2025年邦普循环负责任全球供应链尽责管理政策

邦普负责任全球供应链尽责管理政策

Brunp's Responsible Due Diligence Management Policy for Global Supply Chains

认识到在高风险区域从事矿产开采、交易、处理、出口存在可能形成重大负面影响的风险，并认识到我们有尊重人权、不对社会产生负面影响的义务，广东邦普循环科技有限公司（以下简称 “邦普”）承诺采纳并广泛传播中国五矿化工进出口商会（CCCMC）发布的《中国负责任矿产供应链尽责管理指南》（中国指南）和经济合作与发展组织（OECD）发布的《经济合作与发展组织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责管理指南，第三版》（OECD 指南）、《经合组织负责任商业行为尽职调查指南》、《经合组织跨国企业指南》、《欧盟电池和废电池法规》、《国际人权宪章》（包括《公民权利和政治权利国际公约》和《经济、社会及文化权利国际公约》）、《联合国工商业与人权指导原则》、《国际劳工组织关于跨国企业和社会政策的三方原则宣言》等相关政策要求，同时将镍、钴、锰、锂纳入负责任矿产管理范围。在邦普全球供应链中，我们将广泛传播本政策，并将其纳入供应商从高风险区域进行负责任采购的合同或协议条款中。

Recognizing the risks of significant negative impacts associated with mineral mining, trading, processing and export in high-risk areas, and our obligation to respect human rights and avoid adverse social impacts, Guangdong Brunp Recycling Technology Co., Ltd. (hereinafter referred to as "Brunp") undertakes to adopt and widely disseminate the relevant policy requirements including the Guidelines for Due Diligence Management of China's Responsible Mineral Supply Chains (China Guidelines) issued by the China Chamber of Commerce of Metals, Minerals & Chemicals Importers and Exporters (CCCMC), the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (3rd Edition) (OECD Guidelines), OECD Due Diligence Guidance for Responsible Business Conduct, OECD Guidelines for Multinational Enterprises, EU Battery and Waste Battery Regulation, International Bill of Human Rights (including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights), UN Guiding Principles on Business and Human Rights, and ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy issued by the Organisation for Economic Co-operation and Development (OECD). Meanwhile, nickel, cobalt, manganese and lithium are included in the scope of responsible mineral management. In Brunp's global supply chain, we will widely disseminate this Policy and incorporate it into the terms of contracts or agreements with suppliers for responsible procurement from high-risk areas.

本政策适用于广东邦普循环科技有限公司及其控股子公司（湖南邦普循环科技有限公司、宜昌邦普循环科技有限公司、宜昌邦普时代新能源有限公司、宜昌邦普宜化新材料有限公司、宁德邦普循环科技有限公司、屏南时代新材料技术有限公司等）及所有合作供应商。

This Policy applies to Guangdong Brunp Recycling Technology Co., Ltd. and its holding subsidiaries (Hunan Brunp Recycling Technology Co., Ltd., Yichang Brunp Recycling Technology Co., Ltd., Yichang Brunp Times New Energy Co., Ltd., Yichang Brunp Yihua New Material Co., Ltd., Ningde Brunp Recycling Technology Co., Ltd., Pingnan Times New Material Technology Co., Ltd., etc.) as well as all cooperative suppliers.

OECD 五步法管理要求（核心实施框架）

OECD Five-Step Due Diligence Requirements (Core Implementation Framework)

为系统落实负责任矿产供应链风险管控要求，邦普以 OECD 受冲突影响和高风险地区矿产尽责管理五步法为核心指引，构建覆盖镍、钴、锰、锂等关键电池原材料的全链条、全流程供应链尽责管理体系，联动各控股子公司、参股企业及全体合作供应商协同落地、严格执行，实现供应链风险可识别、可评估、可管控、可追溯，并与公司全品类风险管控机制深度衔接，形成闭环式负责任供应链管理运行机制。

To systematically implement the risk control requirements for responsible mineral supply chains, Brunp takes the OECD Five-Step Due Diligence for Minerals from Conflict-Affected and High-Risk Areas as the core guidance to build a full-chain and full-process supply chain due diligence management system covering key battery raw materials such as nickel, cobalt, manganese and lithium. We will link all holding subsidiaries, joint-stock enterprises and all cooperative suppliers for coordinated implementation and strict enforcement, to realize the identifiability, assessability, controllability and traceability of supply chain risks. This system will be deeply integrated with the company's full-category risk control mechanism to form a closed-loop operation mechanism for responsible supply chain management.

第一步：建立健全负责任供应链管理体系

Step 1: Establish and Improve a Responsible Supply Chain Management System

依据 OECD 尽责管理指南要求，搭建适配正极材料产业特性的负责任供应链管理制度、组织架构与运行流程，明确职责分工、管控标准与执行机制，确保供应链尽责管理工作规范化、体系化、常态化推进。

In accordance with the requirements of the OECD Due Diligence Guidance, we will build a responsible supply chain management system, organizational structure and operation process adapted to the characteristics of the cathode material industry, clarify the division of responsibilities, control standards and implementation mechanisms, and ensure the standardized, systematic and regular advancement of supply chain due diligence management work.

第二步：识别与评估供应链风险

Step 2: Identify and Assess Supply Chain Risks

聚焦矿产开采、贸易、加工、冶炼、材料制造等全链条环节，系统识别并评估受冲突影响、高风险地区、人权侵害、环境破坏、非法开采、强迫劳动等重大供应链风险，建立风险清单与分级评估机制，为精准管控提供依据。

Focusing on the entire chain of mineral mining, trading, processing, smelting and material manufacturing, we will systematically identify and assess major supply chain risks such as those from conflict-affected and high-risk areas, human rights violations, environmental damage, illegal mining and forced labor, establish a risk list and a hierarchical assessment mechanism to provide a basis for precise risk control.

第三步：制定并实施风险应对策略

Step 3: Develop and Implement Risk Response Strategies

针对已识别与评估的供应链重大风险，制定分级分类的风险减缓与处置方案，通过源头管控、过程监督、整改提升、合作优化等方式实施应对措施，持续降低并消除供应链潜在合规与伦理风险。

In response to the identified and assessed major supply chain risks, we will formulate hierarchical and classified risk mitigation and disposal plans, implement response measures through source control, process supervision, rectification and improvement, and cooperation optimization, to continuously reduce and eliminate potential compliance and ethical risks in the supply chain.

第四步：开展供应商尽责管理实践评估

Step 4: Conduct Evaluation on Suppliers' Due Diligence Practices

将负责任供应链要求嵌入供应商准入、审核、绩效评价与退出全生命周期管理，对上游矿产、冶炼、前驱体及材料等各层级供应商开展尽责管理实践审核与绩效评估，推动全链条供应商同步提升尽责管理水平。

We will embed the requirements of responsible supply chains into the whole life cycle management of supplier access, audit, performance evaluation and exit, conduct due diligence practice audits and performance evaluations on suppliers at all levels such as upstream mineral, smelting, precursor and material suppliers, and promote the synchronous improvement of due diligence management level of all suppliers in the entire chain.

第五步：负责任供应链尽责管理公开报告

Step 5: Publish Reports on Responsible Supply Chain Due Diligence Management

按照 OECD 及行业相关披露要求，定期公开公司负责任矿产供应链尽责管理工作进展、实践成效、风险管控情况与持续改进计划，主动接受利益相关方监督，提升供应链透明度与公信力。

In accordance with the relevant disclosure requirements of the OECD and the industry, we will regularly disclose the company's progress, practical results, risk control status and continuous improvement plans of due diligence management for responsible mineral supply chains, voluntarily accept the supervision of stakeholders, and improve the transparency and credibility of the supply chain.

核心风险管控要求

Core Risk Control Requirements

1. 与矿产开采、运输、或交易有关的严重侵权行为

1. Severe Infringements Related to Mineral Mining, Transportation or Trading

在高风险区域开展采购或经营活动时，我们既不会容忍也不会以任何方式获利、帮助、协助或便利任何一方实施以下行为：

When conducting procurement or business activities in high-risk areas, we will neither tolerate nor profit from, assist, facilitate or enable any party to commit the following acts in any way:

1. 最恶劣形式的童工（危害性工作是最恶劣形式童工中的一种）；

2. The worst forms of child labour (hazardous work is one of the worst forms of child labour);

3. 任何形式的酷刑、残暴、不人道和有辱人格的待遇；

4. Torture, cruel, inhuman or degrading treatment in any form;

5. 任何形式的强迫或强制劳动，即以惩罚相威胁，强迫或强制劳动是指以惩罚作为威胁榨取的任何个人的、并非该人自愿提供的劳动或服务；

6. Forced or compulsory labour in any form, i.e., labour or service extracted from any person under the threat of punishment and not voluntarily provided by the person;

7. 其他严重侵犯和践踏人权的行为，如普遍的性暴力行为；

8. Other serious violations and abuses of human rights, such as widespread sexual violence;

9. 战争罪、反人类罪、种族灭绝罪或其他严重违反国际人道法的行为。

10. War crimes, crimes against humanity, genocide or other serious violations of international humanitarian law.

风险管理：结合 OECD 五步法风险识别与应对要求，若有合理理由认为上游供应商正从实施上述严重侵权行为的任何一方进行采购或与该方有关联，我们将立即中止或中断与该上游供应商的合作。

Risk Management: In accordance with the risk identification and response requirements of the OECD Five-Step Due Diligence, if there are reasonable grounds to believe that an upstream supplier is procuring from or associated with any party that commits the above-mentioned severe infringements, we will immediately suspend or terminate cooperation with such upstream supplier.

2. 关于直接或间接支持非国家武装团体

2. Direct or Indirect Support to Non-State Armed Groups

我们不会容忍任何通过矿产开采、运输、交易、处理或出口为非国家武装团体提供直接或间接的支持。通过矿产开采、运输、交易、处理或出口为非国家武装团体提供 “直接或间接的支持” 包括且不限于从非国家武装团体或其关联方购买矿产，支付费用，或以其他方式为其提供后勤支援或设备等。这些武装团体或关联方：

We will not tolerate any direct or indirect support to non-state armed groups through mineral mining, transportation, trading, processing or export. "Direct or indirect support" to non-state armed groups through mineral mining, transportation, trading, processing or export includes but is not limited to purchasing minerals from non-state armed groups or their affiliates, paying fees, or providing logistical support or equipment to them in other ways. Such armed groups or their affiliates:

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

2. Illegally control mining areas, or otherwise exercise control over transportation routes, mineral resource trading locations, and upstream actors in the supply chain;

3. 在矿区入口、通往矿区沿线或矿产资源交易地非法征税或者勒索钱财或自然资源；

4. Illegally tax or extort money or natural resources at mining area entrances, along routes to mining areas or at mineral resource trading locations;

5. 对中间商、出口企业或国际贸易商非法征税或勒索。

6. Illegally tax or extort middlemen, export enterprises or international traders.

风险管理：依据五步法尽职调查与风险处置流程，若有理由认为上游供应商从向非国家武装团体提供直接或间接支持的任何一方进行采购或与之存在关系，我们将立即中止或中断与该供应商的合作。

Risk Management: In accordance with the due diligence and risk disposal process of the OECD Five-Step Due Diligence, if there are grounds to believe that an upstream supplier is procuring from or associated with any party that provides direct or indirect support to non-state armed groups, we will immediately suspend or terminate cooperation with such supplier.

3. 关于公共或私人安全武装

3. Public or Private Security Forces

1. 杜绝向非法控制矿区、运输路线以及供应链上游参与方，在矿区入口、通往矿区的沿线或矿产资源交易点非法征税、勒索钱财或矿产资源，或对中间商、出口企业或国际贸易商非法征税或勒索钱财的公共或私人安全武装提供直接或间接支持。

2. We will refuse to provide any direct or indirect support to public or private security forces that illegally control mining areas, transportation routes and upstream participants in the supply chain, illegally tax or extort money or mineral resources at mining area entrances, along routes to mining areas or at mineral resource trading points, or illegally tax or extort money from middlemen, export enterprises or international traders.

3. 我们认可，矿区及 / 或其周边地区以及 / 或运输道路沿线的公共或私人安全武装的作用仅是维护法治，包括保障人权、保护矿工、设备和设施安全、保护矿区或运输路线以使合法的开采和交易不受干扰。

4. We recognize that the role of public or private security forces in and/or around mining areas and/or along transportation routes is only to uphold the rule of law, including protecting human rights, safeguarding the safety of miners, equipment and facilities, and securing mining areas or transportation routes to ensure that legitimate mining and trading activities are not disrupted.

5. 若我们或供应链上任何企业与公共或私人安全武装签订合约，我们承诺或规定此类安全武装须符合国际认可标准；尤其是，我们将支持或采取措施运用筛查政策，确保已知实施过严重侵犯人权行为的个人或安全武装单位不被录用。

6. If we or any enterprise in the supply chain enter into contracts with public or private security forces, we undertake to require or stipulate that such security forces comply with internationally recognized standards; in particular, we will support or take measures to implement screening policies to ensure that individuals or security units known to have committed serious human rights violations are not hired.

7. 我们将支持或采取措施与中央或地方政府、国际组织和民间社会组织开展合作，共同为提高公共安全武装安保费用的透明度、相称性和问责性找到可行解决方案。

8. We will support or take measures to cooperate with central or local governments, international organizations and civil society organizations to jointly find feasible solutions to improve the transparency, proportionality and accountability of security costs of public security forces.

9. 我们将支持或采取措施与当地政府、国际组织和民间社会组织开展互动，避免或最大限度降低公共或私人安全武装驻扎在矿址给弱势群体（尤其是小作坊矿工）带来的负面影响，适用于供应链矿产来自小作坊或小规模采矿的场景。

10. We will support or take measures to interact with local governments, international organizations and civil society organizations to avoid or minimize the negative impacts of the stationing of public or private security forces at mining sites on vulnerable groups (especially artisanal miners), which applies to scenarios where minerals in the supply chain come from artisanal or small-scale mining.

风险管理：通过五步法风险监测与评估机制，若发现存在上述风险，将结合企业在供应链中的具体位置，立即与供应商和利益相关方共同制定、实施风险管理计划，遏制或降低相关风险；若风险管理计划实施六个月未奏效，将中止或中断与上游供应商的合作。

Risk Management: Through the risk monitoring and assessment mechanism of the OECD Five-Step Due Diligence, if the above-mentioned risks are identified, we will, based on the enterprise's specific position in the supply chain, immediately jointly develop and implement a risk management plan with suppliers and stakeholders to contain or reduce the relevant risks; if the risk management plan fails to take effect six months after implementation, we will suspend or terminate cooperation with the upstream supplier.

4. 关于行贿受贿及矿产原产地的欺诈性失实陈述

4. Bribery and Fraudulent Misrepresentation of Mineral Origin

我们不会直接或间接地提出、承诺、给予或索要任何贿赂，并且抵制索贿，不会为了掩盖或伪造矿产资源原产地、虚报矿产开采 / 交易 / 处理 / 运输 / 出口相关税收、费用和特许开采费而行贿，严格遵守相关国际反腐败标准和惯例。

We will not offer, promise, give or solicit any bribe directly or indirectly, and will resist solicitation of bribes. We will not offer bribes to conceal or forge the origin of mineral resources, or falsify taxes, fees and royalties related to mineral mining/trading/processing/transportation/export, and will strictly abide by relevant international anti-corruption standards and practices.

5. 关于洗钱

5. Money Laundering

若有理由认为，存在因开采、交易、处理、运输或出口高风险区域非法征税或勒索所得矿产而引发的洗钱风险，我们将支持或采取措施，为有效消除洗钱行为做出贡献。

If there are grounds to believe that there is a money laundering risk arising from the mining, trading, processing, transportation or export of minerals obtained from illegal taxation or extortion in high-risk areas, we will support or take measures to contribute to the effective elimination of money laundering activities.

6. 关于向政府支付的税收、费用及特许费

6. Taxes, Fees and Royalties Paid to Governments

我们将确保足额缴纳高风险区域矿石开采、交易、出口相关的合法税收、费用和特许费，并根据企业在供应链中的位置，参照《采掘行业透明度倡议》（EITI）等国际认可透明度标准，披露此类支付信息。

We will ensure the full payment of legal taxes, fees and royalties related to ore mining, trading and export in high-risk areas, and disclose such payment information in accordance with the enterprise's position in the supply chain and with reference to internationally recognized transparency standards such as the Extractive Industries Transparency Initiative (EITI).

风险管理：结合五步法全流程尽职调查与持续监测要求，我们承诺与供应商、政府机关、国际组织等相关方合作，在合理时间内采取有效措施防范或降低上述风险，跟踪绩效改善情况；若风险降低措施实施六个月未奏效，将中止或中断与上游供应商的合作。

Risk Management: In combination with the full-process due diligence and continuous monitoring requirements of the OECD Five-Step Due Diligence, we undertake to cooperate with suppliers, government agencies, international organizations and other relevant parties to take effective measures to prevent or reduce the above-mentioned risks within a reasonable time and track the performance improvement; if the risk reduction measures fail to take effect six months after implementation, we will suspend or terminate cooperation with the upstream supplier.

7. 关于职业健康与安全

7. Occupational Health and Safety

在高风险地区进行采购或生产时，我们不会获利于、协助、便利于任何为其直接和 / 或间接雇员和 / 或生产现场相关人员提供危及生命的职业健康与安全环境的一方，也不会从该方采购或与之关联。

When conducting procurement or production in high-risk areas, we will not profit from, assist or facilitate any party that provides a life-threatening occupational health and safety environment for its direct and/or indirect employees and/or personnel related to the production site, nor will we procure from or associate with such party.

风险管理：依据五步法风险识别与快速处置要求，若有合理理由认为上游供应商存在上述风险，将立即中止或中断与该供应商的合作。

Risk Management: In accordance with the risk identification and rapid disposal requirements of the OECD Five-Step Due Diligence, if there are reasonable grounds to believe that an upstream supplier has the above-mentioned risks, we will immediately suspend or terminate cooperation with such supplier.

8. 关于童工

8. Child Labour

在高风险区域开展采购或经营活动时，我们不会雇佣、获利于、协助或便利低于东道国法定最低工作年龄的儿童就业，也不会从相关方采购或与之关联；若东道国无相关法律法规规定，最低工作年龄为 16 岁。

When conducting procurement or business activities in high-risk areas, we will not employ, profit from, assist or facilitate the employment of children below the statutory minimum working age of the host country, nor will we procure from or associate with relevant parties; if there are no relevant laws and regulations in the host country, the minimum working age shall be 16 years old.

风险管理：通过五步法尽职调查排查相关风险，若有合理理由认为上游供应商存在雇佣童工或与雇佣童工的一方关联，将立即中止或中断与该供应商的合作。

Risk Management: Through the due diligence of the OECD Five-Step Due Diligence to identify relevant risks, if there are reasonable grounds to believe that an upstream supplier employs child labour or is associated with a party that employs child labour, we will immediately suspend or terminate cooperation with such supplier.

9. 社会和环境风险

9. Social and Environmental Risks

(a) 环境、气候、人类健康，考虑直接、诱发、间接和累积后果，包括：

(a) Environment, climate and human health, taking into account direct, induced, indirect and cumulative consequences, including:

(i) 空气，包括空气污染、温室气体排放；

(i) Air, including air pollution and greenhouse gas emissions;

(ii) 水体，包括海底和海洋环境，涵盖水污染、水消耗、水量（洪水或干旱）和水资源获取；

(ii) Water, including the seabed and marine environment, covering water pollution, water consumption, water quantity (floods or droughts) and access to water resources;

(iii) 土壤，包括土壤污染、水土流失、土地利用和土地退化；

(iii) Soil, including soil pollution, soil erosion, land use and land degradation;

(iv) 生物多样性，包括对自然栖息地、野生动物、植物和生态系统（含生态系统服务）的破坏；

(iv) Biodiversity, including damage to natural habitats, wild animals, plants and ecosystems (including ecosystem services);

(v) 危险物质；

(v) Hazardous substances;

(vi) 噪音和振动；

(vi) Noise and vibration;

(vii) 工厂安全；

(vii) Factory safety;

(viii) 能量消耗；

(viii) Energy consumption;

(ix) 废物和残留物。

(ix) Wastes and residues.

(b) 人权、工人权利和社会伙伴关系，包括：

(b) Human rights, workers' rights and social partnership, including:

(i) 工作中的健康和安全；

(i) Health and safety at work;

(ii) 童工；

(ii) Child labour;

(iii) 强制性劳役；

(iii) Forced labour;

(iv) 歧视；

(iv) Discrimination;

(v) 工会自由。

(v) Freedom of association.

(c) 社区生活，包括原住民的社区生活。

(c) Community life, including the community life of indigenous peoples.

风险管理：结合五步法风险评估与管控流程，若有合理理由认为上游供应商存在上述社会和环境风险，将立即中止或中断与该供应商的合作。

Risk Management: In combination with the risk assessment and control process of the OECD Five-Step Due Diligence, if there are reasonable grounds to believe that an upstream supplier has the above-mentioned social and environmental risks, we will immediately suspend or terminate cooperation with such supplier.

政策落地与持续改进

Policy Implementation and Continuous Improvement

公司将本着持续改进的原则，将本政策及 OECD 五步法管理要求融入公司管理体系及各相关部门职责，纳入与供应商的合同或协议之中。公司同时承诺，将加强同行业及有关利益相关方的沟通与合作，广泛传播该政策，依托五步法持续优化供应链尽责管理流程，不断提升公司的供应链尽责管理能力。

In accordance with the principle of continuous improvement, the company will integrate this Policy and the OECD Five-Step Due Diligence requirements into the company's management system and the responsibilities of all relevant departments, and incorporate them into contracts or agreements with suppliers. The company also undertakes to strengthen communication and cooperation with the same industry and relevant stakeholders, widely disseminate this Policy, continuously optimize the supply chain due diligence management process based on the Five-Step Due Diligence, and constantly improve the company's supply chain due diligence management capability.

生效日期：2026 年 2 月 25 日

Effective Date: February 25, 2026

邦普循环负责任全球供应链的尽责管理政策（中英文版）.docx