深圳市眾恒隆實(shí)業(yè)有限公司
2022年度供應(yīng)鏈盡職管理合規(guī)報(bào)告
ShenzhenZhonghenglong Industrial Co., Ltd
2022 Supply ChainDue Diligence Management Compliance Report
公司名稱：深圳市眾恒隆實(shí)業(yè)有限公司
Company name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：廣東省深圳市龍華區(qū)民康路112號(hào)1970科技小鎮(zhèn)1棟401
Company address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
工廠地址：廣東省東莞市鳳崗鎮(zhèn)五聯(lián)村碧湖大道雨湖路9號(hào)
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
辦事處：深圳市羅湖區(qū)水貝二路特力珠寶大廈A座8樓
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年終報(bào)告：2022年度供應(yīng)鏈盡職管理合規(guī)報(bào)告
Year-end report: 2022 Supply Chain Due Diligence Management Compliance Report
報(bào)告日期：2023年2月22日
Reporting date: February 22, 2023
報(bào)告負(fù)責(zé)人：曹?。ü靖笨偨?jīng)理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
網(wǎng)址：www.kliyawanblong.com
Website: www.kliyawanblong.com
聯(lián)系電話：0755-29500999
Tel: 0755-29500999
一、公司概況
I. Company profile
深圳市眾恒隆實(shí)業(yè)有限公司（簡稱公司），地處廣東省深圳市。公司1997年03月18日成立，存續(xù)至今，獨(dú)立法人企業(yè)，依托我國礦物加工工藝技術(shù)的優(yōu)勢，采用先進(jìn)的工藝設(shè)備和自動(dòng)化技術(shù)，有針對性的解決生產(chǎn)節(jié)能環(huán)保、礦產(chǎn)資源綜合回收、生產(chǎn)廢水零排放三大技術(shù)難題，形成黃金產(chǎn)業(yè)的循環(huán)經(jīng)濟(jì)發(fā)展模式，建設(shè)成為節(jié)能減排、低碳環(huán)保的綠色產(chǎn)業(yè)。
Shenzhen Zhonghenglong Industrial Co., Ltd (hereinafter referred to as the Company) is located in Shenzhen City, Guangdong Province. Founded on March 18, 1997, the Company has existed till now and is an independent corporate enterprise. Relying on advantages of mineral processing process and technology of China, the Company adopts advanced process equipment and automated technology to specifically solve three technical problems, namely production energy conservation and environmental protection, comprehensive recovery of mineral resources, zero discharge of production wastewater, thus forming the recycling economy development mode of gold industry and building energy-saving, emission-reduction, low-carbon and eco-friendly green industry.
深圳市眾恒隆實(shí)業(yè)有限公司是華南地區(qū)最大的貴金屬精煉企業(yè)，是上海黃金交易所標(biāo)準(zhǔn)金錠、標(biāo)準(zhǔn)金條、標(biāo)準(zhǔn)銀錠提供企業(yè)，高效的生產(chǎn)工藝,高品質(zhì)的貴金屬產(chǎn)品,以及環(huán)保和安全（已具備ISO/ICE17025、ISO9001、ISO14001資質(zhì)證書）的三廢處理系統(tǒng)的現(xiàn)代化國際標(biāo)準(zhǔn)的提純精煉企業(yè)?，F(xiàn)有年生產(chǎn)的銀 (Ag)200噸 、黃金 (Au)300噸、鉑金 (Pt)、 鈀金 (Pd)20噸以及處理各種貴金屬廢料 400 噸的生產(chǎn)設(shè)備和能力,而且各類產(chǎn)品均達(dá)到國家和行業(yè)規(guī)定的標(biāo)準(zhǔn);環(huán)保和廢水、廢氣的排放也達(dá)到國家法律規(guī)定的標(biāo)準(zhǔn)。
Shenzhen Zhonghenglong Industrial Co., Ltd is the largest precious metal refining enterprise in South China and the approved enterprise of standard gold ingots, standard gold bars and standard silver ingots of Shanghai Gold Exchange. With efficientproduction process, high-quality precious metal products, environmentally-friendly and safe three-waste treatment system, it is a purification and refinement enterprise following modern international standards( the Company has obtained ISO/ICE17025,ISO9001 and ISO14001 certificates). At present, it has production equipment and capacity to annually produce 200 tons of silvers (Ag), 300 tons of gold (Au), 20 tons of platinum (Pt) and palladium (Pd) and could process 400 tons of precious metal wastes. Besides, all products have reached national and industrial standards and environmental protection, waste water and waste gas discharge also reaches standards specified by national laws.
2019年當(dāng)選“廣東省黃金協(xié)會(huì)，副會(huì)長單位”“中國珠寶玉石首飾行業(yè)協(xié)會(huì)常務(wù)理事單位”。2020年獲得上海黃金交易所頒發(fā)的“最佳可提供標(biāo)準(zhǔn)金錠、銀錠企業(yè)”“最佳風(fēng)控會(huì)員”“綜合類年度優(yōu)秀會(huì)員”“最佳競價(jià)交易自營會(huì)員”。
In 2019, the Company was selected as “Vice-Chairman Unit of Gold Association of Guangdong Province” and “Standing Director of GEMS & Jewelry Trade Association of China”In 2020, the Company won titles of “Best Enterprise of Standard Gold Ingots and Silver Ingots”, “Best Risk Control Member”, “Comprehensive Annual Excellent Member”, “Best Self-Operated Competitive Price Transaction Member” awarded by Shanghai Gold Exchange.
二、供應(yīng)商情況概述
II. Condition overview of supplier
公司原料主要來源為從社會(huì)中回收的合質(zhì)金/銀(回收金和礦山金)，且均為國內(nèi)供應(yīng)商，沒有識(shí)別出與供應(yīng)商以及供應(yīng)鏈相關(guān)聯(lián)的零容忍風(fēng)險(xiǎn)和高風(fēng)險(xiǎn)。
Main sources of raw materials of the Company are gold/silveralloy purchased from societyand all suppliers are from China. No zero-tolerance and high risk have been identified from suppliers and supply chain.
三、合規(guī)情況概述
III. Overview of compliance conditions
公司對所有供應(yīng)商進(jìn)行盡職的供應(yīng)鏈調(diào)查，要求所有供應(yīng)商提供的原料來源合法、合規(guī)。
The Company has carried out supply chain investigation of due diligence for all suppliers and required that resources provided by all suppliers are legal and compliant.
第一步 建立強(qiáng)大的公司管理體系
Step 1: Establish strong company management systems
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第1步驟：建立強(qiáng)大的公司管理體系。
We have fully complied with Step 1: Establish strong company management systems.
公司嚴(yán)格遵守《LBMA負(fù)責(zé)任黃金指南》和《LBMA負(fù)責(zé)任白銀指南》，已經(jīng)建立了強(qiáng)大的管理體系，確保供應(yīng)鏈盡職調(diào)查工作全面落地。
The Company has strictly established strong management systems to ensure comprehensive implementation of supply chain due diligence work.
1、政策方面
1. Policy
公司2022年通過并發(fā)布了一項(xiàng)《黃金/白銀負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查政策》（以下簡稱“政策”），該政策符合《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版）中的規(guī)定，并擴(kuò)展至環(huán)境和可持續(xù)性責(zé)任，該政策已經(jīng)過合規(guī)總監(jiān)的審查和批復(fù)并在公司官網(wǎng)上進(jìn)行公布。政策網(wǎng)址鏈接：https://zhlsy.com/zygg/info_17_itemid_85.html
The Company has passed and introduced a supply chain responsible sourcing policy which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas(Version 3) with extension to environmental and sustainable responsibility. Such policy has been reviewed and approved by compliance director and published on the official website at https://zhlsy.com/zygg/info_17_itemid_85.html
公司已經(jīng)將該政策傳達(dá)給所有的黃金白銀的交易方以及內(nèi)部的各個(gè)職能部門，相關(guān)的傳達(dá)記錄均已保留并存檔。
The policy has been issued by the Company to all gold and silver trading parties and each internal functional department with relevant communication records retained and archived.
政策要求公司及其供應(yīng)商嚴(yán)格遵守國家關(guān)于職工權(quán)利、環(huán)境保護(hù)、公平交易等各項(xiàng)法律法規(guī)，積極參與供應(yīng)鏈盡職調(diào)查工作，確保礦產(chǎn)金/銀、再生金/銀來源符合要求，并作出承諾，拒絕來自侵犯人權(quán)、沖突地區(qū)、賄賂、洗錢、恐怖主義融資、非法開采、世界遺產(chǎn)遺址、采用汞開采等高風(fēng)險(xiǎn)地區(qū)的黃金、白銀。公司會(huì)每年定期的審查政策并按照要求進(jìn)行更新，特別是當(dāng)客戶要求或行業(yè)標(biāo)準(zhǔn)發(fā)生變化時(shí)。
According to policy requirements, the Company and its suppliers should strictly comply with various national laws and regulations on employee rights, environmental protection, fair dealing with active participation in supply chain due diligence to ensure that the sources of mineral gold/silver and renewable gold/silver meet the requirements. In addition, commitments need to be made to reject gold and silver from high-risk areas such as human rights violations, conflict zones, bribery, money laundering, terrorist financing, illegal mining, World Heritage sites as well as mercury mining. The Company should regularly review the policy annually and update it as required, especially when customer requirements or industry standards change.
2、管理架構(gòu)
2. Management structure
根據(jù)體系要求，公司已建立了內(nèi)部管理制度，按照出臺(tái)的政策對管理、作用、職責(zé)、內(nèi)部審計(jì)、溝通進(jìn)行界定、并開展盡職調(diào)查體系的年度管理評審。
According to the system requirements, the internal management system has been established in the Company to define management, roles, responsibilities, internal audit as well as communication in the light of the issued policies, and conductannual management reviews of the due diligence system.
公司已于2022年12月28日進(jìn)行了年度管理評審，并將管理評審結(jié)果匯報(bào)給了合規(guī)總監(jiān)。
The Company conducted an annual management review on December 28, 2022 with the results of the management review reported to the Compliance Director.
2.1規(guī)章制度方面
2.1 Rules and regulations
公司根據(jù)《LBMA負(fù)責(zé)任黃金指南第9版》和《LBMA負(fù)責(zé)任白銀指南》制訂了《LBMA負(fù)責(zé)任黃金白銀供應(yīng)鏈盡職調(diào)查管理程序》、《黃金/白銀負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查政策》、《供應(yīng)鏈風(fēng)險(xiǎn)減緩管理辦法》，主要明確供應(yīng)鏈盡職調(diào)查組織架構(gòu)、職責(zé)、高風(fēng)險(xiǎn)地區(qū)定義，制定高風(fēng)險(xiǎn)供應(yīng)鏈評估標(biāo)準(zhǔn)、調(diào)查處理程序、交易監(jiān)控、文件保存等內(nèi)容。上述制度通過合規(guī)總監(jiān)、董事會(huì)審批后已下發(fā)至公司各部門。
According to the 9th Edition of LBMA Responsible Gold Guidance and LBMA Responsible Silver Guidance, the Company formulated the Due Diligence Management Procedure for LBMA Responsible Gold and Silver Supply Chain, Due Diligence Policy for Gold/Silver Responsible Supply Chain, and Management Measures forSupply Chain Risk Mitigation, which were mainly for defining the organizational structure, responsibilities, and high-risk region definition of supply chain due diligence, and formulating high-risk supply chain evaluation standards,investigation and processing procedures, transaction monitoring, documents retention, etc. The above system has been approved by the Compliance Director and the Board of Directors and issued to all departments of the Company.
2.2職責(zé)與權(quán)限
2.2 Duties and authorities
公司設(shè)置合規(guī)總監(jiān)、合規(guī)風(fēng)控官以及合規(guī)專員。
The Company has set up Compliance Director, Compliance Risk Control Officer and Compliance Officer.
合規(guī)總監(jiān)負(fù)責(zé)建立健全供應(yīng)鏈盡職調(diào)查管理體系，監(jiān)督供應(yīng)鏈盡職調(diào)查流程，協(xié)調(diào)處理盡職調(diào)查中的異常情況。對外根據(jù)我司原料采購政策、生產(chǎn)、財(cái)務(wù)以及銷售等實(shí)際情況需要審批與供應(yīng)商合作合同的簽訂（包括是否與高風(fēng)險(xiǎn)供應(yīng)商合作），并負(fù)責(zé)對供應(yīng)商進(jìn)行盡職調(diào)查相關(guān)事宜。對內(nèi)根據(jù)LBMA負(fù)責(zé)任黃金／白銀指南文件，對相關(guān)員工進(jìn)行培訓(xùn)，使相關(guān)負(fù)責(zé)人明白自己在盡職調(diào)查政策實(shí)施中的職責(zé)。
It is the Compliance Director who takes charge of establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process as well as coordinating the handling of anomalies in due diligence. Externally, we need to approve the signing of cooperation contracts with suppliers (including whether to cooperate with high-risk suppliers) based on our raw material procurement policies, production, finance, and sales conditions with responsibility for conducting due diligence on suppliers. Internally, relevant employees should be trained in accordance with the LBMA Responsible Gold/Silver Guidance Document to enable relevant responsible persons to be aware of their responsibilities when thedue diligence policies are implemented.
合規(guī)風(fēng)控官由公司副總經(jīng)理擔(dān)任，協(xié)助總監(jiān)全面負(fù)責(zé)黃金／白銀供應(yīng)鏈盡職調(diào)查事務(wù)。負(fù)責(zé)制定并更新供應(yīng)鏈盡職調(diào)查政策、制度，高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)和執(zhí)行供應(yīng)鏈盡職調(diào)查措施，監(jiān)督、檢查各部門的落實(shí)情況并考核，匯報(bào)供應(yīng)鏈盡職調(diào)查中的異常情況，組織培訓(xùn)等工作。
The post of Compliance Risk Officer is held by the Company’s Deputy General Manager, assisting the Director with full responsibility for the due diligence of the gold/silver supply chain. Besides formulating and updating supply chain due diligence policies and systems, evaluating standards for high-risk supply chains and implementing supply chain due diligence measures are also needed to supervise and inspect the implementation of various departments with assessment, report for abnormalities in supply chain due diligence, and training organization.
合規(guī)專員由交割部、業(yè)務(wù)部、財(cái)務(wù)部、收發(fā)部、質(zhì)檢中心、精煉車間指派，負(fù)責(zé)嚴(yán)格執(zhí)行供應(yīng)鏈盡職調(diào)查措施，零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)，收集并保存足夠的供應(yīng)鏈證明文件。
The Compliance Officer is appointed by the Delivery Department, Business Department, Finance Department, Receiving and Distribution Department, Quality Inspection Center, and Refining Workshop with responsibility for strictly implementing supply chain due diligence measures, zero tolerance, and high-risk supply chain evaluation standards, and collecting and maintaining sufficient supply chain supporting documents.
公司制定了對合規(guī)人員的問責(zé)機(jī)制，要求相關(guān)專員定期向高級管理人員匯報(bào)供應(yīng)鏈盡職調(diào)查情況。通過監(jiān)督與檢查，確保了供應(yīng)鏈盡職調(diào)查工作得到有效的實(shí)施，規(guī)避高風(fēng)險(xiǎn)供應(yīng)鏈的交易。
The Company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report supply chain due diligence to senior management. Through supervision and inspection, the supply chain due diligence work has been effectively implemented to avoid high-risk supply chain transactions.
3、強(qiáng)有力的內(nèi)部追溯體系
3. Strong internal traceability system
公司建立了一套供應(yīng)鏈可追溯體系，收集和維護(hù)每一批產(chǎn)品的供應(yīng)鏈信息，為每一批產(chǎn)品分配編號(hào)。
In order to collect and maintain supply chain information for each batch of products and assign numbers to each batch of products, the Company has established a supply chain traceability system.
3.1供應(yīng)鏈可追溯體系
3.1 Supply chain traceability system
通過收集盡職調(diào)查問卷（KYC）并審查供應(yīng)商資質(zhì)、業(yè)務(wù)運(yùn)營、股東信息和物料來源等，供應(yīng)商資信調(diào)查通過后簽訂合同以及承諾書，承諾原料合法，符合LBMA負(fù)責(zé)任黃金/白銀采購政策；供應(yīng)商送的每一批來料，都有來料驗(yàn)收單，表明產(chǎn)品類型、熔前熔后重量等，驗(yàn)收人員和供應(yīng)商簽字確認(rèn)；熔煉取樣化驗(yàn)，最后形成標(biāo)準(zhǔn)金銀錠，分配編號(hào)，通過上海黃金交易所進(jìn)行交易。
After collecting a Due Diligence Questionnaire (KYC) and reviewing the suppliers’ qualifications, business operations, shareholder information, and material sources, the suppliers withthe credit investigation qualification signed a contract and letter of commitment, promising that the raw materials are legal and comply with procurement policy of LBMA responsible gold/silver. For each batch of incoming materials sent by the suppliers, an incoming material acceptance sheet should be provided, indicating the product type, weight before and after melting, etc., which was signed by the acceptance personnel and the suppliers for confirmation. After smelting, sampling and testing, standard gold and silver ingots are finally formed, assigned with a number, and traded through the Shanghai Gold Exchange.
公司對所有交易情況進(jìn)行監(jiān)督，確保交易與供應(yīng)鏈調(diào)查一致。使用在線黃金管理系統(tǒng)以及電子臺(tái)賬記錄黃金、白銀來料，確保物料可追溯。對于所有的原料入庫均保留完整的單據(jù)資料，對于入庫的金/銀料保存有入庫單、檢驗(yàn)單、財(cái)務(wù)憑證等。明確各個(gè)部門應(yīng)在日常工作中收集保存的資料，由業(yè)務(wù)部、檢測中心、財(cái)務(wù)部對相關(guān)單據(jù)進(jìn)行保存，并定期將相關(guān)資料送至檔案室進(jìn)行存檔，保存期限均高于5年。
The Company monitored all transactions to ensure that they are consistent with supply chain investigations. With an online gold management system and electronic ledger to record incoming gold and silver materials, traceability of materials was ensured. For all raw materials warehoused, complete documentation was maintained.For gold/silver materials warehoused, warehouse receipts, inspection sheets, and financial vouchers were maintained. The information that each department should collect and store in their daily work is needed to be specified. The business department, testing center, and finance department will store the relevant documents, and regularly send the relevant information to the archive room for archiving with the storage period of higher than 5 years.
3.2維護(hù)資料
3.2 Maintenance data
在業(yè)務(wù)開展中，供應(yīng)商身份證、身份驗(yàn)證資料、營業(yè)執(zhí)照、資質(zhì)驗(yàn)證資料、供應(yīng)商盡職調(diào)查表、每一批次的驗(yàn)收單、檢測單、結(jié)算單等相關(guān)記錄保存5年以上。
As business is carried out, relevant records should be kept for more than 5 years, such as supplier ID cards, identity verification materials, business licenses, qualification verification materials, supplier due diligence questionnaires, acceptance forms, testing forms, and settlement forms for each batch.
3.3培訓(xùn)
3.3 Training
公司將供應(yīng)鏈盡職調(diào)查管理培訓(xùn)、采掘業(yè)透明度倡議EITI原則及標(biāo)準(zhǔn)培訓(xùn)和反洗錢、反恐怖主義融資的培訓(xùn)納入公司年度培訓(xùn)計(jì)劃當(dāng)中，定期組織公司重點(diǎn)崗位以及合規(guī)專員進(jìn)行以上相關(guān)培訓(xùn)。我司合規(guī)部門于2022年已組織公司各相關(guān)部門人員進(jìn)行了四次培訓(xùn)，確保供應(yīng)鏈盡職調(diào)查管理工作落到實(shí)處，相應(yīng)的培訓(xùn)記錄均已存檔保留。
The Company incorporated supply chain due diligence management training, EITI principles and standards training for extractive industry transparency initiatives, and training on anti-money laundering and anti-terrorist financing into its annual training plan. In order to conduct the above related training, the Company implemented regular organizations for key positions and compliance officers of the Company. Our compliance department has organized four training sessions for personnel from relevant departments of the company in 2022 to ensure that supply chain due diligence management is implemented with corresponding training records archived and retained.
3.4通過官方銀行渠道收付款
3.4 Collection and payment through official bank channels
公司所有業(yè)務(wù)均通過官方銀行渠道收款和付款，沒有任何現(xiàn)金交易。全部由業(yè)務(wù)部門發(fā)起資金事項(xiàng)聯(lián)簽程序，通過公司基本戶所在的銀行網(wǎng)上付款，并打印銀行回單作為憑證附件保留。財(cái)務(wù)合規(guī)專員負(fù)責(zé)交易監(jiān)控工作，對不符或以任何形式疑似不符的交易背景進(jìn)行檢查，并報(bào)告合規(guī)總監(jiān)。2022年度沒有發(fā)現(xiàn)不符及任何形式不符的情況。
Through official banking channels, the Company received and paidfor all businesses without any cash transactions. The Business Department initiated the fund transaction countersigning process so that payments are finished online through the bank where the Company’s basic account is located. Moreover, the bank receipts are printed as an attachment to the voucher. With responsibility for transaction monitoring, the Financial Compliance Officer checked the background of transactions that are inconsistent or suspected to be inconsistent in any form as well as reported to the Compliance Director. In 2022, no discrepancies or any forms of discrepancies were found.
4、強(qiáng)化合作，協(xié)助黃金/白銀供應(yīng)交易方建立盡職調(diào)查能力
4. Strengthening for cooperation to assist gold/silver supply traders in establishing due diligence capabilities
公司鼓勵(lì)與供應(yīng)商建立基于信任和互認(rèn)的長期關(guān)系，特別是遵守《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》并擴(kuò)展至環(huán)境和可持續(xù)性責(zé)任的供應(yīng)商。
The Company encouraged long-term relationships based on trust and mutual recognition with suppliers, especially complying with the Due Diligence Guidelines of OECD for Responsible Supply Chains of Minerals from Conflict Affected and High Risk Regions, and expanding to suppliers with environmental and sustainability responsibilities.
公司將黃金、白銀供應(yīng)鏈的政策與要求、電子培訓(xùn)教材等通過電子郵件、短信、社交軟體等方式傳達(dá)給供應(yīng)商，提高供應(yīng)鏈交易方建立盡職調(diào)查能力。2022年對供應(yīng)商進(jìn)行了線上培訓(xùn)和經(jīng)驗(yàn)分享，以確保他們了解公司LBMA管理的要求和供應(yīng)鏈政策，協(xié)助供應(yīng)商更大程度地建立盡職調(diào)查能力。
For the sake of improving the capabilities of supply chain traders to establish due diligence, the Company communicated policies and requirements for gold and silver supply chains, electronic training materials, etc. to suppliers through email, SMS, social software, and other means. In 2022, online training and experience sharing were conducted for suppliers to ensure that they understand the Company’s LBMA management requirements and supply chain policies, and to assist suppliers in building due diligence capabilities to a greater extent.
公司2022年度簽約的所有供應(yīng)商均簽署了相關(guān)《承諾書》，承諾黃金、白銀來源合法合規(guī)，拒絕零容忍和高風(fēng)險(xiǎn)。公司與上游供應(yīng)嚴(yán)格遵守合同和法律的規(guī)定及EITI的相關(guān)原則，有助于上游供應(yīng)商更大程度的透明度的實(shí)現(xiàn)。
All suppliers contracted by the Company in 2022 have signed the relevant Letter of Commitment, promising that the source of gold and silver is legal and compliant with rejection for zero tolerance and high risk. The Company and upstream suppliers strictly abide by the provisions of contracts and laws and the relevant principles of EITI, contributing to achieve greater transparency for upstream suppliers.
5、建立申訴機(jī)制
5. Establishment of a complaint mechanism
公司利用官網(wǎng)平臺(tái)，公布電話和郵箱，允許員工和外部利益相關(guān)者表達(dá)對供應(yīng)鏈或任何新的識(shí)別風(fēng)險(xiǎn)的擔(dān)憂。公司已建立了完善的申訴機(jī)制并嚴(yán)格執(zhí)行，在整個(gè)申訴過程中保護(hù)員工隱私，對舉報(bào)人信息保密，杜絕任何行為的打擊報(bào)復(fù)。
Withthe official website platform to publish phone numbers and email addresses, the Company allows employees and external stakeholders to express concerns about the supply chain or any new identified risks. Having established a sound complaint mechanism, the Company implemented it to protect employee privacy throughout the complaint process in a strict manner and keep confidential for the informant’s information with prevent of retaliation for any behavior.
申訴渠道在官網(wǎng)公示：https://zhlsy.com/zygg/info_17_itemid_86.html
The complaint channel is accessible on the official website: https://zhlsy.com/zygg/info_17_itemid_86.html
截至2022年底申訴小組沒有收到內(nèi)部員工或供應(yīng)商的風(fēng)險(xiǎn)申訴信息。
By the end of 2022, the complaint team had not received any risk complaintinformation from internal employees or suppliers.
第二步 供應(yīng)鏈風(fēng)險(xiǎn)的識(shí)別與評估
Step 2: Identify and assess risk in the supply chain
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第2步驟：對供應(yīng)鏈中的風(fēng)險(xiǎn)進(jìn)行識(shí)別和評估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
公司制定了受沖突影響和高風(fēng)險(xiǎn)區(qū)域（CAHRA）定義流程與判定標(biāo)準(zhǔn)，并對識(shí)別出來的風(fēng)險(xiǎn)規(guī)定了處理程序，充分對供應(yīng)鏈中的風(fēng)險(xiǎn)進(jìn)行識(shí)別、評估和緩解。2022年度，公司主要從國內(nèi)供應(yīng)商采購當(dāng)?shù)亟疸y回收料和礦山料，根據(jù)受沖突影響和高風(fēng)險(xiǎn)區(qū)域的識(shí)別程序判定，中國未被識(shí)別為受沖突影響和高風(fēng)險(xiǎn)區(qū)域。截止到目前，均未識(shí)別出零容忍和高風(fēng)險(xiǎn)。
The Company formulated the conflict-affected and high-risk areas (CAHRA) definition process and judgment standards, and stipulated the processing procedures for the identified risks, fully identifying, evaluating and mitigating the risks of the supply chain. In 2022, the Company mainly purchased local gold and silver recycling materials and mining materials from domestic suppliers. According to the identification procedures for conflict-affected and high-risk areas, China has not been identified as a conflict-affected and high-risk area. Neither zero tolerance nor high risk has been identified so far.
1、識(shí)別供應(yīng)鏈風(fēng)險(xiǎn)
1. Identification of risks of supply chain
根據(jù)《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》，黃金/白銀冶煉公司應(yīng)識(shí)別相關(guān)風(fēng)險(xiǎn)包括密切關(guān)注來自侵犯人權(quán)、武裝沖突、非法開采、開采利用汞以及源于世界遺產(chǎn)遺址等地區(qū)的黃金和白銀，以及用于賄賂、洗錢、恐怖主義融資等行為的黃金/白銀。公司為每個(gè)供應(yīng)商建立供應(yīng)商檔案，根據(jù)風(fēng)險(xiǎn)狀況進(jìn)行了調(diào)查，在與其簽合同之前完成供應(yīng)商檔案的建立工作。
According to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-affected and High-risk Areas, gold/silver smelters should identify associated risks. For example, they should pay close attention to gold and silver originating from areas under circumstances such as human rights abuses, armed conflict, illegal mining, mining and utilization of mercury, as well as gold and silver mined from world heritage sites or those used for bribery, money laundering, terrorist financing, etc. The Company established supplier files for each supplier, conducted an investigation according to the risk level, and completed the establishment of the supplier file before signing a contract.
2、評估供應(yīng)鏈風(fēng)險(xiǎn)
2. Evaluation of risks of supply chain
2.1供應(yīng)鏈調(diào)查
2.1 Investigation of supply chain
公司通過以下措施對供應(yīng)鏈進(jìn)行盡職調(diào)查，并完成了盡職調(diào)查問卷：
By virtue of the following measures, the Company carried out due diligence on the supply chain, with due diligence questionnaire completed:
（1）資質(zhì)驗(yàn)證。對于所有供應(yīng)商均進(jìn)行供應(yīng)鏈的盡職管理調(diào)查，在進(jìn)行合作前要求合作方提供相應(yīng)的資質(zhì)證明文件，法人客戶提供營業(yè)執(zhí)照，個(gè)人客戶提供身份證復(fù)印件，礦山客戶還需要提供采礦許可證、環(huán)評認(rèn)證以及關(guān)注礦工佩戴勞保、健康安全交易、職業(yè)病體檢等。
(1) Qualification verification. Supply chain due diligence shall be carried out for all suppliers. Before cooperation, partners are required to provide corresponding qualification certificates. Legal person customers shall provide business licenses. Individual customers shall provide copies of ID cards, and mining customers also need to provide mining licenses, EIA certification with attention paid to miners wearing labor insurance, health and safety transactions and physical examination of occupational diseases, etc.
（2）建立供應(yīng)商檔案。對供應(yīng)商基本情況、股東信息、提供原料類型及產(chǎn)地、計(jì)劃精煉貴金屬類型、與其供應(yīng)商結(jié)算方式、供應(yīng)商概況等信息進(jìn)行詳細(xì)調(diào)查，并盡可能的將供應(yīng)鏈調(diào)查向供應(yīng)商的上游延伸，最終確定其風(fēng)險(xiǎn)等級，對于涉及高風(fēng)險(xiǎn)標(biāo)準(zhǔn)的供應(yīng)商終止合作。
(2) Creating supplier files. It is required to carry out detailed investigations on the basic situation of suppliers, shareholder information, types and origins of raw materials provided, types of precious metals planned to be refined, methods of settlement with suppliers, supplier profiles and other information. In addition, it is needed to extend the supply chain investigation to the upstream of suppliers as much as possible, finalizing its risk level and terminating cooperation with suppliers involving high risk criteria.
（3）建立來料登記簿。對供應(yīng)商當(dāng)批次來料的日期、重量、原料來源、主要上游供應(yīng)商進(jìn)行調(diào)查登記，判斷其來料風(fēng)險(xiǎn)等級。
(3) Creating register books for incoming materials. It is required to investigate and register the date, weight, source of raw materials, and major upstream suppliers of the supplier’s incoming batches of materials, judging the risk level of the incoming materials.
（4）建立供應(yīng)商年度調(diào)研報(bào)告工作流程。對除銀行之外的全年黃金、白銀來料量前三名進(jìn)行專項(xiàng)盡職調(diào)查，形成供應(yīng)商年度調(diào)查報(bào)告，內(nèi)容包括：供應(yīng)商概況、資質(zhì)信息、來料類型及所占比重、上游供應(yīng)商概況及名單、原料產(chǎn)地及品種、是否存在國外黃金、白銀等。
(4) Establishing annual survey report workflow of supplier. It is required to carry out special due diligence on the top three annual gold and silver incoming materials other than banks, and form annual supplier investigation reports, including: supplier profile, qualification information, incoming material type and proportion, upstream suppliers overview and list, origin and variety of raw materials, whether there is foreign gold and silver, etc.
（5）建立客戶專項(xiàng)調(diào)研報(bào)告工作流程。在走訪客戶時(shí)，對原料來源進(jìn)行追溯，向供應(yīng)商傳達(dá)盡職調(diào)查管理政策。
(5) Establishing customer-specific research report workflow. When visiting customers, it is required to trace the source of raw materials and convey the due diligence management policies to suppliers.
（6）對產(chǎn)品的去向進(jìn)行盡職調(diào)查。針對黃金、白銀銷售業(yè)務(wù)，對一次性購買黃金重量超過30公斤或累計(jì)購買超過100公斤的客戶，一次性購買白銀重量超過2000公斤或累計(jì)購買超過5000公斤的客戶，進(jìn)行產(chǎn)品去向盡職調(diào)查工作，充分發(fā)揮網(wǎng)絡(luò)作用，利用天眼查、中國審判信息網(wǎng)等網(wǎng)站對供應(yīng)商資質(zhì)情況、失信情況、訴訟情況、處罰情況進(jìn)行查詢，對涉及高風(fēng)險(xiǎn)行為的供應(yīng)商終止合作。
(6) Conducting due diligence on whereabouts of the products. With regard to gold-and-silver sales business, for customers who purchase more than 30 kilograms of gold at one time or purchase more than 100 kilograms in total, and customers who purchase over 2,000 kilograms of silver at a time or purchase more than 5,000 kilograms in total, it is required to conduct due diligence on the whereabouts of products, give full play to the role of network, use Tianyancha (a business data and investigation platform), China Judgment Information Website as well as other websites to inquire about supplier qualifications, dishonesty, litigation, and punishment, and terminate cooperation with suppliers involved in high-risk behaviors.
2.2 CAHRA的判定。公司制定了CHARA的定義流程。公司采用以下資源和標(biāo)準(zhǔn)判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
(1) 脆弱國家指數(shù)（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
(2) 全球沖突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
(3) 聯(lián)合國人類發(fā)展指數(shù)（UN Human Development Indicator）
(3) UN Human Development Indicator
(4) 多德-弗蘭克法案第 1502條列“指明國家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
(5) 歐盟根據(jù) 2017/821條例提供的CAHRA清單
(5) CAHRA List provided by the European Union under Regulation 2017/821
(6) 聯(lián)合國人權(quán)事務(wù)高級專員辦事處或同等機(jī)構(gòu)
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
(7) 金融行動(dòng)特別工作組 (FATF) 的報(bào)告(包括相關(guān)國家/地區(qū)報(bào)告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
(8) 關(guān)于高風(fēng)險(xiǎn)黃金中心/轉(zhuǎn)運(yùn)中心和高洗錢風(fēng)險(xiǎn)國家/地區(qū)的可靠市場情報(bào)
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
2.3 零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈
2.3 Zero tolerance and high-risk supply chains
根據(jù)LBMA和OECD相關(guān)規(guī)定，結(jié)合公司實(shí)際情況，特規(guī)定如下零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍風(fēng)險(xiǎn)：
Zero-tolerance risks:
（1）礦山金/銀來自被指定為世界遺產(chǎn)地的地區(qū)。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
（2）以違反國際制裁(包括但不吸納與聯(lián)合國、歐盟、英國和美國制裁)的方式采購礦山金/銀、再生金/銀。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
（3）礦山金/銀、再生金/銀的供應(yīng)對手方、其他已知的上游公司或其 UBO 是已知的洗錢者、欺詐者或恐怖分子，或曾嚴(yán)重侵犯人權(quán)，或直接或間接支持非法非國家武裝組織。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
礦山金的高風(fēng)險(xiǎn)標(biāo)準(zhǔn)：
High-risk criteria of mining gold:
? 高風(fēng)險(xiǎn)的位置
? High-risk locations
（1）黃金／白銀(含金／銀精礦)來自受沖突影響和高風(fēng)險(xiǎn)地區(qū) (CAHRA) 或曾在該等地區(qū)過境或通過該等地區(qū)運(yùn)輸。
(1) Gold/silver (containing gold/silver concentrate) originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（2）黃金／白銀(含金／銀精礦)據(jù)稱來自已知或合理懷疑來自 CAHRA 的黃金/白銀過境的國家/地。
(2) Gold/silver (containing gold/silver concentrate) purportedly originating from countries/regions known or reasonably suspected to be transited gold/silver from CAHRA.
（3）黃金／白銀(含金／銀精礦)據(jù)稱來自已知儲(chǔ)量、可能資源或預(yù)期產(chǎn)量有限的國家/地區(qū)。
(3) Gold/silver (containing gold/silver concentrate) purportedly originating from known countries/regions with limited reserves, possible resources or expected production.
? 高風(fēng)險(xiǎn)供應(yīng)商/交易方或其他已知上游公司：
? High risk suppliers/parties or other known upstream companies:
（1）具有符合基于位置高風(fēng)險(xiǎn)標(biāo)準(zhǔn)的股東或最終收益方或其他黃金白銀供應(yīng)權(quán)益
(1) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（2）具有身為政治人物最終收益方
(2) With the ultimate beneficiary as a politician
（3）從事高風(fēng)險(xiǎn)商業(yè)活動(dòng)(如軍火、賭博和娛樂業(yè)、古董和藝術(shù)、教派及其領(lǐng)袖)
(3) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and as their leaders)
（4）已知在過去12 個(gè)月曾從高風(fēng)險(xiǎn)國家/地區(qū)采購黃金/白銀
(4) Known to have purchased gold/silver from high-risk countries in the past 12 months
（5）提供的文件有重大差異/不一致，或拒絕提供所要求的文件。
(5) With substantial discrepancies/inconsistencies in the documents provided, or refusal to provide the requested documents.
? 高風(fēng)險(xiǎn)物料：
? High-risk materials:
（1）采購自ASM
(1) Purchased from ASM
（2）使用汞生產(chǎn)
(2) Produced with mercury
（3）造成災(zāi)難性傷害或高度不利的ESG 因素(在公司盡可能能夠識(shí)別的范圍內(nèi))
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生金的高風(fēng)險(xiǎn)標(biāo)準(zhǔn)
High-risk criteria for recycled gold
? 高風(fēng)險(xiǎn)的位置
? High-risk locations
（4）再生金/再生銀來自受沖突影響和高風(fēng)險(xiǎn)地區(qū) (CAHRA) 或曾在該等地區(qū)過境或通過該等地區(qū)運(yùn)輸。
(4) Recycled gold/silver originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（5）再生金/再生銀據(jù)稱來自已知或合理懷疑來自 CAHRA 的黃金/白銀過境的國家/地區(qū)。
(5) Recycled gold/silver purportedly originating from countries/regions known or reasonably suspected to have been transited gold/silver from CAHRA.
（6）再生金/再生銀據(jù)稱來自已知儲(chǔ)量、可能資源或預(yù)期產(chǎn)量有限的國家/地區(qū)。
(6) Recycled gold/silver purportedly originating from countries/regions with limited known reserves, possible resources or expected production.
? 高風(fēng)險(xiǎn)供應(yīng)商/交易方或其他已知上游公司：
? High risk suppliers/transaction parties or other known upstream companies:
（1）在具有高洗錢風(fēng)險(xiǎn)的國家/地區(qū)運(yùn)營
(1) Operating in a country with a high risk of money laundering
（2）具有符合基于位置高風(fēng)險(xiǎn)標(biāo)準(zhǔn)的股東或最終收益方或其他黃金白銀供應(yīng)權(quán)益
(2) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（3）具有身為政治人物最終收益方
(3) With ultimate beneficiaries as politicians
（4）從事高風(fēng)險(xiǎn)商業(yè)活動(dòng)(如軍火、賭博和娛樂業(yè)、古董和藝術(shù)、教派及其領(lǐng)袖)
(4) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and their leaders)
（5）已知在過去 12 個(gè)月曾從高風(fēng)險(xiǎn)國家/地區(qū)采購黃金/白銀
(5) Known to have purchased gold/silver from high-risk countries in the past 12 months
（6）與供應(yīng)鏈中的供應(yīng)商或?qū)κ址街g有重要且無法解釋的運(yùn)輸路線。
(6) There are important and unexplained transportation routes with suppliers or counterparties in the supply chain.
? 高風(fēng)險(xiǎn)物料：
? High-risk materials:
（1）來自具有高風(fēng)險(xiǎn)供應(yīng)鏈的中間精煉廠或交易商或從具有高風(fēng)險(xiǎn)供應(yīng)鏈的中間精煉廠采購的交易對手方
(1) Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
（2）無法證明其為再生金/再生銀
(2) Unable to prove that to be recycled gold/silver
當(dāng)上述評判標(biāo)準(zhǔn)任何一條客觀存在時(shí)，則判定為零容忍或高風(fēng)險(xiǎn)。對于識(shí)別到的零容忍風(fēng)險(xiǎn)，公司將立即終止與交易方的合作并由合規(guī)專員應(yīng)立即上報(bào)合規(guī)風(fēng)控專員，由合規(guī)風(fēng)控專員上報(bào)合規(guī)總監(jiān)。
When any of the above criteria matches with the reality, the situation should be judged as zero tolerance or high risk. For the zero-tolerance risk identified, the Company will immediately terminate the cooperation with the transaction party and the compliance officer should immediately report it to the compliance risk control officer. Then, the compliance risk control officer should report it to the compliance director.
2.4 公司建立風(fēng)險(xiǎn)評估流程，對公司黃金、白銀供應(yīng)商風(fēng)險(xiǎn)進(jìn)行評估：
2.4 With the risk assessment procedure established, the assessment of risks of the company’s gold and silver suppliers was carried out:
由合規(guī)部、業(yè)務(wù)部、財(cái)務(wù)部負(fù)責(zé)對風(fēng)險(xiǎn)事件造成的損失進(jìn)行量化評估，對相關(guān)責(zé)任人追究其責(zé)任，對風(fēng)險(xiǎn)事件跟蹤調(diào)查，消除危險(xiǎn)源，減少損失。
The quantitative assessment of the losses caused by risk events was carried out by the Compliance Department, Business Department and Finance Department to investigate the relevant responsible persons andconduct the follow-up investigation of risk events, with the elimination of danger sourcesand the reduction of losses.
公司通過KYC流程對上游原料供應(yīng)商進(jìn)行盡職調(diào)查，主要包括供應(yīng)商基本信息，業(yè)務(wù)活動(dòng)，供應(yīng)商股東和受益人信息，物料來源，負(fù)責(zé)任采購建立和實(shí)施情況，ESG基本情況，反洗錢、反賄賂和反恐怖主義融資的相關(guān)規(guī)定，強(qiáng)迫勞工和物料運(yùn)輸情況。公司收集了所有黃金白銀交易方的KYC信息，結(jié)合制定的《風(fēng)險(xiǎn)評估表》對交易方進(jìn)行了CAHRAs識(shí)別和風(fēng)險(xiǎn)識(shí)別。所有物料均來自于中國，且中國未被識(shí)別為CAHRAs,也未識(shí)別出供應(yīng)商和其供應(yīng)鏈中有零容忍風(fēng)險(xiǎn)和高風(fēng)險(xiǎn)。
The due diligenceon upstream material suppliers was conducted by the Company through the KYC procedure, mainly including basic information on suppliers, business activities, suppliers’ shareholders and beneficiary information, sources of materials, the establishment and implementation of responsible procurement, basic information on ESG, relevant provisions on anti-money laundering, anti-bribery and anti-terrorist financing, forced labor and material transportcondition.KYC information of all gold and silver trading parties were collected by the Company, and combined with the formulated Risk Assessment Form, the CAHRAs identification and riskidentificationfor trading parties were carried out. All materials are from China, and China has not been identified as CAHRAs, with the non-identification of zero-tolerancerisk and highrisk in suppliers and its supply chain.
如果一旦供應(yīng)鏈中有任何的高風(fēng)險(xiǎn)被識(shí)別出來，公司根據(jù)《LBMA負(fù)責(zé)任黃金指南第9版》，《LBMA負(fù)責(zé)任白銀指南》和《《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版）設(shè)計(jì)了《現(xiàn)場考察表》對涉及高風(fēng)險(xiǎn)的供應(yīng)商通過線上和現(xiàn)場拜訪的形式進(jìn)行加強(qiáng)型盡職調(diào)查，如可能，會(huì)聘請有資質(zhì)的公司執(zhí)行，以確定并評估風(fēng)險(xiǎn)。因公司未識(shí)別出任何的高風(fēng)險(xiǎn)，所以沒有也無需實(shí)施加強(qiáng)型盡職調(diào)查流程。
In case any risk in the supply chain is identified, in accordance with the9th Edition of LBMA Responsible Gold Guidance, the LBMA Responsible Silver Guidanceand theOECD Guidance on Responsible Supply Chain Due Diligence for Ores from Conflict-affected and High-risk Regions (Third Edition),theSite Inspection Formwould be designed by the Company to enhance the due diligence on the suppliers involving high risk in the form of online and on-site visits. If any, a qualified company would be employed to determine and assess the risk. As the Company did not identify any high risk, an enhanced due diligence processwas not or needed not be implemented.
3、向高級管理層報(bào)告風(fēng)險(xiǎn)評估
3. Report risk assessment to the senior management
公司建立風(fēng)險(xiǎn)評估報(bào)告制度，每年合規(guī)專員對部門盡職調(diào)查工作匯報(bào)合規(guī)風(fēng)險(xiǎn)官。2022年年度的風(fēng)險(xiǎn)識(shí)別和評估結(jié)果已經(jīng)匯報(bào)給風(fēng)險(xiǎn)總監(jiān)并保留了相應(yīng)的傳達(dá)記錄。
With risk assessment reporting system established, the Compliance Officer reports annually the department due diligence work to the Compliance Risk Officer. The 2022 annual risk identification and assessment results have been reported to the Risk Director and a corresponding communication record has been retained.
第三步 設(shè)計(jì)并實(shí)施策略來應(yīng)對已識(shí)別的風(fēng)險(xiǎn)
Step 3: Design and implement a management strategy to respond to identified risks
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第3步：設(shè)計(jì)和落實(shí)管理體系應(yīng)對識(shí)別的所有風(fēng)險(xiǎn)。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
公司制訂了《供應(yīng)鏈風(fēng)險(xiǎn)減緩管理辦法》并作為文控管理，約定了在供應(yīng)商評估及日常業(yè)務(wù)開展過程中發(fā)現(xiàn)的違規(guī)情況的處理方式；規(guī)范了發(fā)現(xiàn)供應(yīng)商存在高風(fēng)險(xiǎn)行為的處理步驟；明確了盡職管理各級組織、人員的責(zé)任，以及向高級管理人員匯報(bào)實(shí)施進(jìn)度等。
The Supply Chain Risk Mitigation Management Approach was formulated by the Company and it was taken as the document control and management, with the agreement of the method of dealing with violations found in supplier evaluation and daily business development; The procedures for finding high risk behaviors in suppliers were regulated; The responsibilities of due diligence management of all levels of organization and personnel were clarified, and the implementation progress to senior management was reported.
疑似高風(fēng)險(xiǎn)來料后，對其進(jìn)行單獨(dú)登記，并告知精煉車間，對其原料單獨(dú)熔煉，在整個(gè)工藝流程中不與其他客戶混合，對由其原料生產(chǎn)的成品金銀進(jìn)行單獨(dú)編號(hào)，并在金庫中與其他成品金銀分區(qū)域存放。
High-risk or suspected high-risk incoming materials shall be registered separately and conveyed to the refining workshop. The corresponding raw materials shall be melted separately and shall not be mixed with the raw materials from other customers in the whole process flow. The finished gold and silver produced by such raw materials shall be numbered separately and stored separately with other finished gold and silver in the vault.
如果供應(yīng)鏈中識(shí)別出零容忍的風(fēng)險(xiǎn)，公司必須立即終止現(xiàn)有的業(yè)務(wù)關(guān)系。
If a zero-tolerance risk is identified in the supply chain, the Company must immediately terminate the existing business relationship.
當(dāng)實(shí)施加強(qiáng)型盡職調(diào)查后，識(shí)別出以下問題，公司應(yīng)立即停止與交易方的合作關(guān)系，并及時(shí)匯報(bào)給LBMA：
Where the following problems are identified after the enhanced due diligence is carried out, the Company shall immediately stop the cooperative relationship with the trading party and report to LBMAwithout delay:
1. 洗錢
1. Money laundering
2. 恐怖主義融資
2. Terrorist financing
3. 嚴(yán)重侵犯人權(quán)
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報(bào)礦物產(chǎn)地
5. Misrepresentation of mineral origin
當(dāng)實(shí)施加強(qiáng)型盡職調(diào)查后，對以下問題有合理的懷疑，公司應(yīng)立即暫停與交易方的合作關(guān)系，一旦在6個(gè)月內(nèi)從供應(yīng)商初獲取對下述懷疑的反駁性證明和回應(yīng)，即可由合規(guī)總監(jiān)審批后恢復(fù)業(yè)務(wù)關(guān)系。
If there is reasonable doubt about the following problems after the implementation of the enhanceddue diligence, the cooperation with counterparty shall be temporarily suspended by the Company. After the refutation and response to the following suspicions are obtained from the suppliers within six months, business relationship can be resumed upon approval by the Compliance Director.
1. 洗錢
1. Money laundering
2. 恐怖主義融資
2. Terrorist financing
3. 嚴(yán)重侵犯人權(quán)
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報(bào)礦物產(chǎn)地
5. Misrepresentationof mineral origin
6. 具有災(zāi)難性的ESG影響
6. Catastrophic ESG effects
當(dāng)實(shí)施加強(qiáng)型盡職調(diào)查的結(jié)果不令人滿意，或被認(rèn)為依然存在以下情況，但是供應(yīng)商已經(jīng)做出合理和善意的努力，公司可以繼續(xù)與供應(yīng)商合作，并與供應(yīng)商一起繼續(xù)執(zhí)行制定的改善計(jì)劃：
If the implement of due diligence result is not satisfactory, or if it is considered that the supplier has made reasonable efforts in good faith despite the following circumstances, the cooperation with suppliers can be kept by the Company, and the formulated improvement plan can be together executed:
1. 賄賂
1. Bribery
2. 非欺詐性誤報(bào)礦物產(chǎn)地
2. Non-fraudulent misreporting of mineral origin
3. 未支付應(yīng)付政府的稅收、費(fèi)用和特許權(quán)使用費(fèi)
3. Failure to pay taxes, fees and royalties due to the government
4. 嚴(yán)重違反與環(huán)境、健康、安全、勞工和社區(qū)有關(guān)的地方立法，及/或存在極有可能造成高度不利影響的 ESG 風(fēng)險(xiǎn)。
4. Serious violation of environmental, health, safety, labor and community-related local methods, which is highly likely to cause serious adverse effects.
對任何識(shí)別出的風(fēng)險(xiǎn)，公司將會(huì)與交易方和利益相關(guān)方進(jìn)行溝通并制定相應(yīng)的風(fēng)險(xiǎn)緩解計(jì)劃。風(fēng)險(xiǎn)緩解計(jì)劃實(shí)施后，相關(guān)的風(fēng)控專員就供應(yīng)商提供材料證據(jù)與反饋的過程進(jìn)行記錄，對供應(yīng)商所提交的材料進(jìn)行核實(shí)與審查，確保風(fēng)險(xiǎn)緩解進(jìn)展與實(shí)施的有效性并記錄。
With respect to any identified risks, the Company will communicate with counterparties and stakeholders and formulate appropriate risk mitigation plans.After the implementation of the riskmitigation plan, the process of providingmaterial evidence and feedback by suppliers will be recorded by the relevant risk control specialist to verify and review the materials submitted by suppliers, with the guarantee and record of effectiveness of risk mitigation progress and implementation.
公司嚴(yán)格遵守LBMA負(fù)責(zé)任黃金、白銀指南，設(shè)計(jì)并實(shí)施策略來應(yīng)對已識(shí)別的風(fēng)險(xiǎn)。2022年未發(fā)現(xiàn)零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈，不需要做風(fēng)險(xiǎn)緩解措施。
The Company has strictly complied with LBMA Responsible Gold and Silver Guidance and designed and implemented strategies to respond to identified risks. No zero-tolerance and high-risk supply chain is found in 2022 and no risk mitigation measures of supply chain are taken.
第四步 對精煉商的盡職調(diào)查實(shí)踐開展獨(dú)立的第三方審計(jì)
Step 4 Conduct an independent third-party audit of the refiner’s due diligence practice.
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第4步：安排供應(yīng)鏈盡職調(diào)查的獨(dú)立第三方審計(jì)。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司嚴(yán)格遵守對精煉商的盡職調(diào)查實(shí)踐開展獨(dú)立的第三方審計(jì)的要求。自2020年開始，公司已委托RCS Global進(jìn)行LBMA相關(guān)負(fù)責(zé)任合規(guī)審計(jì)并依照審計(jì)要求提供相關(guān)數(shù)據(jù)及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company in since 2020.
公司每年聘請獨(dú)立的第三方審計(jì)機(jī)構(gòu)（深圳和誠會(huì)計(jì)師事務(wù)所）對財(cái)務(wù)進(jìn)行審計(jì)，并出具審計(jì)報(bào)告。
The company hire third party auditors(Shenzhen Hecheng Certified Public Accountant) to conduct financial audit and issue audit report every year.
第五步 供應(yīng)鏈盡職調(diào)查年度報(bào)告
Step 5 Annual report on supply chain due diligence
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第5步：有關(guān)供應(yīng)鏈盡職調(diào)查的報(bào)告。
We have fully complied with Step 5: Report on supply chain due diligence.
公司嚴(yán)格遵守供應(yīng)鏈盡職調(diào)查年度合規(guī)報(bào)告的要求。
The Company has strictly complied with the requirements of Step 5 of the LBMA Responsible Gold and Silver Guidance “annual report on supply chain due diligence”.
公司每年對供應(yīng)鏈盡職調(diào)查政策進(jìn)行公示。
The Company publicizes the supply chain due diligence policy every year.
根據(jù)2022年的盡職調(diào)查結(jié)果，無供應(yīng)商需要進(jìn)行風(fēng)險(xiǎn)緩解的管理策略。在2022年度無黃金、白銀供應(yīng)鏈的評估結(jié)果為未識(shí)別出零容忍的風(fēng)險(xiǎn)和高風(fēng)險(xiǎn)。供應(yīng)鏈盡職管理合規(guī)報(bào)告將在公司官方網(wǎng)站進(jìn)行公示:
https://zhlsy.com/zygg/info_17_itemid_91.html
According to the due diligence results in 2022, no supplier was required to implement a risk mitigation management strategy. In 2022, there were no suppliers whose gold and silver assessment results were zero-tolerance or high risk. The supply chain due diligence management compliance report will be published on the Company’s official website:
https://zhlsy.com/zygg/info_17_itemid_91.html
四、管理結(jié)論
IV. Management conclusion
綜上所述，在報(bào)告年度截至于2022年12月31日的財(cái)務(wù)年內(nèi)，根據(jù)《倫敦金銀市場協(xié)會(huì)（LBMA）負(fù)責(zé)任黃金指南第9版》的要求，深圳市眾恒隆實(shí)業(yè)有限公司實(shí)施了有效的管理制度、程序、流程和實(shí)踐。深圳市眾恒隆實(shí)業(yè)有限公司致力于不斷的改進(jìn)提升，所有的糾正措施將在內(nèi)部進(jìn)行定期監(jiān)測。
In conclusion, in the financial year ended December 31, 2022, Shenzhen Zhonghenglong Industrial Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold and Silver Guidance. Shenzhen Zhonghenglong Industrial Co., Ltd. is committed to continuous improvement and all corrective measures will be regularly monitored internally.
五、其他報(bào)告批注
V. Other report comments
如果本報(bào)告用戶希望就本報(bào)告向深圳市眾恒隆實(shí)業(yè)有限公司進(jìn)行任何反饋，則可以通過郵箱478152938@qq.com聯(lián)系企業(yè)相關(guān)部門。
If users of this report wish to provide any feedback to Shenzhen Zhonghenglong Industrial Co., Ltd with respect to this report, feel free to contact related departments of the enterprise by E-mail 478152938@qq.com.
公司名稱：深圳市眾恒隆實(shí)業(yè)有限公司
Company name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：廣東省深圳市龍華區(qū)民康路112號(hào)1970科技小鎮(zhèn)1棟401
Company address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
工廠地址：廣東省東莞市鳳崗鎮(zhèn)五聯(lián)村碧湖大道雨湖路9號(hào)
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
辦事處：深圳市羅湖區(qū)水貝二路特力珠寶大廈A座8樓
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年終報(bào)告：2022年度供應(yīng)鏈盡職管理合規(guī)報(bào)告
Year-end report: 2022 Supply Chain Due Diligence Management Compliance Report
報(bào)告日期：2023年2月22日
Reporting date: February 22, 2023
報(bào)告負(fù)責(zé)人：曹健（公司副總經(jīng)理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
網(wǎng)址：www.kliyawanblong.com
Website: www.kliyawanblong.com
聯(lián)系電話：0755-29500999
Tel: 0755-29500999
一、公司概況
I. Company profile
深圳市眾恒隆實(shí)業(yè)有限公司（簡稱公司），地處廣東省深圳市。公司1997年03月18日成立，存續(xù)至今，獨(dú)立法人企業(yè)，依托我國礦物加工工藝技術(shù)的優(yōu)勢，采用先進(jìn)的工藝設(shè)備和自動(dòng)化技術(shù)，有針對性的解決生產(chǎn)節(jié)能環(huán)保、礦產(chǎn)資源綜合回收、生產(chǎn)廢水零排放三大技術(shù)難題，形成黃金產(chǎn)業(yè)的循環(huán)經(jīng)濟(jì)發(fā)展模式，建設(shè)成為節(jié)能減排、低碳環(huán)保的綠色產(chǎn)業(yè)。
Shenzhen Zhonghenglong Industrial Co., Ltd (hereinafter referred to as the Company) is located in Shenzhen City, Guangdong Province. Founded on March 18, 1997, the Company has existed till now and is an independent corporate enterprise. Relying on advantages of mineral processing process and technology of China, the Company adopts advanced process equipment and automated technology to specifically solve three technical problems, namely production energy conservation and environmental protection, comprehensive recovery of mineral resources, zero discharge of production wastewater, thus forming the recycling economy development mode of gold industry and building energy-saving, emission-reduction, low-carbon and eco-friendly green industry.
深圳市眾恒隆實(shí)業(yè)有限公司是華南地區(qū)最大的貴金屬精煉企業(yè)，是上海黃金交易所標(biāo)準(zhǔn)金錠、標(biāo)準(zhǔn)金條、標(biāo)準(zhǔn)銀錠提供企業(yè)，高效的生產(chǎn)工藝,高品質(zhì)的貴金屬產(chǎn)品,以及環(huán)保和安全（已具備ISO/ICE17025、ISO9001、ISO14001資質(zhì)證書）的三廢處理系統(tǒng)的現(xiàn)代化國際標(biāo)準(zhǔn)的提純精煉企業(yè)?，F(xiàn)有年生產(chǎn)的銀 (Ag)200噸 、黃金 (Au)300噸、鉑金 (Pt)、 鈀金 (Pd)20噸以及處理各種貴金屬廢料 400 噸的生產(chǎn)設(shè)備和能力,而且各類產(chǎn)品均達(dá)到國家和行業(yè)規(guī)定的標(biāo)準(zhǔn);環(huán)保和廢水、廢氣的排放也達(dá)到國家法律規(guī)定的標(biāo)準(zhǔn)。
Shenzhen Zhonghenglong Industrial Co., Ltd is the largest precious metal refining enterprise in South China and the approved enterprise of standard gold ingots, standard gold bars and standard silver ingots of Shanghai Gold Exchange. With efficientproduction process, high-quality precious metal products, environmentally-friendly and safe three-waste treatment system, it is a purification and refinement enterprise following modern international standards( the Company has obtained ISO/ICE17025,ISO9001 and ISO14001 certificates). At present, it has production equipment and capacity to annually produce 200 tons of silvers (Ag), 300 tons of gold (Au), 20 tons of platinum (Pt) and palladium (Pd) and could process 400 tons of precious metal wastes. Besides, all products have reached national and industrial standards and environmental protection, waste water and waste gas discharge also reaches standards specified by national laws.
2019年當(dāng)選“廣東省黃金協(xié)會(huì)，副會(huì)長單位”“中國珠寶玉石首飾行業(yè)協(xié)會(huì)常務(wù)理事單位”。2020年獲得上海黃金交易所頒發(fā)的“最佳可提供標(biāo)準(zhǔn)金錠、銀錠企業(yè)”“最佳風(fēng)控會(huì)員”“綜合類年度優(yōu)秀會(huì)員”“最佳競價(jià)交易自營會(huì)員”。
In 2019, the Company was selected as “Vice-Chairman Unit of Gold Association of Guangdong Province” and “Standing Director of GEMS & Jewelry Trade Association of China”In 2020, the Company won titles of “Best Enterprise of Standard Gold Ingots and Silver Ingots”, “Best Risk Control Member”, “Comprehensive Annual Excellent Member”, “Best Self-Operated Competitive Price Transaction Member” awarded by Shanghai Gold Exchange.
二、供應(yīng)商情況概述
II. Condition overview of supplier
公司原料主要來源為從社會(huì)中回收的合質(zhì)金/銀(回收金和礦山金)，且均為國內(nèi)供應(yīng)商，沒有識(shí)別出與供應(yīng)商以及供應(yīng)鏈相關(guān)聯(lián)的零容忍風(fēng)險(xiǎn)和高風(fēng)險(xiǎn)。
Main sources of raw materials of the Company are gold/silveralloy purchased from societyand all suppliers are from China. No zero-tolerance and high risk have been identified from suppliers and supply chain.
三、合規(guī)情況概述
III. Overview of compliance conditions
公司對所有供應(yīng)商進(jìn)行盡職的供應(yīng)鏈調(diào)查，要求所有供應(yīng)商提供的原料來源合法、合規(guī)。
The Company has carried out supply chain investigation of due diligence for all suppliers and required that resources provided by all suppliers are legal and compliant.
第一步 建立強(qiáng)大的公司管理體系
Step 1: Establish strong company management systems
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第1步驟：建立強(qiáng)大的公司管理體系。
We have fully complied with Step 1: Establish strong company management systems.
公司嚴(yán)格遵守《LBMA負(fù)責(zé)任黃金指南》和《LBMA負(fù)責(zé)任白銀指南》，已經(jīng)建立了強(qiáng)大的管理體系，確保供應(yīng)鏈盡職調(diào)查工作全面落地。
The Company has strictly established strong management systems to ensure comprehensive implementation of supply chain due diligence work.
1、政策方面
1. Policy
公司2022年通過并發(fā)布了一項(xiàng)《黃金/白銀負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查政策》（以下簡稱“政策”），該政策符合《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版）中的規(guī)定，并擴(kuò)展至環(huán)境和可持續(xù)性責(zé)任，該政策已經(jīng)過合規(guī)總監(jiān)的審查和批復(fù)并在公司官網(wǎng)上進(jìn)行公布。政策網(wǎng)址鏈接：https://zhlsy.com/zygg/info_17_itemid_85.html
The Company has passed and introduced a supply chain responsible sourcing policy which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas(Version 3) with extension to environmental and sustainable responsibility. Such policy has been reviewed and approved by compliance director and published on the official website at https://zhlsy.com/zygg/info_17_itemid_85.html
公司已經(jīng)將該政策傳達(dá)給所有的黃金白銀的交易方以及內(nèi)部的各個(gè)職能部門，相關(guān)的傳達(dá)記錄均已保留并存檔。
The policy has been issued by the Company to all gold and silver trading parties and each internal functional department with relevant communication records retained and archived.
政策要求公司及其供應(yīng)商嚴(yán)格遵守國家關(guān)于職工權(quán)利、環(huán)境保護(hù)、公平交易等各項(xiàng)法律法規(guī)，積極參與供應(yīng)鏈盡職調(diào)查工作，確保礦產(chǎn)金/銀、再生金/銀來源符合要求，并作出承諾，拒絕來自侵犯人權(quán)、沖突地區(qū)、賄賂、洗錢、恐怖主義融資、非法開采、世界遺產(chǎn)遺址、采用汞開采等高風(fēng)險(xiǎn)地區(qū)的黃金、白銀。公司會(huì)每年定期的審查政策并按照要求進(jìn)行更新，特別是當(dāng)客戶要求或行業(yè)標(biāo)準(zhǔn)發(fā)生變化時(shí)。
According to policy requirements, the Company and its suppliers should strictly comply with various national laws and regulations on employee rights, environmental protection, fair dealing with active participation in supply chain due diligence to ensure that the sources of mineral gold/silver and renewable gold/silver meet the requirements. In addition, commitments need to be made to reject gold and silver from high-risk areas such as human rights violations, conflict zones, bribery, money laundering, terrorist financing, illegal mining, World Heritage sites as well as mercury mining. The Company should regularly review the policy annually and update it as required, especially when customer requirements or industry standards change.
2、管理架構(gòu)
2. Management structure
根據(jù)體系要求，公司已建立了內(nèi)部管理制度，按照出臺(tái)的政策對管理、作用、職責(zé)、內(nèi)部審計(jì)、溝通進(jìn)行界定、并開展盡職調(diào)查體系的年度管理評審。
According to the system requirements, the internal management system has been established in the Company to define management, roles, responsibilities, internal audit as well as communication in the light of the issued policies, and conductannual management reviews of the due diligence system.
公司已于2022年12月28日進(jìn)行了年度管理評審，并將管理評審結(jié)果匯報(bào)給了合規(guī)總監(jiān)。
The Company conducted an annual management review on December 28, 2022 with the results of the management review reported to the Compliance Director.
2.1規(guī)章制度方面
2.1 Rules and regulations
公司根據(jù)《LBMA負(fù)責(zé)任黃金指南第9版》和《LBMA負(fù)責(zé)任白銀指南》制訂了《LBMA負(fù)責(zé)任黃金白銀供應(yīng)鏈盡職調(diào)查管理程序》、《黃金/白銀負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查政策》、《供應(yīng)鏈風(fēng)險(xiǎn)減緩管理辦法》，主要明確供應(yīng)鏈盡職調(diào)查組織架構(gòu)、職責(zé)、高風(fēng)險(xiǎn)地區(qū)定義，制定高風(fēng)險(xiǎn)供應(yīng)鏈評估標(biāo)準(zhǔn)、調(diào)查處理程序、交易監(jiān)控、文件保存等內(nèi)容。上述制度通過合規(guī)總監(jiān)、董事會(huì)審批后已下發(fā)至公司各部門。
According to the 9th Edition of LBMA Responsible Gold Guidance and LBMA Responsible Silver Guidance, the Company formulated the Due Diligence Management Procedure for LBMA Responsible Gold and Silver Supply Chain, Due Diligence Policy for Gold/Silver Responsible Supply Chain, and Management Measures forSupply Chain Risk Mitigation, which were mainly for defining the organizational structure, responsibilities, and high-risk region definition of supply chain due diligence, and formulating high-risk supply chain evaluation standards,investigation and processing procedures, transaction monitoring, documents retention, etc. The above system has been approved by the Compliance Director and the Board of Directors and issued to all departments of the Company.
2.2職責(zé)與權(quán)限
2.2 Duties and authorities
公司設(shè)置合規(guī)總監(jiān)、合規(guī)風(fēng)控官以及合規(guī)專員。
The Company has set up Compliance Director, Compliance Risk Control Officer and Compliance Officer.
合規(guī)總監(jiān)負(fù)責(zé)建立健全供應(yīng)鏈盡職調(diào)查管理體系，監(jiān)督供應(yīng)鏈盡職調(diào)查流程，協(xié)調(diào)處理盡職調(diào)查中的異常情況。對外根據(jù)我司原料采購政策、生產(chǎn)、財(cái)務(wù)以及銷售等實(shí)際情況需要審批與供應(yīng)商合作合同的簽訂（包括是否與高風(fēng)險(xiǎn)供應(yīng)商合作），并負(fù)責(zé)對供應(yīng)商進(jìn)行盡職調(diào)查相關(guān)事宜。對內(nèi)根據(jù)LBMA負(fù)責(zé)任黃金／白銀指南文件，對相關(guān)員工進(jìn)行培訓(xùn)，使相關(guān)負(fù)責(zé)人明白自己在盡職調(diào)查政策實(shí)施中的職責(zé)。
It is the Compliance Director who takes charge of establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process as well as coordinating the handling of anomalies in due diligence. Externally, we need to approve the signing of cooperation contracts with suppliers (including whether to cooperate with high-risk suppliers) based on our raw material procurement policies, production, finance, and sales conditions with responsibility for conducting due diligence on suppliers. Internally, relevant employees should be trained in accordance with the LBMA Responsible Gold/Silver Guidance Document to enable relevant responsible persons to be aware of their responsibilities when thedue diligence policies are implemented.
合規(guī)風(fēng)控官由公司副總經(jīng)理擔(dān)任，協(xié)助總監(jiān)全面負(fù)責(zé)黃金／白銀供應(yīng)鏈盡職調(diào)查事務(wù)。負(fù)責(zé)制定并更新供應(yīng)鏈盡職調(diào)查政策、制度，高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)和執(zhí)行供應(yīng)鏈盡職調(diào)查措施，監(jiān)督、檢查各部門的落實(shí)情況并考核，匯報(bào)供應(yīng)鏈盡職調(diào)查中的異常情況，組織培訓(xùn)等工作。
The post of Compliance Risk Officer is held by the Company’s Deputy General Manager, assisting the Director with full responsibility for the due diligence of the gold/silver supply chain. Besides formulating and updating supply chain due diligence policies and systems, evaluating standards for high-risk supply chains and implementing supply chain due diligence measures are also needed to supervise and inspect the implementation of various departments with assessment, report for abnormalities in supply chain due diligence, and training organization.
合規(guī)專員由交割部、業(yè)務(wù)部、財(cái)務(wù)部、收發(fā)部、質(zhì)檢中心、精煉車間指派，負(fù)責(zé)嚴(yán)格執(zhí)行供應(yīng)鏈盡職調(diào)查措施，零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)，收集并保存足夠的供應(yīng)鏈證明文件。
The Compliance Officer is appointed by the Delivery Department, Business Department, Finance Department, Receiving and Distribution Department, Quality Inspection Center, and Refining Workshop with responsibility for strictly implementing supply chain due diligence measures, zero tolerance, and high-risk supply chain evaluation standards, and collecting and maintaining sufficient supply chain supporting documents.
公司制定了對合規(guī)人員的問責(zé)機(jī)制，要求相關(guān)專員定期向高級管理人員匯報(bào)供應(yīng)鏈盡職調(diào)查情況。通過監(jiān)督與檢查，確保了供應(yīng)鏈盡職調(diào)查工作得到有效的實(shí)施，規(guī)避高風(fēng)險(xiǎn)供應(yīng)鏈的交易。
The Company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report supply chain due diligence to senior management. Through supervision and inspection, the supply chain due diligence work has been effectively implemented to avoid high-risk supply chain transactions.
3、強(qiáng)有力的內(nèi)部追溯體系
3. Strong internal traceability system
公司建立了一套供應(yīng)鏈可追溯體系，收集和維護(hù)每一批產(chǎn)品的供應(yīng)鏈信息，為每一批產(chǎn)品分配編號(hào)。
In order to collect and maintain supply chain information for each batch of products and assign numbers to each batch of products, the Company has established a supply chain traceability system.
3.1供應(yīng)鏈可追溯體系
3.1 Supply chain traceability system
通過收集盡職調(diào)查問卷（KYC）并審查供應(yīng)商資質(zhì)、業(yè)務(wù)運(yùn)營、股東信息和物料來源等，供應(yīng)商資信調(diào)查通過后簽訂合同以及承諾書，承諾原料合法，符合LBMA負(fù)責(zé)任黃金/白銀采購政策；供應(yīng)商送的每一批來料，都有來料驗(yàn)收單，表明產(chǎn)品類型、熔前熔后重量等，驗(yàn)收人員和供應(yīng)商簽字確認(rèn)；熔煉取樣化驗(yàn)，最后形成標(biāo)準(zhǔn)金銀錠，分配編號(hào)，通過上海黃金交易所進(jìn)行交易。
After collecting a Due Diligence Questionnaire (KYC) and reviewing the suppliers’ qualifications, business operations, shareholder information, and material sources, the suppliers withthe credit investigation qualification signed a contract and letter of commitment, promising that the raw materials are legal and comply with procurement policy of LBMA responsible gold/silver. For each batch of incoming materials sent by the suppliers, an incoming material acceptance sheet should be provided, indicating the product type, weight before and after melting, etc., which was signed by the acceptance personnel and the suppliers for confirmation. After smelting, sampling and testing, standard gold and silver ingots are finally formed, assigned with a number, and traded through the Shanghai Gold Exchange.
公司對所有交易情況進(jìn)行監(jiān)督，確保交易與供應(yīng)鏈調(diào)查一致。使用在線黃金管理系統(tǒng)以及電子臺(tái)賬記錄黃金、白銀來料，確保物料可追溯。對于所有的原料入庫均保留完整的單據(jù)資料，對于入庫的金/銀料保存有入庫單、檢驗(yàn)單、財(cái)務(wù)憑證等。明確各個(gè)部門應(yīng)在日常工作中收集保存的資料，由業(yè)務(wù)部、檢測中心、財(cái)務(wù)部對相關(guān)單據(jù)進(jìn)行保存，并定期將相關(guān)資料送至檔案室進(jìn)行存檔，保存期限均高于5年。
The Company monitored all transactions to ensure that they are consistent with supply chain investigations. With an online gold management system and electronic ledger to record incoming gold and silver materials, traceability of materials was ensured. For all raw materials warehoused, complete documentation was maintained.For gold/silver materials warehoused, warehouse receipts, inspection sheets, and financial vouchers were maintained. The information that each department should collect and store in their daily work is needed to be specified. The business department, testing center, and finance department will store the relevant documents, and regularly send the relevant information to the archive room for archiving with the storage period of higher than 5 years.
3.2維護(hù)資料
3.2 Maintenance data
在業(yè)務(wù)開展中，供應(yīng)商身份證、身份驗(yàn)證資料、營業(yè)執(zhí)照、資質(zhì)驗(yàn)證資料、供應(yīng)商盡職調(diào)查表、每一批次的驗(yàn)收單、檢測單、結(jié)算單等相關(guān)記錄保存5年以上。
As business is carried out, relevant records should be kept for more than 5 years, such as supplier ID cards, identity verification materials, business licenses, qualification verification materials, supplier due diligence questionnaires, acceptance forms, testing forms, and settlement forms for each batch.
3.3培訓(xùn)
3.3 Training
公司將供應(yīng)鏈盡職調(diào)查管理培訓(xùn)、采掘業(yè)透明度倡議EITI原則及標(biāo)準(zhǔn)培訓(xùn)和反洗錢、反恐怖主義融資的培訓(xùn)納入公司年度培訓(xùn)計(jì)劃當(dāng)中，定期組織公司重點(diǎn)崗位以及合規(guī)專員進(jìn)行以上相關(guān)培訓(xùn)。我司合規(guī)部門于2022年已組織公司各相關(guān)部門人員進(jìn)行了四次培訓(xùn)，確保供應(yīng)鏈盡職調(diào)查管理工作落到實(shí)處，相應(yīng)的培訓(xùn)記錄均已存檔保留。
The Company incorporated supply chain due diligence management training, EITI principles and standards training for extractive industry transparency initiatives, and training on anti-money laundering and anti-terrorist financing into its annual training plan. In order to conduct the above related training, the Company implemented regular organizations for key positions and compliance officers of the Company. Our compliance department has organized four training sessions for personnel from relevant departments of the company in 2022 to ensure that supply chain due diligence management is implemented with corresponding training records archived and retained.
3.4通過官方銀行渠道收付款
3.4 Collection and payment through official bank channels
公司所有業(yè)務(wù)均通過官方銀行渠道收款和付款，沒有任何現(xiàn)金交易。全部由業(yè)務(wù)部門發(fā)起資金事項(xiàng)聯(lián)簽程序，通過公司基本戶所在的銀行網(wǎng)上付款，并打印銀行回單作為憑證附件保留。財(cái)務(wù)合規(guī)專員負(fù)責(zé)交易監(jiān)控工作，對不符或以任何形式疑似不符的交易背景進(jìn)行檢查，并報(bào)告合規(guī)總監(jiān)。2022年度沒有發(fā)現(xiàn)不符及任何形式不符的情況。
Through official banking channels, the Company received and paidfor all businesses without any cash transactions. The Business Department initiated the fund transaction countersigning process so that payments are finished online through the bank where the Company’s basic account is located. Moreover, the bank receipts are printed as an attachment to the voucher. With responsibility for transaction monitoring, the Financial Compliance Officer checked the background of transactions that are inconsistent or suspected to be inconsistent in any form as well as reported to the Compliance Director. In 2022, no discrepancies or any forms of discrepancies were found.
4、強(qiáng)化合作，協(xié)助黃金/白銀供應(yīng)交易方建立盡職調(diào)查能力
4. Strengthening for cooperation to assist gold/silver supply traders in establishing due diligence capabilities
公司鼓勵(lì)與供應(yīng)商建立基于信任和互認(rèn)的長期關(guān)系，特別是遵守《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》并擴(kuò)展至環(huán)境和可持續(xù)性責(zé)任的供應(yīng)商。
The Company encouraged long-term relationships based on trust and mutual recognition with suppliers, especially complying with the Due Diligence Guidelines of OECD for Responsible Supply Chains of Minerals from Conflict Affected and High Risk Regions, and expanding to suppliers with environmental and sustainability responsibilities.
公司將黃金、白銀供應(yīng)鏈的政策與要求、電子培訓(xùn)教材等通過電子郵件、短信、社交軟體等方式傳達(dá)給供應(yīng)商，提高供應(yīng)鏈交易方建立盡職調(diào)查能力。2022年對供應(yīng)商進(jìn)行了線上培訓(xùn)和經(jīng)驗(yàn)分享，以確保他們了解公司LBMA管理的要求和供應(yīng)鏈政策，協(xié)助供應(yīng)商更大程度地建立盡職調(diào)查能力。
For the sake of improving the capabilities of supply chain traders to establish due diligence, the Company communicated policies and requirements for gold and silver supply chains, electronic training materials, etc. to suppliers through email, SMS, social software, and other means. In 2022, online training and experience sharing were conducted for suppliers to ensure that they understand the Company’s LBMA management requirements and supply chain policies, and to assist suppliers in building due diligence capabilities to a greater extent.
公司2022年度簽約的所有供應(yīng)商均簽署了相關(guān)《承諾書》，承諾黃金、白銀來源合法合規(guī)，拒絕零容忍和高風(fēng)險(xiǎn)。公司與上游供應(yīng)嚴(yán)格遵守合同和法律的規(guī)定及EITI的相關(guān)原則，有助于上游供應(yīng)商更大程度的透明度的實(shí)現(xiàn)。
All suppliers contracted by the Company in 2022 have signed the relevant Letter of Commitment, promising that the source of gold and silver is legal and compliant with rejection for zero tolerance and high risk. The Company and upstream suppliers strictly abide by the provisions of contracts and laws and the relevant principles of EITI, contributing to achieve greater transparency for upstream suppliers.
5、建立申訴機(jī)制
5. Establishment of a complaint mechanism
公司利用官網(wǎng)平臺(tái)，公布電話和郵箱，允許員工和外部利益相關(guān)者表達(dá)對供應(yīng)鏈或任何新的識(shí)別風(fēng)險(xiǎn)的擔(dān)憂。公司已建立了完善的申訴機(jī)制并嚴(yán)格執(zhí)行，在整個(gè)申訴過程中保護(hù)員工隱私，對舉報(bào)人信息保密，杜絕任何行為的打擊報(bào)復(fù)。
Withthe official website platform to publish phone numbers and email addresses, the Company allows employees and external stakeholders to express concerns about the supply chain or any new identified risks. Having established a sound complaint mechanism, the Company implemented it to protect employee privacy throughout the complaint process in a strict manner and keep confidential for the informant’s information with prevent of retaliation for any behavior.
申訴渠道在官網(wǎng)公示：https://zhlsy.com/zygg/info_17_itemid_86.html
The complaint channel is accessible on the official website: https://zhlsy.com/zygg/info_17_itemid_86.html
截至2022年底申訴小組沒有收到內(nèi)部員工或供應(yīng)商的風(fēng)險(xiǎn)申訴信息。
By the end of 2022, the complaint team had not received any risk complaintinformation from internal employees or suppliers.
第二步 供應(yīng)鏈風(fēng)險(xiǎn)的識(shí)別與評估
Step 2: Identify and assess risk in the supply chain
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第2步驟：對供應(yīng)鏈中的風(fēng)險(xiǎn)進(jìn)行識(shí)別和評估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
公司制定了受沖突影響和高風(fēng)險(xiǎn)區(qū)域（CAHRA）定義流程與判定標(biāo)準(zhǔn)，并對識(shí)別出來的風(fēng)險(xiǎn)規(guī)定了處理程序，充分對供應(yīng)鏈中的風(fēng)險(xiǎn)進(jìn)行識(shí)別、評估和緩解。2022年度，公司主要從國內(nèi)供應(yīng)商采購當(dāng)?shù)亟疸y回收料和礦山料，根據(jù)受沖突影響和高風(fēng)險(xiǎn)區(qū)域的識(shí)別程序判定，中國未被識(shí)別為受沖突影響和高風(fēng)險(xiǎn)區(qū)域。截止到目前，均未識(shí)別出零容忍和高風(fēng)險(xiǎn)。
The Company formulated the conflict-affected and high-risk areas (CAHRA) definition process and judgment standards, and stipulated the processing procedures for the identified risks, fully identifying, evaluating and mitigating the risks of the supply chain. In 2022, the Company mainly purchased local gold and silver recycling materials and mining materials from domestic suppliers. According to the identification procedures for conflict-affected and high-risk areas, China has not been identified as a conflict-affected and high-risk area. Neither zero tolerance nor high risk has been identified so far.
1、識(shí)別供應(yīng)鏈風(fēng)險(xiǎn)
1. Identification of risks of supply chain
根據(jù)《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》，黃金/白銀冶煉公司應(yīng)識(shí)別相關(guān)風(fēng)險(xiǎn)包括密切關(guān)注來自侵犯人權(quán)、武裝沖突、非法開采、開采利用汞以及源于世界遺產(chǎn)遺址等地區(qū)的黃金和白銀，以及用于賄賂、洗錢、恐怖主義融資等行為的黃金/白銀。公司為每個(gè)供應(yīng)商建立供應(yīng)商檔案，根據(jù)風(fēng)險(xiǎn)狀況進(jìn)行了調(diào)查，在與其簽合同之前完成供應(yīng)商檔案的建立工作。
According to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-affected and High-risk Areas, gold/silver smelters should identify associated risks. For example, they should pay close attention to gold and silver originating from areas under circumstances such as human rights abuses, armed conflict, illegal mining, mining and utilization of mercury, as well as gold and silver mined from world heritage sites or those used for bribery, money laundering, terrorist financing, etc. The Company established supplier files for each supplier, conducted an investigation according to the risk level, and completed the establishment of the supplier file before signing a contract.
2、評估供應(yīng)鏈風(fēng)險(xiǎn)
2. Evaluation of risks of supply chain
2.1供應(yīng)鏈調(diào)查
2.1 Investigation of supply chain
公司通過以下措施對供應(yīng)鏈進(jìn)行盡職調(diào)查，并完成了盡職調(diào)查問卷：
By virtue of the following measures, the Company carried out due diligence on the supply chain, with due diligence questionnaire completed:
（1）資質(zhì)驗(yàn)證。對于所有供應(yīng)商均進(jìn)行供應(yīng)鏈的盡職管理調(diào)查，在進(jìn)行合作前要求合作方提供相應(yīng)的資質(zhì)證明文件，法人客戶提供營業(yè)執(zhí)照，個(gè)人客戶提供身份證復(fù)印件，礦山客戶還需要提供采礦許可證、環(huán)評認(rèn)證以及關(guān)注礦工佩戴勞保、健康安全交易、職業(yè)病體檢等。
(1) Qualification verification. Supply chain due diligence shall be carried out for all suppliers. Before cooperation, partners are required to provide corresponding qualification certificates. Legal person customers shall provide business licenses. Individual customers shall provide copies of ID cards, and mining customers also need to provide mining licenses, EIA certification with attention paid to miners wearing labor insurance, health and safety transactions and physical examination of occupational diseases, etc.
（2）建立供應(yīng)商檔案。對供應(yīng)商基本情況、股東信息、提供原料類型及產(chǎn)地、計(jì)劃精煉貴金屬類型、與其供應(yīng)商結(jié)算方式、供應(yīng)商概況等信息進(jìn)行詳細(xì)調(diào)查，并盡可能的將供應(yīng)鏈調(diào)查向供應(yīng)商的上游延伸，最終確定其風(fēng)險(xiǎn)等級，對于涉及高風(fēng)險(xiǎn)標(biāo)準(zhǔn)的供應(yīng)商終止合作。
(2) Creating supplier files. It is required to carry out detailed investigations on the basic situation of suppliers, shareholder information, types and origins of raw materials provided, types of precious metals planned to be refined, methods of settlement with suppliers, supplier profiles and other information. In addition, it is needed to extend the supply chain investigation to the upstream of suppliers as much as possible, finalizing its risk level and terminating cooperation with suppliers involving high risk criteria.
（3）建立來料登記簿。對供應(yīng)商當(dāng)批次來料的日期、重量、原料來源、主要上游供應(yīng)商進(jìn)行調(diào)查登記，判斷其來料風(fēng)險(xiǎn)等級。
(3) Creating register books for incoming materials. It is required to investigate and register the date, weight, source of raw materials, and major upstream suppliers of the supplier’s incoming batches of materials, judging the risk level of the incoming materials.
（4）建立供應(yīng)商年度調(diào)研報(bào)告工作流程。對除銀行之外的全年黃金、白銀來料量前三名進(jìn)行專項(xiàng)盡職調(diào)查，形成供應(yīng)商年度調(diào)查報(bào)告，內(nèi)容包括：供應(yīng)商概況、資質(zhì)信息、來料類型及所占比重、上游供應(yīng)商概況及名單、原料產(chǎn)地及品種、是否存在國外黃金、白銀等。
(4) Establishing annual survey report workflow of supplier. It is required to carry out special due diligence on the top three annual gold and silver incoming materials other than banks, and form annual supplier investigation reports, including: supplier profile, qualification information, incoming material type and proportion, upstream suppliers overview and list, origin and variety of raw materials, whether there is foreign gold and silver, etc.
（5）建立客戶專項(xiàng)調(diào)研報(bào)告工作流程。在走訪客戶時(shí)，對原料來源進(jìn)行追溯，向供應(yīng)商傳達(dá)盡職調(diào)查管理政策。
(5) Establishing customer-specific research report workflow. When visiting customers, it is required to trace the source of raw materials and convey the due diligence management policies to suppliers.
（6）對產(chǎn)品的去向進(jìn)行盡職調(diào)查。針對黃金、白銀銷售業(yè)務(wù)，對一次性購買黃金重量超過30公斤或累計(jì)購買超過100公斤的客戶，一次性購買白銀重量超過2000公斤或累計(jì)購買超過5000公斤的客戶，進(jìn)行產(chǎn)品去向盡職調(diào)查工作，充分發(fā)揮網(wǎng)絡(luò)作用，利用天眼查、中國審判信息網(wǎng)等網(wǎng)站對供應(yīng)商資質(zhì)情況、失信情況、訴訟情況、處罰情況進(jìn)行查詢，對涉及高風(fēng)險(xiǎn)行為的供應(yīng)商終止合作。
(6) Conducting due diligence on whereabouts of the products. With regard to gold-and-silver sales business, for customers who purchase more than 30 kilograms of gold at one time or purchase more than 100 kilograms in total, and customers who purchase over 2,000 kilograms of silver at a time or purchase more than 5,000 kilograms in total, it is required to conduct due diligence on the whereabouts of products, give full play to the role of network, use Tianyancha (a business data and investigation platform), China Judgment Information Website as well as other websites to inquire about supplier qualifications, dishonesty, litigation, and punishment, and terminate cooperation with suppliers involved in high-risk behaviors.
2.2 CAHRA的判定。公司制定了CHARA的定義流程。公司采用以下資源和標(biāo)準(zhǔn)判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
(1) 脆弱國家指數(shù)（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
(2) 全球沖突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
(3) 聯(lián)合國人類發(fā)展指數(shù)（UN Human Development Indicator）
(3) UN Human Development Indicator
(4) 多德-弗蘭克法案第 1502條列“指明國家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
(5) 歐盟根據(jù) 2017/821條例提供的CAHRA清單
(5) CAHRA List provided by the European Union under Regulation 2017/821
(6) 聯(lián)合國人權(quán)事務(wù)高級專員辦事處或同等機(jī)構(gòu)
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
(7) 金融行動(dòng)特別工作組 (FATF) 的報(bào)告(包括相關(guān)國家/地區(qū)報(bào)告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
(8) 關(guān)于高風(fēng)險(xiǎn)黃金中心/轉(zhuǎn)運(yùn)中心和高洗錢風(fēng)險(xiǎn)國家/地區(qū)的可靠市場情報(bào)
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
2.3 零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈
2.3 Zero tolerance and high-risk supply chains
根據(jù)LBMA和OECD相關(guān)規(guī)定，結(jié)合公司實(shí)際情況，特規(guī)定如下零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍風(fēng)險(xiǎn)：
Zero-tolerance risks:
（1）礦山金/銀來自被指定為世界遺產(chǎn)地的地區(qū)。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
（2）以違反國際制裁(包括但不吸納與聯(lián)合國、歐盟、英國和美國制裁)的方式采購礦山金/銀、再生金/銀。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
（3）礦山金/銀、再生金/銀的供應(yīng)對手方、其他已知的上游公司或其 UBO 是已知的洗錢者、欺詐者或恐怖分子，或曾嚴(yán)重侵犯人權(quán)，或直接或間接支持非法非國家武裝組織。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
礦山金的高風(fēng)險(xiǎn)標(biāo)準(zhǔn)：
High-risk criteria of mining gold:
? 高風(fēng)險(xiǎn)的位置
? High-risk locations
（1）黃金／白銀(含金／銀精礦)來自受沖突影響和高風(fēng)險(xiǎn)地區(qū) (CAHRA) 或曾在該等地區(qū)過境或通過該等地區(qū)運(yùn)輸。
(1) Gold/silver (containing gold/silver concentrate) originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（2）黃金／白銀(含金／銀精礦)據(jù)稱來自已知或合理懷疑來自 CAHRA 的黃金/白銀過境的國家/地。
(2) Gold/silver (containing gold/silver concentrate) purportedly originating from countries/regions known or reasonably suspected to be transited gold/silver from CAHRA.
（3）黃金／白銀(含金／銀精礦)據(jù)稱來自已知儲(chǔ)量、可能資源或預(yù)期產(chǎn)量有限的國家/地區(qū)。
(3) Gold/silver (containing gold/silver concentrate) purportedly originating from known countries/regions with limited reserves, possible resources or expected production.
? 高風(fēng)險(xiǎn)供應(yīng)商/交易方或其他已知上游公司：
? High risk suppliers/parties or other known upstream companies:
（1）具有符合基于位置高風(fēng)險(xiǎn)標(biāo)準(zhǔn)的股東或最終收益方或其他黃金白銀供應(yīng)權(quán)益
(1) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（2）具有身為政治人物最終收益方
(2) With the ultimate beneficiary as a politician
（3）從事高風(fēng)險(xiǎn)商業(yè)活動(dòng)(如軍火、賭博和娛樂業(yè)、古董和藝術(shù)、教派及其領(lǐng)袖)
(3) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and as their leaders)
（4）已知在過去12 個(gè)月曾從高風(fēng)險(xiǎn)國家/地區(qū)采購黃金/白銀
(4) Known to have purchased gold/silver from high-risk countries in the past 12 months
（5）提供的文件有重大差異/不一致，或拒絕提供所要求的文件。
(5) With substantial discrepancies/inconsistencies in the documents provided, or refusal to provide the requested documents.
? 高風(fēng)險(xiǎn)物料：
? High-risk materials:
（1）采購自ASM
(1) Purchased from ASM
（2）使用汞生產(chǎn)
(2) Produced with mercury
（3）造成災(zāi)難性傷害或高度不利的ESG 因素(在公司盡可能能夠識(shí)別的范圍內(nèi))
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生金的高風(fēng)險(xiǎn)標(biāo)準(zhǔn)
High-risk criteria for recycled gold
? 高風(fēng)險(xiǎn)的位置
? High-risk locations
（4）再生金/再生銀來自受沖突影響和高風(fēng)險(xiǎn)地區(qū) (CAHRA) 或曾在該等地區(qū)過境或通過該等地區(qū)運(yùn)輸。
(4) Recycled gold/silver originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（5）再生金/再生銀據(jù)稱來自已知或合理懷疑來自 CAHRA 的黃金/白銀過境的國家/地區(qū)。
(5) Recycled gold/silver purportedly originating from countries/regions known or reasonably suspected to have been transited gold/silver from CAHRA.
（6）再生金/再生銀據(jù)稱來自已知儲(chǔ)量、可能資源或預(yù)期產(chǎn)量有限的國家/地區(qū)。
(6) Recycled gold/silver purportedly originating from countries/regions with limited known reserves, possible resources or expected production.
? 高風(fēng)險(xiǎn)供應(yīng)商/交易方或其他已知上游公司：
? High risk suppliers/transaction parties or other known upstream companies:
（1）在具有高洗錢風(fēng)險(xiǎn)的國家/地區(qū)運(yùn)營
(1) Operating in a country with a high risk of money laundering
（2）具有符合基于位置高風(fēng)險(xiǎn)標(biāo)準(zhǔn)的股東或最終收益方或其他黃金白銀供應(yīng)權(quán)益
(2) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（3）具有身為政治人物最終收益方
(3) With ultimate beneficiaries as politicians
（4）從事高風(fēng)險(xiǎn)商業(yè)活動(dòng)(如軍火、賭博和娛樂業(yè)、古董和藝術(shù)、教派及其領(lǐng)袖)
(4) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and their leaders)
（5）已知在過去 12 個(gè)月曾從高風(fēng)險(xiǎn)國家/地區(qū)采購黃金/白銀
(5) Known to have purchased gold/silver from high-risk countries in the past 12 months
（6）與供應(yīng)鏈中的供應(yīng)商或?qū)κ址街g有重要且無法解釋的運(yùn)輸路線。
(6) There are important and unexplained transportation routes with suppliers or counterparties in the supply chain.
? 高風(fēng)險(xiǎn)物料：
? High-risk materials:
（1）來自具有高風(fēng)險(xiǎn)供應(yīng)鏈的中間精煉廠或交易商或從具有高風(fēng)險(xiǎn)供應(yīng)鏈的中間精煉廠采購的交易對手方
(1) Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
（2）無法證明其為再生金/再生銀
(2) Unable to prove that to be recycled gold/silver
當(dāng)上述評判標(biāo)準(zhǔn)任何一條客觀存在時(shí)，則判定為零容忍或高風(fēng)險(xiǎn)。對于識(shí)別到的零容忍風(fēng)險(xiǎn)，公司將立即終止與交易方的合作并由合規(guī)專員應(yīng)立即上報(bào)合規(guī)風(fēng)控專員，由合規(guī)風(fēng)控專員上報(bào)合規(guī)總監(jiān)。
When any of the above criteria matches with the reality, the situation should be judged as zero tolerance or high risk. For the zero-tolerance risk identified, the Company will immediately terminate the cooperation with the transaction party and the compliance officer should immediately report it to the compliance risk control officer. Then, the compliance risk control officer should report it to the compliance director.
2.4 公司建立風(fēng)險(xiǎn)評估流程，對公司黃金、白銀供應(yīng)商風(fēng)險(xiǎn)進(jìn)行評估：
2.4 With the risk assessment procedure established, the assessment of risks of the company’s gold and silver suppliers was carried out:
由合規(guī)部、業(yè)務(wù)部、財(cái)務(wù)部負(fù)責(zé)對風(fēng)險(xiǎn)事件造成的損失進(jìn)行量化評估，對相關(guān)責(zé)任人追究其責(zé)任，對風(fēng)險(xiǎn)事件跟蹤調(diào)查，消除危險(xiǎn)源，減少損失。
The quantitative assessment of the losses caused by risk events was carried out by the Compliance Department, Business Department and Finance Department to investigate the relevant responsible persons andconduct the follow-up investigation of risk events, with the elimination of danger sourcesand the reduction of losses.
公司通過KYC流程對上游原料供應(yīng)商進(jìn)行盡職調(diào)查，主要包括供應(yīng)商基本信息，業(yè)務(wù)活動(dòng)，供應(yīng)商股東和受益人信息，物料來源，負(fù)責(zé)任采購建立和實(shí)施情況，ESG基本情況，反洗錢、反賄賂和反恐怖主義融資的相關(guān)規(guī)定，強(qiáng)迫勞工和物料運(yùn)輸情況。公司收集了所有黃金白銀交易方的KYC信息，結(jié)合制定的《風(fēng)險(xiǎn)評估表》對交易方進(jìn)行了CAHRAs識(shí)別和風(fēng)險(xiǎn)識(shí)別。所有物料均來自于中國，且中國未被識(shí)別為CAHRAs,也未識(shí)別出供應(yīng)商和其供應(yīng)鏈中有零容忍風(fēng)險(xiǎn)和高風(fēng)險(xiǎn)。
The due diligenceon upstream material suppliers was conducted by the Company through the KYC procedure, mainly including basic information on suppliers, business activities, suppliers’ shareholders and beneficiary information, sources of materials, the establishment and implementation of responsible procurement, basic information on ESG, relevant provisions on anti-money laundering, anti-bribery and anti-terrorist financing, forced labor and material transportcondition.KYC information of all gold and silver trading parties were collected by the Company, and combined with the formulated Risk Assessment Form, the CAHRAs identification and riskidentificationfor trading parties were carried out. All materials are from China, and China has not been identified as CAHRAs, with the non-identification of zero-tolerancerisk and highrisk in suppliers and its supply chain.
如果一旦供應(yīng)鏈中有任何的高風(fēng)險(xiǎn)被識(shí)別出來，公司根據(jù)《LBMA負(fù)責(zé)任黃金指南第9版》，《LBMA負(fù)責(zé)任白銀指南》和《《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來自受沖突影響和高風(fēng)險(xiǎn)區(qū)域礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版）設(shè)計(jì)了《現(xiàn)場考察表》對涉及高風(fēng)險(xiǎn)的供應(yīng)商通過線上和現(xiàn)場拜訪的形式進(jìn)行加強(qiáng)型盡職調(diào)查，如可能，會(huì)聘請有資質(zhì)的公司執(zhí)行，以確定并評估風(fēng)險(xiǎn)。因公司未識(shí)別出任何的高風(fēng)險(xiǎn)，所以沒有也無需實(shí)施加強(qiáng)型盡職調(diào)查流程。
In case any risk in the supply chain is identified, in accordance with the9th Edition of LBMA Responsible Gold Guidance, the LBMA Responsible Silver Guidanceand theOECD Guidance on Responsible Supply Chain Due Diligence for Ores from Conflict-affected and High-risk Regions (Third Edition),theSite Inspection Formwould be designed by the Company to enhance the due diligence on the suppliers involving high risk in the form of online and on-site visits. If any, a qualified company would be employed to determine and assess the risk. As the Company did not identify any high risk, an enhanced due diligence processwas not or needed not be implemented.
3、向高級管理層報(bào)告風(fēng)險(xiǎn)評估
3. Report risk assessment to the senior management
公司建立風(fēng)險(xiǎn)評估報(bào)告制度，每年合規(guī)專員對部門盡職調(diào)查工作匯報(bào)合規(guī)風(fēng)險(xiǎn)官。2022年年度的風(fēng)險(xiǎn)識(shí)別和評估結(jié)果已經(jīng)匯報(bào)給風(fēng)險(xiǎn)總監(jiān)并保留了相應(yīng)的傳達(dá)記錄。
With risk assessment reporting system established, the Compliance Officer reports annually the department due diligence work to the Compliance Risk Officer. The 2022 annual risk identification and assessment results have been reported to the Risk Director and a corresponding communication record has been retained.
第三步 設(shè)計(jì)并實(shí)施策略來應(yīng)對已識(shí)別的風(fēng)險(xiǎn)
Step 3: Design and implement a management strategy to respond to identified risks
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第3步：設(shè)計(jì)和落實(shí)管理體系應(yīng)對識(shí)別的所有風(fēng)險(xiǎn)。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
公司制訂了《供應(yīng)鏈風(fēng)險(xiǎn)減緩管理辦法》并作為文控管理，約定了在供應(yīng)商評估及日常業(yè)務(wù)開展過程中發(fā)現(xiàn)的違規(guī)情況的處理方式；規(guī)范了發(fā)現(xiàn)供應(yīng)商存在高風(fēng)險(xiǎn)行為的處理步驟；明確了盡職管理各級組織、人員的責(zé)任，以及向高級管理人員匯報(bào)實(shí)施進(jìn)度等。
The Supply Chain Risk Mitigation Management Approach was formulated by the Company and it was taken as the document control and management, with the agreement of the method of dealing with violations found in supplier evaluation and daily business development; The procedures for finding high risk behaviors in suppliers were regulated; The responsibilities of due diligence management of all levels of organization and personnel were clarified, and the implementation progress to senior management was reported.
疑似高風(fēng)險(xiǎn)來料后，對其進(jìn)行單獨(dú)登記，并告知精煉車間，對其原料單獨(dú)熔煉，在整個(gè)工藝流程中不與其他客戶混合，對由其原料生產(chǎn)的成品金銀進(jìn)行單獨(dú)編號(hào)，并在金庫中與其他成品金銀分區(qū)域存放。
High-risk or suspected high-risk incoming materials shall be registered separately and conveyed to the refining workshop. The corresponding raw materials shall be melted separately and shall not be mixed with the raw materials from other customers in the whole process flow. The finished gold and silver produced by such raw materials shall be numbered separately and stored separately with other finished gold and silver in the vault.
如果供應(yīng)鏈中識(shí)別出零容忍的風(fēng)險(xiǎn)，公司必須立即終止現(xiàn)有的業(yè)務(wù)關(guān)系。
If a zero-tolerance risk is identified in the supply chain, the Company must immediately terminate the existing business relationship.
當(dāng)實(shí)施加強(qiáng)型盡職調(diào)查后，識(shí)別出以下問題，公司應(yīng)立即停止與交易方的合作關(guān)系，并及時(shí)匯報(bào)給LBMA：
Where the following problems are identified after the enhanced due diligence is carried out, the Company shall immediately stop the cooperative relationship with the trading party and report to LBMAwithout delay:
1. 洗錢
1. Money laundering
2. 恐怖主義融資
2. Terrorist financing
3. 嚴(yán)重侵犯人權(quán)
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報(bào)礦物產(chǎn)地
5. Misrepresentation of mineral origin
當(dāng)實(shí)施加強(qiáng)型盡職調(diào)查后，對以下問題有合理的懷疑，公司應(yīng)立即暫停與交易方的合作關(guān)系，一旦在6個(gè)月內(nèi)從供應(yīng)商初獲取對下述懷疑的反駁性證明和回應(yīng)，即可由合規(guī)總監(jiān)審批后恢復(fù)業(yè)務(wù)關(guān)系。
If there is reasonable doubt about the following problems after the implementation of the enhanceddue diligence, the cooperation with counterparty shall be temporarily suspended by the Company. After the refutation and response to the following suspicions are obtained from the suppliers within six months, business relationship can be resumed upon approval by the Compliance Director.
1. 洗錢
1. Money laundering
2. 恐怖主義融資
2. Terrorist financing
3. 嚴(yán)重侵犯人權(quán)
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報(bào)礦物產(chǎn)地
5. Misrepresentationof mineral origin
6. 具有災(zāi)難性的ESG影響
6. Catastrophic ESG effects
當(dāng)實(shí)施加強(qiáng)型盡職調(diào)查的結(jié)果不令人滿意，或被認(rèn)為依然存在以下情況，但是供應(yīng)商已經(jīng)做出合理和善意的努力，公司可以繼續(xù)與供應(yīng)商合作，并與供應(yīng)商一起繼續(xù)執(zhí)行制定的改善計(jì)劃：
If the implement of due diligence result is not satisfactory, or if it is considered that the supplier has made reasonable efforts in good faith despite the following circumstances, the cooperation with suppliers can be kept by the Company, and the formulated improvement plan can be together executed:
1. 賄賂
1. Bribery
2. 非欺詐性誤報(bào)礦物產(chǎn)地
2. Non-fraudulent misreporting of mineral origin
3. 未支付應(yīng)付政府的稅收、費(fèi)用和特許權(quán)使用費(fèi)
3. Failure to pay taxes, fees and royalties due to the government
4. 嚴(yán)重違反與環(huán)境、健康、安全、勞工和社區(qū)有關(guān)的地方立法，及/或存在極有可能造成高度不利影響的 ESG 風(fēng)險(xiǎn)。
4. Serious violation of environmental, health, safety, labor and community-related local methods, which is highly likely to cause serious adverse effects.
對任何識(shí)別出的風(fēng)險(xiǎn)，公司將會(huì)與交易方和利益相關(guān)方進(jìn)行溝通并制定相應(yīng)的風(fēng)險(xiǎn)緩解計(jì)劃。風(fēng)險(xiǎn)緩解計(jì)劃實(shí)施后，相關(guān)的風(fēng)控專員就供應(yīng)商提供材料證據(jù)與反饋的過程進(jìn)行記錄，對供應(yīng)商所提交的材料進(jìn)行核實(shí)與審查，確保風(fēng)險(xiǎn)緩解進(jìn)展與實(shí)施的有效性并記錄。
With respect to any identified risks, the Company will communicate with counterparties and stakeholders and formulate appropriate risk mitigation plans.After the implementation of the riskmitigation plan, the process of providingmaterial evidence and feedback by suppliers will be recorded by the relevant risk control specialist to verify and review the materials submitted by suppliers, with the guarantee and record of effectiveness of risk mitigation progress and implementation.
公司嚴(yán)格遵守LBMA負(fù)責(zé)任黃金、白銀指南，設(shè)計(jì)并實(shí)施策略來應(yīng)對已識(shí)別的風(fēng)險(xiǎn)。2022年未發(fā)現(xiàn)零容忍和高風(fēng)險(xiǎn)供應(yīng)鏈，不需要做風(fēng)險(xiǎn)緩解措施。
The Company has strictly complied with LBMA Responsible Gold and Silver Guidance and designed and implemented strategies to respond to identified risks. No zero-tolerance and high-risk supply chain is found in 2022 and no risk mitigation measures of supply chain are taken.
第四步 對精煉商的盡職調(diào)查實(shí)踐開展獨(dú)立的第三方審計(jì)
Step 4 Conduct an independent third-party audit of the refiner’s due diligence practice.
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第4步：安排供應(yīng)鏈盡職調(diào)查的獨(dú)立第三方審計(jì)。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司嚴(yán)格遵守對精煉商的盡職調(diào)查實(shí)踐開展獨(dú)立的第三方審計(jì)的要求。自2020年開始，公司已委托RCS Global進(jìn)行LBMA相關(guān)負(fù)責(zé)任合規(guī)審計(jì)并依照審計(jì)要求提供相關(guān)數(shù)據(jù)及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company in since 2020.
公司每年聘請獨(dú)立的第三方審計(jì)機(jī)構(gòu)（深圳和誠會(huì)計(jì)師事務(wù)所）對財(cái)務(wù)進(jìn)行審計(jì)，并出具審計(jì)報(bào)告。
The company hire third party auditors(Shenzhen Hecheng Certified Public Accountant) to conduct financial audit and issue audit report every year.
第五步 供應(yīng)鏈盡職調(diào)查年度報(bào)告
Step 5 Annual report on supply chain due diligence
合規(guī)聲明與要求：
Compliance Statement with Requirement:
我公司已經(jīng)充分遵守第5步：有關(guān)供應(yīng)鏈盡職調(diào)查的報(bào)告。
We have fully complied with Step 5: Report on supply chain due diligence.
公司嚴(yán)格遵守供應(yīng)鏈盡職調(diào)查年度合規(guī)報(bào)告的要求。
The Company has strictly complied with the requirements of Step 5 of the LBMA Responsible Gold and Silver Guidance “annual report on supply chain due diligence”.
公司每年對供應(yīng)鏈盡職調(diào)查政策進(jìn)行公示。
The Company publicizes the supply chain due diligence policy every year.
根據(jù)2022年的盡職調(diào)查結(jié)果，無供應(yīng)商需要進(jìn)行風(fēng)險(xiǎn)緩解的管理策略。在2022年度無黃金、白銀供應(yīng)鏈的評估結(jié)果為未識(shí)別出零容忍的風(fēng)險(xiǎn)和高風(fēng)險(xiǎn)。供應(yīng)鏈盡職管理合規(guī)報(bào)告將在公司官方網(wǎng)站進(jìn)行公示:
https://zhlsy.com/zygg/info_17_itemid_91.html
According to the due diligence results in 2022, no supplier was required to implement a risk mitigation management strategy. In 2022, there were no suppliers whose gold and silver assessment results were zero-tolerance or high risk. The supply chain due diligence management compliance report will be published on the Company’s official website:
https://zhlsy.com/zygg/info_17_itemid_91.html
四、管理結(jié)論
IV. Management conclusion
綜上所述，在報(bào)告年度截至于2022年12月31日的財(cái)務(wù)年內(nèi)，根據(jù)《倫敦金銀市場協(xié)會(huì)（LBMA）負(fù)責(zé)任黃金指南第9版》的要求，深圳市眾恒隆實(shí)業(yè)有限公司實(shí)施了有效的管理制度、程序、流程和實(shí)踐。深圳市眾恒隆實(shí)業(yè)有限公司致力于不斷的改進(jìn)提升，所有的糾正措施將在內(nèi)部進(jìn)行定期監(jiān)測。
In conclusion, in the financial year ended December 31, 2022, Shenzhen Zhonghenglong Industrial Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold and Silver Guidance. Shenzhen Zhonghenglong Industrial Co., Ltd. is committed to continuous improvement and all corrective measures will be regularly monitored internally.
五、其他報(bào)告批注
V. Other report comments
如果本報(bào)告用戶希望就本報(bào)告向深圳市眾恒隆實(shí)業(yè)有限公司進(jìn)行任何反饋，則可以通過郵箱478152938@qq.com聯(lián)系企業(yè)相關(guān)部門。
If users of this report wish to provide any feedback to Shenzhen Zhonghenglong Industrial Co., Ltd with respect to this report, feel free to contact related departments of the enterprise by E-mail 478152938@qq.com.
