being responsible for due diligence management system document archiving, coordinating third-party and customer on-site assessments or audits, and writing annual supply chain due diligence reports.

部门职责分工：原料部负责供应商合同管理、向供应商传递《供应商行为守则》、物流路线说明、海关报关文件、原产地证、批次物料入库记录等；公司办公室负责公司管理架构图、股权关系及实益所有权信息、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；财务部负责向政府缴纳的税收、费用、特许费等证明文件；安全环保部负责事故汇报、物料平衡核算及证明文件等；生产车间负责原料加工、存放地点、加工流程与工艺说明等；人事部负责安保人员职业操守规范；销售部负责客户负责任采购/供应链尽责管理诉求的整理。

Departmental Responsibility Division: The Raw Materials Department is responsible for supplier contract management, communicating the Supplier Code of Conduct to suppliers, logistics route descriptions, customs declaration documents, certificates of origin, batch material inbound records, etc.; the Company Office is responsible for corporate management structure charts, equity relationships and beneficial ownership information, employee rosters, employee recruitment and selection policies, child labour prevention and remediation procedures, forced labour prevention and remediation procedures, etc.; the Finance Department is responsible for supporting documents for taxes, fees, royalties paid to governments, etc.; the Safety & Environmental Protection Department is responsible for incident reporting, material balance accounting and supporting documents, etc.; the Production Workshop is responsible for raw material processing, storage locations, processing flow and process descriptions, etc.; the Human Resources Department is responsible for security personnel professional conduct standards; the Sales Department is responsible for organizing customer responsible sourcing / supply chain due diligence requests.

政策体系：公司依据《联合国工商业与人权指导原则》、OECD《关于来自受冲突影响和高风险区域的矿石的负责任供应链尽职调查指南》（第三版）及《中国矿产供应链尽责管理指南》（第二版）等国际国内准则，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，涵盖负责任采购承诺、供应链风险识别评估缓解和报告流程、六步骤实施要求和责任部门等内容。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。

Policy Framework: In accordance with international and domestic guidelines such as the UN Guiding Principles on Business and Human Rights, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (3rd Edition), and the Guidance on Due Diligence for China's Mineral Supply Chains (2nd Edition), 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, covering responsible sourcing commitments, supply chain risk identification, assessment, mitigation and reporting processes, six-step implementation requirements and responsible departments. This policy has been communicated to all employees and all suppliers, and serves as a necessary condition for supplier admission and contract signing.

风险分级规则：公司建立了供应链风险分级判定规则，将风险划分为三级：低风险（绿色）纳入常规供应商管理；中风险（黄色）维持合作并下达整改计划，定期复核；高风险（红色）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。同时设立零容忍清单，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。

Risk Classification Rules: The Company has established supply chain risk classification rules, dividing risks into three levels: low risk (green) included in routine supplier management; medium risk (yellow) maintaining cooperation and issuing rectification plans with regular reviews; high risk (red) suspending new purchases, requiring suppliers to submit corrective action plans, and resuming purchases only after passing acceptance, with permanent termination for failed rectification. Meanwhile, a zero-tolerance list is established, including minerals from protected areas, UN-sanctioned entities, conflict financing, systematic serious human rights abuses, etc., and business cooperation is prohibited with suppliers involved in the zero-tolerance list.

内部控制与透明度：公司建立了供应链控制和透明度系统，收集和维护原产地信息、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。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。

Internal Control and Transparency: The Company has established a supply chain control and transparency system to collect and maintain origin information, full names and geographical locations of suppliers, transport routes and modes, commodity names and types of minerals or metals, ownership information of direct suppliers and known upstream enterprises, etc. 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 responsibility traceability. 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.

内部申诉与举报：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，制定了《供应链尽责管理申诉办法》。申诉渠道包括：匿名举报邮箱（574247278@qq.com）、线下投递地址（云南省红河州个旧市鸡街镇火谷都供应链尽责管理联合办公室）、供应商专属沟通渠道。申诉处理标准流程为：受理与登记（1个工作日内）、初步审查与分流（3个工作日内）、调查核实（15个工作日内，复杂案件可延长至30个工作日）、处理决定与反馈（5个工作日内）、闭环与归档（保存期限不少于5年）。公司对申诉人实行身份保密、反报复保护、信息安全和独立调查等保护措施。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。

Internal Grievance and Reporting: 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, and has formulated the Supply Chain Due Diligence Grievance Measures. Grievance channels include: anonymous reporting email (574247278@qq.com), offline submission address (Joint Office for Supply Chain Due Diligence, Huogudu, Jijie Town, Gejiu City, Honghe Prefecture, Yunnan Province), and exclusive communication channels for suppliers. The standard grievance processing flow is: acceptance and registration (within 1 working day), preliminary review and triage (within 3 working days), investigation and verification (within 15 working days, extendable to 30 working days for complex cases), processing decision and feedback (within 5 working days), closure and archiving (retention period of not less than 5 years). The Company implements protection measures for grievants including identity confidentiality, anti-retaliation protection, information security and independent investigation. During the reporting period, the Company received 0 valid reports and no supply chain due diligence related grievance incidents occurred.

四、负责任矿产供应链管理

IV. Responsible Mineral Supply Chain Management

公司依照《中国矿产供应链尽责管理指南》（第二版）及OECD《关于来自受冲突影响和高风险区域的矿石的负责任供应链尽职调查指南》（第三版）的尽责管理六步法，建立并实施了锡矿产供应链尽责管理体系。核心内容摘要如下（详细内容见公司同期发布的《矿产（锡）供应链尽责管理报告》）：

The Company has established and implemented a tin mineral supply chain due diligence management system in accordance with the six-step due diligence framework of the Guidance on Due Diligence for China's Mineral Supply Chains (2nd Edition) and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (3rd Edition). The core content is summarized below (for details, please refer to the Company's Mineral (Tin) Supply Chain Due Diligence Report published in the same period):

步骤一：建立企业尽责管理体系 — 公司已建立尽责管理政策、治理架构、风险分级规则、内部申诉举报渠道及内部控制体系，并与供应商建立多层次合作关系。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；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。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。

Step 1: Establish a Sound Corporate Due Diligence System — The Company has established a due diligence policy, governance structure, risk classification rules, internal grievance and reporting channels, and an internal control system, and has established multi-level cooperative relationships with suppliers. 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 procurement through traders, the Supplier Code of Conduct is regularly updated, responsible contract clauses are signed, and due diligence is conducted through KYS questionnaires. The Company maintains regular communication with suppliers, assists suppliers in capacity building, and improves their due diligence performance.

步骤二：识别并评估供应链风险 — 本报告期内（2025年8月1日至2026年7月31日），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，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，矿源地涵盖中国湖南省、云南省和缅甸。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》，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。本审核期内，公司已经采取措施，停止采购来自上一个审核周期的高风险国家矿源，包括刚果（金）和尼日利亚的原料。

Step 2: Identify and Assess Supply Chain Risks — During this reporting period (August 1, 2025 to July 31, 2026), the Company's total purchase volume of metal raw materials was 9,304.787 tonnes, equivalent to 4,469.99 tonnes of metal. The Company's primary suppliers are mainly from Hunan Province and Yunnan Province, China, including Hunan Qingfengli Trading Mining Co., Ltd., Chenzhou Fuxiang Mining Co., Ltd., Hunan Huihongli Trading Co., Ltd., Jiahe Hongxing Mining Co., Ltd., Jiyuan Xinshi International Trading Co., Ltd., Linwu Jinhong Mineral Products Trading Co., Ltd., etc. The final mineral sources are mainly traced back to Linwu Xianghualing Tin Industry Co., Ltd. in Linwu County, Hunan Province, with mineral source areas covering Hunan Province, Yunnan Province and Myanmar in China. In accordance with the requirements of the China Guidelines, the Company has established the Identification Procedure for Conflict-Affected and High-Risk Areas. Upon identification, Myanmar, where one of the Company's upstream suppliers is 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 type of warning signal (minerals from CAHRAs and transport routes passing through CAHRAs). The Company's other major suppliers are located in Hunan Province and Henan Province, China, and do not belong to CAHRAs areas. During this audit period, the Company has taken measures to stop procuring mineral sources from high-risk countries identified in the previous audit cycle, including materials from the Democratic Republic of the Congo and Nigeria.

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。桌面评估结果显示，缅甸的供应商在四类风险领域（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）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）。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。

For the supplier in Myanmar, as it is a supplier in a CAHRAs area, the Company manages it as a high-risk supplier and conducted a comprehensive desktop risk assessment. The desktop assessment results show that for the supplier in Myanmar, the likelihood levels of all risk points in the four categories of risk areas (serious human rights abuse risk, non-state armed group risk, public or private security armed force association risk, bribery and corruption and origin misrepresentation/money laundering/tax and fee risk) are all "1 (almost impossible)", and the severity levels are all "A (not obvious)", with the overall assessment being green risk (low risk). As of the date of this report, the Company was unable to establish effective contact with the supplier in Myanmar and did not have the conditions to implement the on-site assessment, so the on-site assessment was delayed. In accordance with Article 5.2.2 of the China Guidelines, the Company adopted a "desktop assessment report + next-year on-site assessment plan" as an alternative.

步骤三：风险预防与缓解 — 公司依据风险等级（低、中、高及零容忍）采取差异化处置策略，制定了年度《风险管理计划》。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。针对缅甸矿山供应商实地评估延迟的情况，公司已落实以下改进措施：①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）；②制定《实地评估延迟说明》，明确延迟原因和后续安排；③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；④制定《风险管理计划》，明确后续风险管理措施；⑤积极联系五矿商会，申请加入集中风险评估机制；⑥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。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。

Step 3: Risk Prevention and Mitigation — The Company applies differentiated response strategies based on risk levels (low, medium, high and zero-tolerance), and has formulated the annual Risk Management Plan. 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 of the Myanmar mine supplier, the Company has implemented the following improvement measures: ① 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); ② Formulated the On-Site Assessment Delay Explanation, clarifying the reasons for the delay and subsequent arrangements; ③ Formulated the Risk Assessment Result Report Form, reporting risk assessment results to senior management; ④ Formulated the Risk Management Plan, clarifying subsequent risk management measures; ⑤ Actively contacted CCCMC to apply for participation in the centralized risk assessment mechanism; ⑥ 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. 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.

步骤四：内外部评估 — 公司按照《中国指南》要求建立了内部评估制度，于2026年7月15日至16日完成年度内部评估，评估范围覆盖公司供应链尽责管理体系全部要素，评估员为卢浩然（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。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：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。需改进项为：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"。针对该需改进项，公司已采取桌面评估、加入集中风险评估、原料结构调整等整改措施，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。外部评估方面，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，上年度评估结果为B级。

Step 4: Internal and External Assessment — The Company has established an internal assessment system in accordance with the requirements of the China Guidelines, and completed the annual internal assessment from July 15 to 16, 2026. The assessment scope covers all elements of the Company's supply chain due diligence system. The assessors are Lu Haoran (Leader of the Internal Assessment Team) and Sun Jianfen (Member of the Internal Assessment Team), both of whom have received supply chain due diligence training. 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 that 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. The item requiring improvement is: 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 Myanmar, due to failure to establish effective contact with the supplier, the on-site assessment was delayed, assessed as "requiring improvement". For this item requiring improvement, the Company has taken rectification measures such as desktop assessment, joining centralized risk assessment, and raw material structure adjustment. The responsible department for rectification is the Joint Office for Supply Chain Due Diligence, with a rectification period of 12 months. In terms of external assessment, the Company has submitted application materials for assessment under the China Due Diligence Guidelines for Mineral Supply Chains to CCCMC, and plans to accept third-party independent assessment when conditions are ripe. The previous year's assessment result was Grade B.

步骤五：报告与沟通 — 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8月1日至次年7月31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。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。

Step 5: Reporting and Dissemination — The Company commits to preparing and releasing the supply chain due diligence progress report annually. The reporting period is from August 1 to July 31 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 website and the CCCMC platform, accepting supervision from stakeholders. 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 its due diligence work through this report and accepts public inquiries.

步骤六：适时提供条件或合作开展补救 — 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。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合作。公司建立了突发事件上报机制，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。

Step 6: Providing for or Cooperating in Remediation When Appropriate — 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, mitigates these impacts by providing conditions or cooperating in remediation. 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 supply chain operations, and 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. The Company has established an emergency incident reporting mechanism. In the event of major risk incidents such as armed conflict financing, major human rights violations, or money laundering, the Company will immediately report to CCCMC and activate the emergency plan.

五、人权保护

V. Human Rights Protection

公司在锡矿产供应链运营中重点识别和管理以下人权相关风险，并制定了明确的风险缓解策略：

In its tin mineral supply chain operations, the Company prioritizes the identification and management of the following human rights related risks and has formulated clear risk mitigation strategies:

严重侵权行为：公司不容忍任何形式的酷刑、强迫或强制劳动、最恶劣形式的童工，以及其他严重侵犯人权行为。公司在《锡供应链尽责管理政策》中明确将童工、强迫劳动列为零容忍事项。公司办公室制定了童工预防和补救程序、强迫劳动预防和补救程序，确保公司自身运营及供应链中不存在相关侵权行为。报告期内，公司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 Abuses: The Company does not tolerate any form of torture, forced or compulsory labour, the worst forms of child labour, or other serious human rights violations. The Company explicitly lists child labour and forced labour as zero-tolerance matters in the Tin Supply Chain Due Diligence Policy. The Company Office has formulated child labour prevention and remediation procedures, and forced labour prevention and remediation procedures, to ensure that there are no related violations in the Company's own operations and supply chain. During the reporting period, the Company found no clear evidence proving that suppliers have serious human rights abuses such as child labour, forced labour, gender discrimination, sexual violence, excess working hours, etc., assessed as low risk.

武装团体及安全武装：公司不会通过矿产开采、运输、贸易、处理或出口为非国家武装团体提供直接或间接支持。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。对于与公共或私人安全武装的合作，公司要求其遵循国际公认标准，保障人权及矿工、设施安全。人事部负责制定安保人员职业操守规范，确保公司安保人员行为符合人权保护要求，报告期内未发现安保人员人权侵害记录。

Armed Groups and Security Forces: The Company will not provide direct or indirect support to non-state armed groups through mineral extraction, transport, trade, processing or export. The desktop assessment for the supplier in Myanmar shows that the mining area and transport routes are not in active areas of non-state armed groups, and no evidence of non-state armed group control, taxation, or extortion was found, assessed as low risk. For cooperation with public or private security forces, the Company requires them to follow internationally recognized standards to protect human rights and the safety of miners and facilities. The Human Resources Department is responsible for formulating the code of professional conduct for security personnel to ensure that the conduct of the Company's security personnel complies with human rights protection requirements. During the reporting period, no records of human rights abuses by security personnel were found.

申诉与补救：公司设立匿名举报邮箱、线下投递渠道及供应商专属沟通渠道，为内部员工、供应商、社区等提供举报渠道；发现造成或助长不利影响的，公司通过申诉机制受理处理、与供应商协商补救方案，并参与行业集中补救机制。公司制定了《补救识别过程控制程序》，报告期内未识别到需要补救的情形。

Grievance and Remedy: The Company has established anonymous reporting email, offline submission channels and exclusive communication channels for suppliers, providing reporting channels for internal employees, suppliers, communities, etc.; when it is found that adverse impacts have been caused or contributed to, the Company handles them through the grievance mechanism, negotiates remediation plans with suppliers, and participates in industry centralized remediation mechanisms. The Company has formulated the Remediation Identification Process Control Procedure. During the reporting period, no situations requiring remediation were identified.

六、环境保护

VI. Environmental Protection

公司致力于将环境保护理念贯穿于锡矿原料采购、冶炼加工、产品仓储及发运全流程，严格遵守国家及地方环境保护法律法规，执行《锡、锑、汞工业污染物排放标准》（GB30770-2014）及《锅炉大气污染物排放标准》（GB13271-2014），推动清洁生产和资源节约利用。

The Company is committed to integrating environmental protection principles throughout the entire process of tin ore raw material procurement, smelting processing, product storage and shipping, strictly complying with national and local environmental protection laws and regulations, implementing the Emission Standard for Pollutants from Tin, Antimony and Mercury Industry (GB30770-2014) and the Emission Standard for Air Pollutants from Boilers (GB13271-2014), and promoting clean production and resource conservation and utilization.

环境管理体系：公司已通过ISO 14001环境管理体系认证，将环境管理要求系统化融入采购、生产、冶炼等各环节，并结合认证要求持续完善内部环保管理制度。安全环保部负责统筹推进环境管理工作，确保各项环保设施正常运行，污染物达标排放。公司建设有污水处理站、废气处理设施、固废暂存场等环保基础设施，生活污水经收集后引入本厂污水处理站处理后回用于生产不外排，工业污水经管道收集后进入循环水池循环使用不外排。

Environmental Management System: The Company has obtained ISO 14001 Environmental Management System certification, systematically integrating environmental management requirements into procurement, production, smelting and other links, and continuously improving internal environmental management systems in conjunction with certification requirements. The Safety & Environmental Protection Department is responsible for coordinating and advancing environmental management work, ensuring the normal operation of various environmental protection facilities and that pollutants are discharged up to standard. The Company has built environmental protection infrastructure including sewage treatment stations, waste gas treatment facilities, and solid waste temporary storage sites. Domestic sewage is collected and introduced into the Company's sewage treatment station for treatment and then reused for production without discharge; industrial sewage is collected through pipelines and enters the circulating water pool for recycling without discharge.

含砷物料处理与生态环境督察整改：公司积极配合第二轮省级生态环境保护督察整改工作，针对含砷物料贮存和处置问题，制定了专项整改方案。报告期内，公司已安全转移含砷物料46090吨，严格执行危险废物转移联单制度（共815批次），确保含砷物料得到合规处置。同时，公司实施个旧市含砷物料处理与利用技术研发实验项目，依托项目探索含砷脱硫石膏处理与利用技术路径，推动含砷废物的资源化利用。

Arsenic-Containing Material Treatment and Ecological Environmental Inspection Rectification: The Company actively cooperates with the rectification work of the second round of provincial ecological environmental protection inspections, and has formulated a special rectification plan for the storage and disposal of arsenic-containing materials. During the reporting period, the Company has safely transferred 46,090 tonnes of arsenic-containing materials, strictly implementing the hazardous waste transfer manifest system (815 batches in total), ensuring that arsenic-containing materials are disposed of in compliance. Meanwhile, the Company implemented the Gejiu City arsenic-containing material treatment and utilization technology R&D experimental project, relying on the project to explore the technical path for the treatment and utilization of arsenic-containing desulfurization gypsum, and promoting the resource utilization of arsenic-containing waste.

长江经济带警示片问题整改销号：针对国家长江经济带生态环境警示片披露的个旧市火谷都片区污染问题，公司积极落实整改措施。公司生活污水经收集后引入污水处理站处理后回用于生产不外排，工业污水经管道收集后进入循环水池循环使用不外排。公司配合完成火谷都片区遗留固体废物的清理和处置工作，整改任务已通过云南省生态环境厅销号验收。

Rectification and Cancellation of Issues Disclosed in the Yangtze River Economic Belt Warning Film: In response to the pollution problem in the Huogudu area of Gejiu City disclosed in the National Yangtze River Economic Belt Ecological Environment Warning Film, the Company actively implemented rectification measures. The Company's domestic sewage is collected and introduced into the sewage treatment station for treatment and then reused for production without discharge; industrial sewage is collected through pipelines and enters the circulating water pool for recycling without discharge. The Company cooperated in completing the cleanup and disposal of legacy solid waste in the Huogudu area, and the rectification tasks have passed the cancellation acceptance by the Yunnan Provincial Department of Ecology and Environment.

清洁生产与资源综合利用：公司具备炼前处理、粗炼、精炼、炼渣和环保等五大工业系统，在锡冶炼过程中注重资源综合利用，从冶炼废渣中回收铅、砷等有价金属，提高资源利用率。公司被列入个旧市强制性清洁生产审核企业名单，定期开展清洁生产审核，持续改进生产工艺，降低能耗和污染物排放。公司承诺在下一报告期内持续完善环境数据统计体系，建立能耗、水耗、污染物排放等关键环境绩效指标的常态化统计与披露机制。

Clean Production and Comprehensive Resource Utilization: The Company has five major industrial systems: pre-smelting treatment, rough smelting, refining, slag treatment and environmental protection. In the tin smelting process, the Company pays attention to comprehensive resource utilization, recovering valuable metals such as lead and arsenic from smelting slag to improve resource utilization. The Company is included in the list of mandatory clean production audit enterprises in Gejiu City, regularly conducts clean production audits, continuously improves production processes, and reduces energy consumption and pollutant emissions. The Company commits to continuously improving its environmental data collection system in the next reporting period and establishing a normalized statistics and disclosure mechanism for key environmental performance indicators such as energy consumption, water consumption and pollutant emissions.

七、员工权益与发展

VII. Employee Rights and Development

公司秉持"以人为本"的用工理念，保障员工合法权益，为员工创造公平、包容、可持续发展的工作环境。公司现有员工约454人，随着生产经营稳定发展，员工队伍保持稳定。

The Company upholds a "people-oriented" employment philosophy, safeguarding employees' lawful rights and interests and creating a fair, inclusive and sustainable working environment for employees. The Company currently has about 454 employees, and the workforce remains stable as production and operation develop steadily.

平等就业与劳动合同：公司严格遵守《中华人民共和国劳动法》《中华人民共和国劳动合同法》等法律法规，与全体员工依法签订劳动合同，杜绝强迫劳动及使用童工。公司坚持平等就业原则，不因民族、种族、性别、宗教信仰、年龄等因素歧视员工，保障员工平等的就业机会和发展空间。公司优先招用本地员工，为个旧市及周边地区提供就业岗位。

Equal Employment and Labor Contracts: The Company strictly complies with the Labor Law of the People's Republic of China, the Labor Contract Law of the People's Republic of China and other laws and regulations, signs labor contracts with all employees in accordance with the law, and eliminates forced labour and child labour. The Company adheres to the principle of equal employment, does not discriminate against employees on the basis of ethnicity, race, gender, religious belief, age or other factors, and guarantees equal employment opportunities and development space for employees. The Company prioritizes recruiting local employees and provides employment opportunities for Gejiu City and surrounding areas.

培训与发展：公司重视员工能力建设，定期开展合规及专业技能培训。公司制定了年度培训计划，内容涵盖安全生产、操作规程、质量管理、环境保护、供应链尽责管理等方面。公司选派员工参加中国五矿化工进出口商会组织的供应链尽责管理培训，内部评估员卢浩然、孙建芬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。同时，公司针对锡冶炼、精炼、电解等生产工艺开展专项技术培训，提升员工专业技能水平。

Training and Development: The Company attaches importance to employee capacity building and regularly conducts compliance and professional skills training. The Company has formulated an annual training plan covering work safety, operating procedures, quality management, environmental protection, supply chain due diligence, etc. The Company selects employees to participate in supply chain due diligence training organized by CCCMC. Internal assessors Lu Haoran and Sun Jianfen have both 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. Meanwhile, the Company conducts special technical training on production processes such as tin smelting, refining and electrolysis to improve employees' professional skill levels.

员工沟通：公司通过申诉邮箱、线下投递渠道等听取员工诉求，保障员工申诉权利。公司建立了员工意见反馈机制，定期组织员工座谈会，了解员工在工作环境、职业发展、薪酬福利等方面的意见和建议，持续改进人力资源管理工作。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。

Employee Communication: The Company listens to employee feedback through grievance email, offline submission channels, etc., safeguarding employees' right to grievance. The Company has established an employee opinion feedback mechanism, regularly organizes employee symposiums to understand employees' opinions and suggestions on working environment, career development, compensation and benefits, and continuously improves human resource management. 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.

八、职业健康与安全生产

VIII. Occupational Health and Safety

安全生产是公司经营管理的重中之重。公司严格遵守《中华人民共和国安全生产法》《中华人民共和国职业病防治法》等法律法规，建立健全安全生产责任制，确保员工职业健康与生产安全。

Workplace safety is a top priority in the Company's operations and management. The Company strictly complies with the Work Safety Law of the People's Republic of China, the Law of the People's Republic of China on the Prevention and Treatment of Occupational Diseases and other laws and regulations, establishes and improves the work safety responsibility system, and ensures employee occupational health and production safety.

安全管理体系：公司已通过ISO 45001职业健康安全管理体系认证，安全环保部负责统筹推进安全生产管理工作，将体系要求落实到岗位职责、作业规程及日常检查之中。公司建立了从总经理到一线员工的全员安全生产责任制，明确各级管理人员和岗位人员的安全职责，定期开展安全绩效考核。公司被列入个旧市安全生产重点监管企业，接受应急管理部门的监督检查。

Safety Management System: The Company has obtained ISO 45001 Occupational Health and Safety Management System certification. The Safety & Environmental Protection Department is responsible for coordinating and advancing work safety management, implementing system requirements into job responsibilities, operating procedures and daily inspections. The Company has established a full-staff work safety responsibility system from the General Manager to frontline employees, clarifying the safety responsibilities of managers at all levels and post personnel, and regularly conducting safety performance assessments. The Company is included in the list of key work safety supervision enterprises in Gejiu City and accepts supervision and inspection from the emergency management department.

重大隐患整改：2025年，个旧市人民政府挂牌督办公司安全生产重大隐患：现场检查锡冶炼电炉压缩空气气包（整定压力0.6Mpa），安全阀校验合格证有效期为2025年6月，气包罐体压力表检定有效期为2025年7月13日，均已超过有效期（判定依据：《特种设备重大事故隐患判定准则》第4.3条）。公司高度重视，立即制定整改方案，拆除现场压缩空气气包，更换合格的安全阀和压力表，重新申请校验检定，整改工作已完成并通过验收。公司以此为鉴，全面排查特种设备安全隐患，建立特种设备定期校验检定台账，确保所有特种设备安全附件在有效期内。

Major Hidden Danger Rectification: In 2025, the People's Government of Gejiu City listed and supervised a major work safety hidden danger of the Company: on-site inspection of the tin smelting electric furnace compressed air gas drum (set pressure 0.6Mpa), the safety valve calibration certificate was valid until June 2025, and the gas drum pressure gauge verification was valid until July 13, 2025, both had expired (basis for determination: Article 4.3 of the Criteria for Determining Major Accident Hidden Dangers of Special Equipment). The Company attached great importance, immediately formulated a rectification plan, dismantled the on-site compressed air gas drum, replaced qualified safety valves and pressure gauges, reapplied for calibration and verification, and the rectification work has been completed and passed acceptance. Taking this as a warning, the Company comprehensively investigated special equipment safety hidden dangers, established a ledger for regular calibration and verification of special equipment, and ensured that all special equipment safety accessories are within the validity period.

危险化学品与特种设备安全管理：公司锡冶炼生产过程中涉及多种危险化学品和特种设备。公司严格执行危险化学品安全管理规定，建立危险化学品采购、储存、使用、废弃全流程管理制度，配备完善的安全防护设施和应急救援器材，定期开展危险化学品泄漏应急演练。公司建立特种设备安全技术档案，对锅炉、压力容器、压力管道、起重机械等特种设备实行定期检验和日常维护保养，确保特种设备安全运行。

Hazardous Chemicals and Special Equipment Safety Management: The Company's tin smelting production process involves a variety of hazardous chemicals and special equipment. The Company strictly implements hazardous chemicals safety management regulations, establishes a full-process management system for hazardous chemicals procurement, storage, use and disposal, is equipped with comprehensive safety protection facilities and emergency rescue equipment, and regularly conducts hazardous chemical leakage emergency drills. The Company establishes special equipment safety technical files, and implements regular inspection and daily maintenance for special equipment such as boilers, pressure vessels, pressure pipelines, and lifting machinery to ensure the safe operation of special equipment.

职业健康防护：公司关注员工职业健康，针对锡冶炼、精炼、电解等作业环境中的职业病危害因素（粉尘、噪声、高温、有毒气体等），建立职业健康监护制度，定期组织员工进行职业健康体检。公司为员工配备符合国家标准的劳动防护用品，包括防尘口罩、防毒面具、防烫服、护目镜、防护手套、安全帽等，并监督员工正确佩戴使用。生产车间配备通风除尘、有毒气体检测报警等设施，确保作业场所职业病危害因素浓度符合国家职业卫生标准。2023年安全执法检查曾发现电炉操作室未设置有毒气体检测报警仪等问题，公司已完成整改，在电炉操作室、配电室等区域安装有毒气体检测报警仪，完善闭路循环水冷元件进出口流量差监测报警装置。

Occupational Health Protection: The Company pays attention to employee occupational health, and has established an occupational health surveillance system for occupational disease hazard factors (dust, noise, high temperature, toxic gases, etc.) in working environments such as tin smelting, refining and electrolysis, and regularly organizes employees for occupational health examinations. The Company provides employees with labor protection articles that meet national standards, including dust masks, gas masks, heat-proof suits, goggles, protective gloves, safety helmets, etc., and supervises employees to wear and use them correctly. Production workshops are equipped with ventilation and dust removal, toxic gas detection and alarm facilities to ensure that the concentration of occupational disease hazard factors in workplaces meets national occupational health standards. In 2023, safety law enforcement inspections found issues such as the electric furnace operation room not being equipped with toxic gas detection alarms. The Company has completed rectification, installed toxic gas detection alarms in areas such as the electric furnace operation room and power distribution room, and improved the inlet and outlet flow difference monitoring and alarm device for closed-circuit circulating water cooling elements.

安全培训与应急管理：公司定期开展安全生产培训和三级安全教育，确保新员工上岗前完成厂级、车间级、班组级安全培训。公司制定了生产安全事故应急预案，涵盖火灾、爆炸、化学品泄漏、触电、高处坠落、特种设备事故等多种事故场景，定期组织应急演练，提升员工应急处置能力。报告期内公司未发生重大生产安全事故。

Safety Training and Emergency Management: The Company regularly conducts work safety training and three-level safety education, ensuring that new employees complete factory-level, workshop-level and team-level safety training before taking up their posts. The Company has formulated production safety accident emergency plans, covering various accident scenarios such as fire, explosion, chemical leakage, electric shock, falls from height, and special equipment accidents, and regularly organizes emergency drills to improve employees' emergency response capabilities. During the reporting period, no major production safety accidents occurred in the Company.

九、社区参与与公益

IX. Community Engagement and Public Welfare

公司积极履行属地社会责任，重视与所在社区的沟通互动，努力实现企业发展与地方社会经济协调发展。公司位于个旧市鸡街镇火谷都，作为当地锡冶炼骨干企业，始终注重与周边社区的和谐共处。

The Company actively fulfills its local social responsibilities, values communication and interaction with the communities in which it operates, and strives to achieve coordinated development between enterprise growth and local socio-economic development. Located in Huogudu, Jijie Town, Gejiu City, as a local key tin smelting enterprise, the Company always pays attention to harmonious coexistence with surrounding communities.

地方经济贡献：公司作为个旧市锡冶炼骨干企业，为地方经济发展作出了积极贡献。公司现有员工约454人，优先招用本地员工，带动周边配套服务业发展。公司严格依法纳税，按时足额缴纳各项税费，为地方财政收入贡献力量。公司锡产品出口创汇，产品通过伦敦金属交易所品牌注册，远销国际市场，提升了个旧"锡都"的国际知名度。

Local Economic Contribution: As a key tin smelting enterprise in Gejiu City, the Company has made positive contributions to local economic development. The Company currently has about 454 employees, prioritizes recruiting local employees, and drives the development of surrounding supporting service industries. The Company strictly pays taxes in accordance with the law, pays all taxes and fees in full and on time, and contributes to local fiscal revenue. The Company's tin products earn foreign exchange through exports, and the products are brand-registered by the London Metal Exchange and sold to international markets, enhancing the international reputation of Gejiu as the "Tin Capital".

社区沟通与参与：公司建立了与周边社区的常态化沟通机制，通过社区座谈会、信息公开等方式，及时向社区通报项目建设和生产运营情况，听取社区居民对环境保护、安全生产等方面的意见和建议。公司积极配合个旧市火谷都片区环境综合整治工作，落实污水循环不外排、固废合规处置等环保措施，改善片区环境质量。公司积极参与地方政府组织的各类社区活动，加强与社区居民的互动交流，营造和谐的企地关系。

Community Communication and Engagement: The Company has established a normalized communication mechanism with surrounding communities, and through community symposiums, information disclosure and other means, promptly informs the community of project construction and production operation status, and listens to community residents' opinions and suggestions on environmental protection, work safety and other aspects. The Company actively cooperates with the comprehensive environmental improvement work in the Huogudu area of Gejiu City, implements environmental protection measures such as sewage recycling without discharge and compliant solid waste disposal, and improves the environmental quality of the area. The Company actively participates in various community activities organized by local governments, strengthens interaction and communication with community residents, and creates harmonious enterprise-community relations.

公益慈善：公司关注社会公益事业，积极参与救灾助学、扶贫帮困等公益活动。公司在生产经营过程中注重带动地方就业，优先招用周边社区居民和脱贫户劳动力，助力乡村振兴。随着公司经营稳步发展，公司将逐步加大公益投入力度，结合锡冶炼行业特点，在环保科普、职业技能培训、困难群众帮扶等领域开展特色公益项目，为社会可持续发展贡献力量。

Public Welfare and Charity: The Company pays attention to social welfare causes and actively participates in public welfare activities such as disaster relief, student aid, poverty alleviation and assistance. In the process of production and operation, the Company pays attention to driving local employment, prioritizes recruiting residents from surrounding communities and labor from poverty-alleviated households, and contributes to rural revitalization. As the Company's operations develop steadily, it will gradually increase public welfare investment, and in light of the characteristics of the tin smelting industry, carry out characteristic public welfare projects in areas such as environmental protection science popularization, vocational skills training, and assistance to people in difficulty, contributing to sustainable social development.

十、商业道德与反腐败

X. Business Ethics and Anti-Corruption

公司坚持诚信经营，不提出、承诺、进行或索要任何贿赂，不为掩盖或伪造矿产原产地、虚报应缴税费而行贿。公司支持并采取措施消除因非法征税、勒索所得矿产引发的洗钱风险，将商业道德与反腐败要求融入供应链管理全过程。

The Company adheres to the principle of integrity in its operations, and will not offer, promise, give or demand any bribe, nor bribe any party in order to conceal or falsify mineral origin or underreport taxes and fees payable. The Company supports and takes measures to eliminate money laundering risks arising from minerals obtained through illegal taxation or extortion, and integrates business ethics and anti-corruption requirements into the entire supply chain management process.

反腐败政策与制度：公司将反腐败、反洗钱、反恐怖融资要求纳入《锡供应链尽责管理政策》，明确禁止员工及供应商在商业活动中进行任何形式的贿赂和腐败行为。公司办公室负责商业道德与反腐败制度建设，在供应商准入审查中开展实益所有人（UBO）核查和政治公众人物（PEP）筛查，从源头防范腐败和洗钱风险。报告期内，公司未发现行贿、腐败、洗钱、原产地失实陈述、税费逾期等问题，判定为低风险。

Anti-Corruption Policy and System: The Company incorporates anti-corruption, anti-money laundering and counter-terrorist financing requirements into the Tin Supply Chain Due Diligence Policy, explicitly prohibiting employees and suppliers from engaging in any form of bribery and corruption in business activities. The Company Office is responsible for business ethics and anti-corruption system construction, and conducts Ultimate Beneficial Owner (UBO) verification and Politically Exposed Person (PEP) screening in supplier admission review to prevent corruption and money laundering risks from the source. During the reporting period, the Company found no issues such as bribery, corruption, money laundering, origin misrepresentation, or overdue tax/fee payments, assessed as low risk.

税务合规与透明度：公司确保向政府支付所有与矿产开采、贸易、加工、出口相关的合法税收、费用和特许费，并根据所在国信息公开要求对相关支付进行披露。财务部负责税务合规管理，确保所有税费缴纳均有完整证明文件，金融交易通过正规银行渠道进行，并有完整的文件和审计轨迹。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。

Tax Compliance and Transparency: The Company ensures that all lawful taxes, fees and royalties relating to mineral extraction, trade, processing and export are paid to governments, and discloses related payments in accordance with the information disclosure requirements of the host country. The Finance Department is responsible for tax compliance management, ensuring that all tax payments have complete supporting documents, financial transactions are conducted through formal banking channels, and there are complete documents and audit trails. 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.

供应商廉洁管理：公司在全部采购合同中纳入负责任采购相关条款，包含反腐败、反洗钱要求及违约救济方式。公司与所有供应商签署《供应商行为守则》，将廉洁经营作为重要内容。对于存在腐败、洗钱等违规行为的供应商，公司实行零容忍，立即终止合作并按规定向主管部门上报。报告期内公司未发生商业腐败及洗钱相关违规事件。

Supplier Integrity Management: The Company incorporates responsible procurement related clauses into all procurement contracts, including anti-corruption and anti-money laundering requirements and breach remedies. The Company signs the Supplier Code of Conduct with all suppliers, taking integrity management as an important content. For suppliers with violations such as corruption and money laundering, the Company implements zero tolerance, immediately terminates cooperation and reports to the competent authorities in accordance with regulations. During the reporting period, no business corruption or money laundering related violations occurred in the Company.

十一、利益相关方沟通

XI. Stakeholder Engagement

公司重视与供应商、员工、社区、客户及行业组织等利益相关方的持续沟通，建立了多层次、多渠道的利益相关方沟通机制：

The Company values ongoing engagement with stakeholders including suppliers, employees, communities, customers and industry organizations, and has established a multi-level, multi-channel stakeholder engagement mechanism:

供应商参与：与供应商定期沟通风险管理要求、整改进展和能力建设需求。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。公司与所有供应商签署《供应商行为守则》，定期更新，通过KYS问卷开展尽职调查，协助供应商进行能力建设，提升其尽责管理绩效。

Supplier Engagement: Regular communication with suppliers on risk management expectations, corrective action progress and capacity building needs. 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 signs the Supplier Code of Conduct with all suppliers, updates it regularly, conducts due diligence through KYS questionnaires, assists suppliers in capacity building, and improves their due diligence performance.

员工参与：通过申诉邮箱、线下投递渠道为员工提供举报途径，定期组织员工座谈会听取意见建议，保障员工依法享有知情权、参与权、表达权和监督权。公司严禁对申诉人进行打击报复，确保员工沟通渠道畅通有效。

Employee Engagement: Providing employees with reporting channels through grievance email and offline submission channels, regularly organizing employee symposiums to listen to opinions and suggestions, and guaranteeing employees' statutory rights to information, participation, expression and supervision. The Company strictly prohibits retaliation against grievants, ensuring that employee communication channels are smooth and effective.

客户参与：公司销售部负责客户负责任采购/供应链尽责管理诉求的整理，及时响应客户对负责任采购、供应链溯源及ESG绩效的信息需求。公司"云山"牌锡锭通过伦敦金属交易所品牌注册，产品质量获得国际客户认可，公司与国内外客户保持密切沟通，持续提升供应链透明度和可追溯性，满足客户对负责任矿产供应链的期望。

Customer Engagement: The Company's Sales Department is responsible for organizing customer responsible sourcing / supply chain due diligence requests, and promptly responds to customers' information needs regarding responsible sourcing, supply chain traceability and ESG performance. The Company's "Yunshan" brand tin ingots are brand-registered by the London Metal Exchange, and product quality has gained recognition from international customers. The Company maintains close communication with domestic and foreign customers, continuously improving supply chain transparency and traceability to meet customers' expectations for responsible mineral supply chains.

社区参与：建立与周边社区的常态化沟通机制，通过社区座谈会、信息公开等方式听取社区意见，积极配合火谷都片区环境综合整治，改善片区环境质量。行业协作：公司已申请加入中国五矿化工进出口商会（CCCMC）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，分享最佳实践，合力提升国内锡矿产供应链尽责管理水平。

Community Engagement: Establishing a normalized communication mechanism with surrounding communities, listening to community opinions through community symposiums and information disclosure, actively cooperating with the comprehensive environmental improvement of the Huogudu area, and improving the environmental quality of the area. Industry Collaboration: The Company has applied to join the CCCMC centralized risk assessment mechanism, conducting joint risk identification and assessment through the industry platform, obtaining regional risk assessment results as an important basis for the Company's supply chain risk determination, sharing best practices, and jointly improving the level of due diligence management in China's tin mineral supply chain.

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。

The Company publicly discloses its due diligence work through this report and accepts public 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.

十二、透明度与信息披露

XII. Transparency and Disclosure

公司支持采掘业透明度原则，认识到信息公开在推动负责任矿产供应链中的重要性。公司主营业务为锡冶炼加工，通过供应商管理要求与合同义务推动上游供应链的透明度，要求供应商披露采矿许可证、环境许可证、所有权结构和税务合规状况等信息。

The Company supports the principles of extractive industry transparency and recognizes the importance of public disclosure in promoting responsible mineral supply chains. The Company's main business is tin smelting and processing, and it promotes upstream supply chain transparency through supplier management requirements and contractual obligations, requiring suppliers to disclose information such as mining licenses, environmental permits, ownership structures and tax compliance status.

供应商信息披露要求：供应商若要与公司开展合作，需按要求披露相关经营与法律资料，涵盖采矿许可证、环保许可、股权架构以及税务合规情况。公司在供应商准入审查中开展实益所有人（UBO）核查，公司及主要供应商的实际所有权信息均建立档案。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）。

Supplier Information Disclosure Requirements: For suppliers to cooperate with the Company, they are required to disclose relevant business and legal documents as required, covering mining licenses, environmental permits, equity structure and tax compliance status. The Company conducts Ultimate Beneficial Owner (UBO) verification in supplier admission review, and archives the actual ownership information of the Company and major suppliers. 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 major Hunan suppliers have been traced back to Xianghualing Tin Industry Co., Ltd. (mine).

产销监管链与可追溯性：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。安全环保部负责物料平衡核算及证明文件，确保投入产出比处于合理区间，实现全部物料流向可追溯。

Chain of Custody and Traceability: 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, supplier information, batch numbers, grade, weight and other information are 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. The Safety & Environmental Protection Department is responsible for material balance accounting and supporting documents, ensuring that the input-output ratio is within a reasonable range and that all material flows are traceable.

EITI支持与支付透明度：在适用采掘业透明度要求的司法管辖区，公司支持供应商遵守相关披露标准，并将EITI（采掘业透明度倡议）合规作为供应商评估中的积极因素。公司保存所有向供应商支付的记录，确保金融交易通过正规银行渠道进行，并有完整的文件和审计轨迹。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。

EITI Support and Payment Transparency: In jurisdictions where extractive industry transparency requirements apply, the Company supports supplier compliance with applicable disclosure standards and treats EITI (Extractive Industries Transparency Initiative) compliance as a positive factor in supplier assessment. The Company maintains records of all payments to suppliers, ensuring financial transactions are conducted through formal banking channels with complete documents and audit trails. 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, procurement volume and other information in the Supply Chain Traceability Map Information Form, improving supply chain transparency under the premise of protecting trade secrets.

报告公开承诺：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8月1日至次年7月31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。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。上年度（2024-2025年度）CCCMC评估结果为B级，评估报告摘要已在CCCMC官网公开。

Report Disclosure Commitment: The Company commits to preparing and releasing the supply chain due diligence progress report annually. The reporting period is from August 1 to July 31 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 website and the CCCMC platform, accepting supervision from stakeholders. The Company commits that after passing the CCCMC assessment, it will publicly release the summary assessment report and accept social supervision. The previous year (2024-2025) CCCMC assessment result was Grade B, and the summary of the assessment report has been published on the CCCMC official website.

十三、展望

XIII. Outlook

展望未来，个旧自立矿冶将继续秉持"质量是我们的生命，顾客是我们永恒的宗旨"的质量方针和"合规经营、诚信为本、尊重人权、保护环境"的经营理念，以锡产业高质量发展为契机，持续深化社会责任管理，推动企业与社会、环境的协调可持续发展。

Looking ahead, Gejiu Zili Mining & Smelting will continue to uphold the quality policy of "Quality is our life, customers are our eternal purpose" and the business philosophy of "compliant operation, integrity-based, respect for human rights, and environmental protection", seize the opportunity of high-quality development of the tin industry, continuously deepen social responsibility management, and promote coordinated and sustainable development between the enterprise, society and the environment.

在供应链尽责管理方面，公司将持续完善锡供应链尽职调查体系，针对缅甸供应商实地评估延迟的现存短板，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；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；继续执行原料结构调整措施，降低未评估矿山原料占比，增加回收料和副产品采购；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；探索与海外当地代理机构合作，辅助开展海外供应商尽调。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。

In terms of supply chain due diligence management, the Company will continuously improve the tin supply chain due diligence system. Addressing the existing shortcoming of delayed on-site assessment of the Myanmar supplier, the Company will continuously attempt to restore contact with the Myanmar supplier, striving to start the on-site assessment within 12 months; actively participate in CCCMC centralized risk assessment to obtain regional risk assessment results as a supplement; continue to implement raw material structure adjustment measures to reduce the proportion of raw materials from unassessed mines and increase purchases of recycled materials and by-products; update the list of high-risk countries quarterly to strengthen the ability to collect information on overseas suppliers; explore cooperation with overseas local agencies to assist in conducting overseas supplier due diligence. The Company will continuously revise internal due diligence operation guidelines and improve overseas supplier due diligence templates.

在环境保护方面，公司将持续完善ISO 14001环境管理体系运行，巩固第二轮省级生态环境保护督察整改成果，持续做好含砷物料合规处置和资源化利用技术研发，确保含砷废物得到安全有效处置。公司将加快建立能耗、水耗、污染物排放及碳排放等关键环境绩效指标的常态化统计与披露机制，持续推进清洁生产和节能减排，探索锡冶炼生产基地的绿色低碳转型路径。

In terms of environmental protection, the Company will continuously improve the operation of the ISO 14001 environmental management system, consolidate the rectification results of the second round of provincial ecological environmental protection inspections, continue to do a good job in the compliant disposal of arsenic-containing materials and the R&D of resource utilization technologies, and ensure that arsenic-containing waste is safely and effectively disposed of. The Company will accelerate the establishment of a normalized statistics and disclosure mechanism for key environmental performance indicators such as energy consumption, water consumption, pollutant emissions and carbon emissions, continuously promote clean production and energy conservation and emission reduction, and explore green and low-carbon transformation paths for tin smelting production bases.

在安全生产与职业健康方面，公司将深刻吸取特种设备安全附件超期未校验的教训，全面加强特种设备安全管理，建立特种设备定期校验检定台账和预警机制，确保所有特种设备安全附件在有效期内。公司将持续完善ISO 45001职业健康安全管理体系运行，加强有毒气体检测报警设施的维护管理，定期开展应急演练，提升员工安全意识和应急处置能力，确保安全生产形势持续稳定。

In terms of work safety and occupational health, the Company will learn a profound lesson from the expired calibration of special equipment safety accessories, comprehensively strengthen special equipment safety management, establish a ledger and early warning mechanism for regular calibration and verification of special equipment, and ensure that all special equipment safety accessories are within the validity period. The Company will continuously improve the operation of the ISO 45001 occupational health and safety management system, strengthen the maintenance and management of toxic gas detection and alarm facilities, regularly conduct emergency drills, improve employees' safety awareness and emergency response capabilities, and ensure the continued stability of the work safety situation.

在员工与社区方面，公司将随着生产经营稳定发展持续完善员工职业发展通道和薪酬福利体系，加大员工培训投入，打造高素质锡冶炼产业工人队伍。同时，公司将深化与属地社区的合作，积极参与公益事业，在环保科普、职业技能培训、困难群众帮扶等领域开展特色公益项目，为个旧市经济社会发展贡献更大力量。

In terms of employees and community, as production and operation develop steadily, the Company will continuously improve employee career development channels and compensation and benefits systems, increase investment in employee training, and build a high-quality tin smelting industrial workforce. Meanwhile, the Company will deepen cooperation with local communities, actively participate in public welfare causes, carry out characteristic public welfare projects in areas such as environmental protection science popularization, vocational skills training, and assistance to people in difficulty, and make greater contributions to the economic and social development of Gejiu City.

公司将一如既往地履行企业社会责任，为锡行业的可持续、负责任发展贡献力量。

The Company will continue to fulfill its corporate social responsibility as always, contributing to the sustainable and responsible development of the tin industry.

个旧市自立矿冶有限公司

供应链尽责管理联合办公室

2026年7月

Gejiu Zili Mining & Smelting Co., Ltd.

July 2026