ASI CERTIFICATION PERFORMANCE STANDARD PRESENTED TO SHANGQIU YANGGUANG ALUMINIUM PRODUCT CO., LTD CERTIFICATE A S I CERTIFICATION A S I NUMBER STANDARD LEVEL ACCREDITED AUDITOR 1 13 PERFORMANCE FULL S T AN D A R D CERTIFICATION D N V G L ( V 2 2 0 1 7 ) DATE OF ISSUE DATE OF EXPIRY C ERTIFIED SINCE 18 JANUARY 2021 1 7 JANUARY 202 4 18 JANUARY 2021 AUTHORISED BY CERTIFICATION SCOPE Production and Sales Service of Aluminium and Aluminium Alloy Plate, Sheet, Strip and Related Management Activities. Aluminium Stewardship Initiative Ltd ACN 606 661 125, Australia [email protected] Validity of this Certificate is subject to continued conformance with the applicable ASI Standard and can be verified at www.aluminium-stewardship.org SUMMARY AUDIT REPORT PERFORMANCE STANDARD OVERVIEW MEMBER NAME Shangqiu Yangguang Aluminium Product Co., Ltd. ENTITY NAME Shangqiu Yangguang Aluminium Product Co., Ltd. CERTIFICATION Production and Sales Service of Aluminium and Aluminium Alloy Plate, SCOPE Sheet, Strip and Related Management Activities. SUPPLY CHAIN Casthouses ACTIVITIES Material Conversion (Production and Transformation) ASI STANDARD Performance Standard V2 A U D I T T Y P E Certification Audit A U D I T F I R M DNV GL A U D I T D A T E 19 – 20 October 2020 AUDIT REPORT 22 December 2020 SUBMISSION AUDIT SCOPE Shangqiu Yangguang Aluminium Product Co., Ltd. is located at No. 1, Xinfeng Road, LiZhuang Town, Liangyuan District, Shangqiu City, Henan Province, China. The main products include Aluminium and Aluminium Alloy Plate, Sheet and Strip. Main production processes include casting, cold rolling, annealing and packing. Supply chain activities included in the Audit Scope: Casthouses Material Conversion (Production and Transformation) All relevant Criteria in the ASI Performance Standard were included in the Audit Scope. A U D I T Certification OUTCOME A U D I T The Auditors confirm that: METHODOLOGY DECLARATION The information provided by the Entity is true and accurate to the best knowledge of the Auditor(s) preparing this report. The findings are based on verified Objective Evidence relevant to the time period for the Audit, traceable and unambiguous. The Audit Scope and audit methodology are sufficient to establish confidence that the findings are indicative of the performance of the Entity’s defined Certification Scope. The Auditor(s) have acted in a manner deemed ethical, truthful, accurate professional, independent and objective. CERTIFICATION 18 January 2021 – 17 January 2024 PERIOD NEXT AUDIT Surveillance Audit TYPE NEXT AUDIT 17 July 2022 D U E DATE CERTIFICA TE 113 NUMBER SUMMARY OF FINDINGS CRITERION RATING COMMENT PRINCIPLE 1 BUSINESS INTEGRITY 1.1 Legal Compliance Conformance The Entity has developed and implemented policies, systems, procedures and processes to maintain awareness of and ensure compliance with applicable law. The Entity holds a valid ISO 14001:2015 certificate and OHSAS 18001:2007 certificate. 1.2 Anti-Corruption Conformance Policies and processes such as the Management Procedure of Anti-Corruption to identify and prevent corruption are developed and implemented. And personnel trained in these processes has been verified through training records. The Entity works against corruption in all its forms, including extortion and bribery, consistent with applicable law and prevailing standards. The Entity also has a Policy for Labour and Business Ethics that can be found via the following link: https://mp.weixin.qq.com/s/PpkdGbrHKvy07SlYY9my sw. 1.3 Code of Conduct Conformance The Entity has implemented a Code of Conduct including principles related to environmental, social and governance performance. The Entity implemented adequate measures, including training, communication to raise awareness of the code among business partners and suppliers. The relevant information is available for all interested stakeholders via following link: https://mp.weixin.qq.com/s/6yiuYOiE5G3UzamVZ2G wbQ. PRINCIPLE 2 POLICY & MANAGEMENT 2.1a Environmental, Social, and Conformance The management policies are consistent with the Governance Policy (implement and environmental, social, and governance practices. All maintain) policies are available via the following link: https://mp.weixin.qq.com/s/PpkdGbrHKvy07SlYY9my sw. 2.1b Environmental, Social, and Conformance Senior management demonstrate commitment to the Governance Policy (senior implemented policies. And the policies and management) procedures are reviewed and updated on a regular basis. The Entity holds valid ISO 9001, ISO14001 and ISO45001 certificates. 2.1c Environmental, Social, and Conformance The policies are available for internal and external Governance Policy stakeholders by training, post on-site and publishing (communication) on website. The policies can be found via the following link: CRITERION RATING COMMENT https://mp.weixin.qq.com/s/PpkdGbrHKvy07SlYY9my sw. 2.2 Leadership Conformance The Entity has nominated a senior Management Representative as having overall responsibility and authority for ensuring conformance with the requirements of this Standard. 2.3a Environmental and Social Conformance The Entity has an Environmental Management Management Systems System in place and holds a valid ISO 14001:2015 (environmental) certificate. 2.3b Environmental and Social Conformance The Entity has documented and implemented a Management Systems (social) Social Management System and holds a valid OHSAS 18001:2007 certificate. The main social, occupational health and safety impacts are identified and assessed, the associated management provisions for preventing and/or mitigating these impacts are established and implemented. 2.4 Responsible Sourcing Conformance The Entity has developed and implemented policies, systems, procedures and processes that conform to the responsible sourcing requirements. The Entity conducts second party due diligence audits at major next tier suppliers’ sites to qualify them. The procurement team and relevant personnel are trained on an annual basis on responsible sourcing requirements. 2.5 Impact Assessments Conformance The Entity has procedures and systems in place to conduct environmental, social, cultural and Human Rights Impact Assessments, including a gender analysis, for new projects or major changes to existing facilities. The Entity clearly demonstrates a proactive and inclusive approach with key stakeholders both internally and externally when facing major changes and projects. 2.6 Emergency Response Plan Conformance The Entity holds a valid ISO 14001:2015 certificate and OHSAS 18001:2007 certificate. Emergency Response Plans are developed and implemented, Personnel training and drill records were verified during the audit. 2.7 Mergers and Acquisitions Conformance A procedure is established for mergers and acquisitions, but no such activity has happened since the site started the operation in 2008. CRITERION RATING COMMENT 2.8 Closure, Decommissioning and Conformance A procedure for closure, decommissioning and Divestment divestment has been established in accordance to the requirement of ASI Performance Standard. But no such case has happened since its operation in 2008. PRINCIPLE 3 TRANSPAR ENCY 3.1 Sustainability Reporting Conformance The Entity publicly discloses its governance approach and its material environmental, social and economic impacts. Disclosures can be found as follows: 2019 Sustainability Report: https://mp.weixin.qq.com/s/rUtHLChANfdArR4PJ6CJ 6w. 3.2 Non-compliance and liabilities Conformance The Entity publicly disclose information on significant fines, judgments, penalties and non-monetary sanctions for failure to comply with Applicable Law. There are no significant fines or penalties imposed on the Entity as reported in 2019 sustainability report. Disclosures can be found via the following link: https://mp.weixin.qq.com/s/rUtHLChANfdArR4PJ6CJ 6w. 3.3a Payments to governments Conformance The Entity only makes, or has made on its behalf, (legal and contractual) payments to governments on a legal and/or contractual basis. Payments to governments are transparently reported in their 2019 Annual Financial Audit Report. 3.3b Payments to governments Not Applicable This Criterion is not applicable to the Entity’s (disclosure – bauxite mining) Certification Scope. 3.4 Stakeholder complaints, Conformance An Internal and external Whistle grievances and requests for blowing/Complaint/Grievance mechanism exists (e.g. information whistle blower hotlines, mail address, suggestion box). PRINCIPLE 4 MATERIAL STEWARDSHIP 4.1a Environmental Life Cycle Conformance The environmental life cycle assessment (LCA) is Assessment (life cycle impacts) conducted and documented. The assessment covers all products. The LCA is a cradle-to-gate one, the impact of the various production stages and of end- of-life recycling is assessed. The assessment is conducted in the format defined by the site, not follow ISO standard. The Environmental Life Cycle Assessment Report is published on the website of the Entity. https://mp.weixin.qq.com/s/PImUqxf6HVRNHhk1VyF F-g. CRITERION RATING COMMENT 4.1b Environmental Life Cycle Conformance The Entity has provided adequate cradle-to-gate Life Assessment (cradle to gate) Cycle Assessment (LCA) information on its aluminium product covering all production processes and main supporting activities, such as transportation, rolling oil recycling and waste disposition. The Environmental Life Cycle Assessment Report can be provided by external communication if required. Per interview and document review,