深 圳 市 眾 恒 隆 實(shí) 業(yè) 有 限 公 司

         SHENZHEN ZHONGHENGLONG INDUSTRIAL CO.,LTD.

黃金／白銀負(fù)責(zé)任采購供應(yīng)鏈盡職調(diào)查政策

Document name: Due Diligence Policy of Gold/Silver Responsible Sourcing Supply Chain

我公司清楚地認(rèn)識到從沖突區(qū)域和高風(fēng)險區(qū)域開采、處理和進(jìn)出口金屬產(chǎn)品可能會產(chǎn)生的不利影響，也清楚地認(rèn)識到我們有尊重人權(quán)、不支持沖突的責(zé)任。公司將嚴(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)，確保黃金白銀的來源是合法的。為此，我們根據(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)險區(qū)域的礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版）對黃金白銀供應(yīng)鏈中識別出的以下風(fēng)險進(jìn)行風(fēng)險識別、評估和管理：

With the clear understanding of the possible adverse effects of mining, processing, importing and exporting metal products from conflict-affected areas and high-risk areas, as well as our responsibility to respect human rights and not support conflicts, our company will strictly abide by the national laws and regulations on the rights of employees, environmental protection, fair trade and other laws and regulations to ensure the legal source of gold and silver. For this purpose, we will carry out risk identification, assessment and management of the following risks identified in the gold and silver supply chain in accordance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (3rd edition):

一、對開采、運(yùn)輸或交易而引起的大規(guī)模濫用人權(quán)：

I. On mass abuse of human rights arising from mining, transportation or trading:

1.任何形式的酷刑和其他殘忍、不人道或有辱人格的待遇；

1. Any form of torture and other cruel, inhuman or degrading treatment;

2.任何形式的強(qiáng)制勞動，即以威脅的方式強(qiáng)迫任何人進(jìn)行工作或提供服務(wù)，而非此人自愿；

2. Any form of forced labor, namely, forced any person to work or provide service in a threatening manner in the case that he is not voluntary;

3.最惡劣形式的童工；

3. The worst form of child labour;

4.其他嚴(yán)重侵犯和踐踏人權(quán)的行為，如性暴力等違背人權(quán)、濫用人權(quán)的罪行；

4. Other behaviors seriously violating and trampling on human rights, such as sexual violence and other crimes against and abuse of human rights;

5.戰(zhàn)爭罪行，或其他嚴(yán)重違背國際人道主義法、反人道、造成種族滅絕的罪行。

5. War crimes, or other crimes seriously violating international humanitarian law, against humanity and causing genocide.

如果我們確定上游供應(yīng)商觸犯上述任何一條，我們將立即中斷或中止與該供應(yīng)商的合作。

In case of violation against any of the above items of the upstream supplier, we will immediately interrupt or suspend the cooperation with the supplier.

二、直接或間接支持非政府武裝團(tuán)體或公共或私人安全部隊(duì)：

II. On direct or indirect support to non-governmental armed groups or public or private security forces:

（包括但不限于做出下列行為的非政府武裝團(tuán)體、公共或私人安全部隊(duì)或其附屬機(jī)構(gòu)）：

(including but not limited to, non-governmental armed groups, public or private security forces or their affiliates that commit the following acts):

1.非法控制礦點(diǎn)或非法控制運(yùn)輸路線、金屬交易點(diǎn)及供應(yīng)鏈的上游供應(yīng)商；

1. Illegal control of mining sites or transport routes, metal trading places and supply chains by upstream suppliers;

2.在礦點(diǎn)入口點(diǎn)、運(yùn)輸沿線或金屬交易點(diǎn)進(jìn)行非法敲詐勒索；

2. Illegal extortion at the entry point of the mining site, along the transportation routes or at the metal trading places;

3.非法敲詐中間商、出口公司或國際貿(mào)易商，為恐怖組織融資，助長沖突等。

3. Illegal extortion of middlemen, export companies or international traders, financing for terrorist organizations, fuelling conflicts, etc.

如果我們確定上游供應(yīng)商從向非國家武裝團(tuán)體，公共或私人安全部隊(duì)提供直接或間接支持的任何一方進(jìn)行采購或與之存在關(guān)系或上游供應(yīng)商觸犯上述任何一條，我們將立即暫時停止或中斷與該供應(yīng)商的合作。

In case of provision of or relation to direct or indirect support to non-national armed groups, public or private security forces from the upstream suppliers, or violation against any above items of the upstream suppliers, we will immediately suspend or interrupt the cooperation with the supplier.

三、關(guān)于行賄受賄洗錢及礦產(chǎn)原產(chǎn)地的欺詐性失實(shí)陳述

III. On fraudulent misrepresentation of bribery, money laundering and mineral origin

1.行賄受賄、欺詐性誤報：提出、承諾、進(jìn)行或索要任何賄賂，掩蓋或偽造礦產(chǎn)原產(chǎn)地，虛報礦產(chǎn)開采、貿(mào)易、處理、運(yùn)輸、出口等活動應(yīng)向政府繳納的稅收、費(fèi)用和特許開采費(fèi)而行賄等行為。

1. Bribery offering and accepting, and fraudulent misrepresentation: behaviors such as putting forward, promising, offering and demanding any bribe, covering up or forging the origin of minerals, and bribery offering due to false statements on taxes, fees and royalties payable to the government for mineral mining, trade, processing, transportation, export and other activities.

2. 如果我們確定上游供應(yīng)商存在行賄、受賄、或欺詐性誤報或上游供應(yīng)商觸犯上述任何一條，我們將立即暫時停止或中斷與該供應(yīng)商的合作。

2. In case of bribery offering, bribery accepting, or fraudulent misrepresentation of the upstream suppliers, or violation against any above items of the upstream supplier, we will immediately suspend or interrupt the cooperation with the supplier.

四、關(guān)于洗錢、反恐怖主義融資

IV. On money laundering and anti-terrorist financing

1. 洗錢、反恐怖主義融資：存在因開采、貿(mào)易、處理、運(yùn)輸或出口在礦址入口、運(yùn)輸路線沿線、或上游供應(yīng)商礦產(chǎn)交易地進(jìn)行非法征稅或勒索而得的礦產(chǎn)所引起或與之相關(guān)的洗錢風(fēng)險貨恐怖主義融資。

1. Money laundering and anti-terrorist financing: money laundering risks and terrorist financing arising from or related to the mining, trade, processing, transportation or export of minerals obtained from illegal taxation or extortion at the entrance of the mining site, along the transportation routes, or at the mineral trading places of the upstream supplier.

2. 如果我們確定上游供應(yīng)商存在洗錢、反恐怖主義融資的風(fēng)險，我們將立即終止與該供應(yīng)商的合作。

2. In case of any risks of money laundering and anti-terrorist financing of the upstream suppliers, we will immediately terminate the cooperation with the supplier.

五、在受沖突影響和高風(fēng)險地區(qū)的礦產(chǎn)開采、貿(mào)易和出口方面，不遵守應(yīng)向政府繳納的稅收、特許權(quán)使用管理費(fèi)。

V. On incompliance with taxes and royalties and management fees payable to the government in terms of mining, trade and export of minerals in conflict-affected and high-risk areas

1.上游供應(yīng)商或礦區(qū)未向政府支付所有與受沖突影響和高風(fēng)險區(qū)域礦石開采、貿(mào)易、出口相關(guān)的合法稅收、費(fèi)用和特許費(fèi)，并且沒有根據(jù)上游供應(yīng)商在供應(yīng)鏈上所處位置依照《采掘行業(yè)透明度行動計劃》（EITI）中的各項(xiàng)原則對此類支付進(jìn)行有效披露。

1. The upstream supplier or mining area has not paid all the legal taxes, fees and royalties related to the mining, trade and export of minerals in the conflict-affected and high-risk areas to the government, and has not effectively disclosed such payments according to the principles of the Extractive Industries Transparency Initiative (EITI) based on the location of the upstream supplier in the supply chain.

2.如果我們確定上游供應(yīng)商沒有繳納在受沖突影響和高風(fēng)險區(qū)域想的合法稅收、費(fèi)用和特續(xù)費(fèi)并且沒有根據(jù)《采掘業(yè)行業(yè)透明度行動計劃》（EITI)中的各項(xiàng)原則對此類支付進(jìn)行披露的，我們將立即暫時停止或中斷與該上游供應(yīng)商的合作（本公司會定期（季度）更新關(guān)于EITI相關(guān)國家的名單內(nèi)容，確保相關(guān)國家名單無誤）。

2. If we determine that the upstream supplier has not paid the legal taxes, fees and royalties in the conflict-affected and high-risk areas and has not disclosed such payments in accordance with the principles of the Extractive Industries Transparency Initiative (EITI), we will immediately suspend or discontinue the cooperation with the upstream supplier (the Company will regularly (quarterly) update the list of EITI related countries to ensure that the list of relevant countries is correct).

六、對于開采金和銀供應(yīng)鏈中的環(huán)境、社會責(zé)任和治理的風(fēng)險：

VI. On risks of environment, social responsibility and governance in gold and silver mining supply chain:

1.環(huán)境：對空氣、水、土地污染、開采黃和銀開采黃金源于世界遺產(chǎn)遺址或國內(nèi)自然生態(tài)保護(hù)區(qū)、危險化學(xué)品（包括汞和氰化物）

1. Environment: pollution of air, water and land, gold and silver mining from world heritage sites or domestic natural ecological preservation area, and hazardous chemicals (including mercury and cyanide)

2.勞工：包括薪酬、工作時間、集體談判、歧視、多樣性、糾紛和工人權(quán)益保障。

2. Labor: including compensation, working hours, collective bargaining, discrimination, diversity, disputes and protection of workers’ rights and interests.

3. 社區(qū)參與和管理方案(土地征用和社區(qū)重新安置、文化遺產(chǎn)地和土著人民、關(guān)閉規(guī)劃和保護(hù)弱勢群體)。

3. Community participation and management scheme (land acquisition and community resettlement, cultural heritage sites and indigenous peoples, closure planning and protection of vulnerable groups).

4. 管理商業(yè)誠信和道德行為，并支持實(shí)施相關(guān)倡議(如采掘業(yè)透明度倡議(EITI))

4. Management of business integrity and ethical behavior, and support for the implementation of relevant initiatives (such as the Extractive Industries Transparency Initiative (EITI))

如果我們確定上游供應(yīng)商觸犯上述任何一條，我們將立即暫?；蛑兄古c此供應(yīng)商的交易和接洽。

If we determine that the upstream supplier violates any of the above, we will immediately suspend or discontinue the transaction and connection with such supplier.

七、不以任何方式向個人，包括政府官員、客戶、和供應(yīng)商或任何其他組織提出、承諾、給予或要求賄賂或回扣。

VII. It is forbidden to offer, promise, give or request bribes or kickbacks to individuals, including government officials, customers, suppliers or any other organizations in any way.

八、要求我們的員工、供應(yīng)商和商業(yè)伙伴遵守上述政策，并采取必要措施來保障上述政策的貫徹落實(shí)。

VIII. Our employees, suppliers and business partners are required to comply with the above policies and take necessary measures to ensure the implementation of the above policies.

為了支持并確保風(fēng)險的評估和識別，公司設(shè)立了合規(guī)總監(jiān)、合規(guī)風(fēng)險官、合規(guī)專員并明確定義了各個部門的職責(zé)。定義給員工提供了培訓(xùn)以確保工作的正常開展。同時，建立了供應(yīng)商調(diào)查程序了解供應(yīng)鏈和供應(yīng)商，以進(jìn)行充分的風(fēng)險識別和評估，相關(guān)的程序和執(zhí)行文件均被有效保存。

In order to support and ensure the risk assessment and identification, the Company has set up the compliance director, compliance risk officer and compliance specialist, and clearly defined the responsibilities of each department. The implementation of definition provides training for employees to ensure that work is carried out properly. In addition, the supplier investigation procedure has been established to understand the supply chain and suppliers, so as to conduct sufficient risk identification and assessment, and relevant procedures and execution documents have been effectively kept.

我公司愿意接受客戶和相關(guān)組織的監(jiān)督，并歡迎供應(yīng)商和利益相關(guān)方對上述政策提供建議。

Our company is open to the supervision of customers and relevant organizations, and welcomes suggestions from suppliers and the interested party on the above policies.

聯(lián)系電話：0755-29503388

Contact phone number: 0755-29503388

聯(lián)系郵箱： Ken@zhlsz.net

Contact email: Ken@zhlsz.net