此報(bào)告是內(nèi)蒙古乾坤金銀精煉股份有限公司按照ISAE3000業(yè)務(wù)要求，對(duì)精煉廠2022年1月1日至2022年12月31日內(nèi)黃金（白銀）供應(yīng)鏈盡職調(diào)查情況進(jìn)行的匯總。2021年內(nèi)蒙古乾坤金銀精煉股份有限公司完成遷址進(jìn)行生產(chǎn)。此次審核為完成遷址后的第一次完整年度審核。本年度按照《倫敦金銀市場(chǎng)協(xié)會(huì)（LBMA）可靠黃金（白銀）指導(dǎo)原則》要求，內(nèi)蒙古乾坤公司作為L(zhǎng)BMA良好交割精煉企業(yè)，在遵守經(jīng)合組織盡職調(diào)查、多德-弗蘭克華爾街改革和消費(fèi)者保護(hù)法案等相關(guān)法案要求內(nèi)，建立并完善運(yùn)行管理體系多年，建立系統(tǒng)完善的供應(yīng)鏈盡職調(diào)查體系，在控制打擊系統(tǒng)的侵犯人權(quán)行為，避免引發(fā)及助長(zhǎng)沖突，遵守反洗錢(qián)標(biāo)準(zhǔn)要求，并打擊恐怖主義的融資、可持續(xù)發(fā)展、等行為方面，完全符合LBMA的基本要求。
This report is a summary of the due diligence of the gold (silver) supply chain of the refinery from January 1, 2022 to December 31, 2022 by Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. in accordance with ISAE3000 business requirements. In 2021, Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. completed the relocation and production. This audit is the first full annual audit after the relocation. In accordance with the requirements of the London Gold and Silver Market Association (LBMA) Guidelines for Reliable Gold (Silver), Inner Mongolia Qiankun Company, as a LBMA good delivery and refining enterprise, has established and improved the operation management system for many years and established a systematic and complete supply chain due diligence system within the scope of compliance with the requirements of the OECD due diligence, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the European Union Conflict Minerals Regulations and other relevant laws, It fully meets the basic requirements of LBMA in controlling and combating systematic human rights violations, avoiding and fuelling conflicts, complying with the requirements of anti-money laundering standards, and combating terrorist financing, sustainable development, etc.
內(nèi)蒙古乾坤金銀精煉股份有限公司（以下簡(jiǎn)稱(chēng)乾坤公司）是在1999年3月，經(jīng)中國(guó)人民銀行總行和內(nèi)蒙古自治區(qū)分行同意，并由內(nèi)蒙古自治區(qū)人民政府體改委批準(zhǔn)，在原內(nèi)蒙古貴金屬冶煉廠、內(nèi)蒙古金店的基礎(chǔ)上，通過(guò)資產(chǎn)重組和全員入股的形式完成了公司股份制改革。
乾坤公司成立后，始終堅(jiān)持管理創(chuàng)新、技術(shù)創(chuàng)新的經(jīng)營(yíng)理念，使公司的生產(chǎn)能力和技術(shù)水平長(zhǎng)足發(fā)展。形成了具有年精煉提純黃金150噸、白銀300噸、加工金銀飾品和民族工藝品8噸的能力。累計(jì)完成中國(guó)人民銀行總行國(guó)庫(kù)金銀精煉任務(wù)黃金500余噸，白銀1000余噸。在國(guó)內(nèi)、國(guó)際黃金白銀市場(chǎng)樹(shù)立了“乾坤”品牌的良好形象，公司一度被列入內(nèi)蒙古自治區(qū)重點(diǎn)培育和發(fā)展的二十家企業(yè)之一，“乾坤”品牌被自治區(qū)工商局評(píng)為著名商標(biāo)，被自治區(qū)科技廳授予“自治區(qū)高新技術(shù)企業(yè)”等榮譽(yù)稱(chēng)號(hào)。
多年來(lái)，經(jīng)過(guò)公司管理人員、技術(shù)人員及全體員工的共同努力，乾坤公司在生產(chǎn)和技術(shù)資質(zhì)方面取得很好的成績(jī)。公司自行研制的“乾坤”牌400盎司金錠和1000盎司銀錠于1999年10月27日和2000年6月6日分別獲得英國(guó)倫敦黃金市場(chǎng)協(xié)會(huì)優(yōu)質(zhì)交易錠資格，成為國(guó)際通用免檢產(chǎn)品，成為國(guó)內(nèi)率先通過(guò)國(guó)際金銀雙認(rèn)證的精煉企業(yè)。2000年7月公司順利通過(guò)了ISO9001質(zhì)量管理體系認(rèn)證，2002年6月又通過(guò)了ISO14001環(huán)境管理體系認(rèn)證；2001年隨著中國(guó)金銀市場(chǎng)的改革，乾坤公司憑行業(yè)良好信譽(yù)和優(yōu)質(zhì)產(chǎn)品成為了上海黃金交易所批會(huì)員單位，并被指定為“上交所”批合格精煉廠；2000年1月公司實(shí)驗(yàn)室通過(guò)了國(guó)家實(shí)驗(yàn)室認(rèn)可委員會(huì)的認(rèn)可，公司化驗(yàn)室的化驗(yàn)報(bào)告在行業(yè)內(nèi)具有高度權(quán)威性；2002年公司化驗(yàn)室研發(fā)的“光譜金銀標(biāo)樣”被國(guó)家技術(shù)監(jiān)督局定為一級(jí)標(biāo)準(zhǔn)物質(zhì)，為公司開(kāi)辟了生產(chǎn)金銀標(biāo)準(zhǔn)業(yè)務(wù)的基礎(chǔ)。
所有這些成績(jī)的取得，也為公司貴金屬行業(yè)內(nèi)爭(zhēng)得良好信譽(yù)，公司于2000年和2002年度被中國(guó)黃金協(xié)會(huì)評(píng)為“中國(guó)黃金行業(yè)之”，2004年“乾坤”品牌被世界品牌實(shí)驗(yàn)室，世界經(jīng)濟(jì)論壇和世界經(jīng)理人聯(lián)合會(huì)評(píng)為“2004年中國(guó)500強(qiáng)具價(jià)值品牌”，品牌價(jià)值達(dá)6.08億元。同時(shí)，公司還是國(guó)家外經(jīng)貿(mào)部批準(zhǔn)擁有白銀自營(yíng)進(jìn)出口經(jīng)營(yíng)權(quán)的企業(yè)，“乾坤”牌馬頭標(biāo)識(shí)的銀產(chǎn)品曾遠(yuǎn)銷(xiāo)歐、美以及東南亞的日本、韓國(guó)、香港等國(guó)家和地區(qū)，成為呼和浩特市出口創(chuàng)匯的大戶(hù)。
本公司的主要原材料來(lái)源分為從國(guó)內(nèi)、國(guó)外獲得的再生金和內(nèi)蒙古本地礦山生產(chǎn)的礦產(chǎn)金。共有 37 家黃金供應(yīng)商，8家白銀供應(yīng)商，均為國(guó)內(nèi)低風(fēng)險(xiǎn)供應(yīng)商。本公司對(duì)所有交易對(duì)手方都進(jìn)行了盡職和供應(yīng)鏈審查或相關(guān)情況的補(bǔ)充審查。
本報(bào)告概述了我公司如何遵守《倫敦金銀市場(chǎng)協(xié)會(huì)（LBMA）可靠黃金（白銀）指導(dǎo)原則》的要求，保持體系正常運(yùn)轉(zhuǎn)的匯總情況。
Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. (hereinafter referred to as Qiankun Company) completed the company's joint-stock reform in March 1999, with the consent of the People's Bank of China Head Office and Inner Mongolia Autonomous Region Branch, and with the approval of the Inner Mongolia Autonomous Region Government Reform Commission. Based on the original Inner Mongolia Precious Metal Smelter and Inner Mongolia Gujin Dian, it completed the company's joint-stock reform through asset restructuring and full employee shareholding.
After the establishment of Qiankun Company, it has always adhered to the business philosophy of management innovation and technological innovation, enabling the company's production capacity and technological level to develop significantly. Formed the ability to refine and purify 150 tons of gold, 300 tons of silver, and process 8 tons of gold and silver jewelry and ethnic handicrafts annually. We have completed the task of refining gold and silver from the treasury of the People's Bank of China, totaling over 500 tons of gold and over 1000 tons of silver. We have established a good image of the "Qiankun" brand in the domestic and international gold and silver markets. The company was once listed as one of the 20 key enterprises cultivated and developed in Inner Mongolia Autonomous Region. The "Qiankun" brand was recognized as a famous trademark by the Autonomous Region Administration for Industry and Commerce, and was awarded honorary titles such as "Autonomous Region High tech Enterprise" by the Autonomous Region Science and Technology Department.
Over the years, with the joint efforts of the company's management, technical personnel, and all employees, Qiankun Company has achieved good results in production and technical qualifications. The company's self-developed "Qiankun" brand 400 ounce gold ingots and 1000 ounce silver ingots were qualified for high-quality trading ingots by the London Gold Market Association on October 27, 1999 and June 6, 2000, respectively, becoming an international universal inspection free product and the first refining enterprise in China to pass the international gold and silver dual certification. In July 2000, the company successfully passed the ISO9001 quality management system certification, and in June 2002, it also passed the ISO14001 environmental management system certification; In 2001, with the reform of China's gold and silver market, Qiankun Company became a member of the Shanghai Gold Exchange with good reputation and high-quality products in the industry, and was designated as a qualified refinery of the "Shanghai Stock Exchange"; In January 2000, the company's laboratory was recognized by the National Laboratory Accreditation Committee, and the laboratory test reports of the company have high authority in the industry; In 2002, the "Spectral Gold and Silver Standard Sample" developed by the company's laboratory was designated as a first-class standard substance by the National Technical Supervision Bureau, laying the foundation for the company's production of gold and silver standard business.
All these achievements have also earned the company a good reputation in the precious metal industry. In 2000 and 2002, the company was awarded the title of "One of China's Gold Industry" by the China Gold Association, and in 2004, the "Qiankun" brand was awarded the title of "2004 China's Top 500 Valuable Brands" by the World Brand Laboratory, the World Economic Forum, and the World Federation of Managers, with a brand value of 608 million yuan. At the same time, the company is also an enterprise approved by the Ministry of Foreign Trade and Economic Cooperation of the People's Republic of China to have the right to self operate import and export of silver. The silver products with the "Qiankun" brand logo have been exported to Europe, the United States, as well as countries and regions in Southeast Asia such as Japan, South Korea, and Hong Kong, becoming a major exporter of foreign exchange in Hohhot.
The main sources of raw materials for our company are recycled gold obtained from domestic and foreign sources, and mineral gold produced by local mines in Inner Mongolia. There are a total of 37 gold suppliers and 8 silver suppliers, all of which are domestic low-risk suppliers. Our company has conducted due diligence and supply chain reviews or supplementary reviews of relevant situations on all counterparties.
This report provides an overview of our company’s following requirements of the LBMA Responsible Gold (Silver) Guidance and keeping normal operation of the system.
表1.精煉企業(yè)詳細(xì)介紹：
Table 1. Detailed Introduction to the Refiner:
表2.證明合規(guī)而開(kāi)展的活動(dòng)匯總
Table 2. Summary of Activities Implemented for Proving Compliance
第一步：建立完善的公司管理體系
Step 1: Establish a sound company management system
1.采納并致力實(shí)施黃金供應(yīng)鏈盡職調(diào)查政策
1. Adoption and commitment to the implementation of the gold supply chain due diligence policy
公司根據(jù)本指南第九版的要求，修訂了《供應(yīng)鏈盡職調(diào)查管理辦法》我公司于2022年發(fā)布了《黃金（白銀）供應(yīng)鏈盡職調(diào)查政策》(QKSF/LBMA/WJ-01),該政策符合經(jīng)合組織《來(lái)自受沖突影響和高風(fēng)險(xiǎn)地區(qū)礦石負(fù)責(zé)人供應(yīng)鏈盡職調(diào)查指南》附錄Ⅱ中列出的模式一致，并擴(kuò)展至解決精煉商原生金供應(yīng)鏈中不利于ESG因素的黃金供應(yīng)鏈政策。包括但不限于人權(quán)、支持沖突、賄賂、洗錢(qián)、恐怖主義、環(huán)境污染防治及可持續(xù)發(fā)展、等方面。供應(yīng)鏈盡職調(diào)查政策中規(guī)定了我們的政策、責(zé)任、流程，并開(kāi)展以風(fēng)險(xiǎn)為基礎(chǔ)的盡職調(diào)查，篩選和識(shí)別供應(yīng)商并監(jiān)督交易，確定了管理機(jī)構(gòu)。
According to the requirements of the ninth edition of this guideline, the company has revised the "Supply Chain Due Diligence Management Measures". In 2022, our company issued the "Gold (Silver) Supply Chain Due Diligence Policy" (QKSF/LBMA/WJ-01), which is consistent with the model listed in Appendix II of the OECD "Supply Chain Due Diligence Guidelines for Ore Principals from Conflict Affected and High Risk Areas", And expand to address the gold supply chain policies that are not conducive to ESG factors in the primary gold supply chain of refiners. Including but not limited to human rights, conflict support, bribery, money laundering, terrorism, environmental pollution prevention and sustainable development, etc. Our supply chain due diligence policy specifies our policies, responsibilities, and processes, and conducts risk based due diligence to screen and identify suppliers and supervise transactions, and identifies management agencies.
2.建立管理架構(gòu)以支持供應(yīng)鏈盡職調(diào)查
2.Establish management structure to support supply chain due diligence
政策要求公司及其供應(yīng)商嚴(yán)格遵守國(guó)家關(guān)于職工權(quán)利、環(huán)境保護(hù)、可持續(xù)發(fā)展、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，按照公司供應(yīng)鏈盡職調(diào)查政策，建立了內(nèi)部管理制度，規(guī)定了各環(huán)節(jié)的職責(zé)和分工、內(nèi)部審計(jì)要求、溝通機(jī)制等明確劃分，并開(kāi)展高級(jí)管理層評(píng)審。公司董事會(huì)定期對(duì)公司業(yè)務(wù)合規(guī)性進(jìn)行審查，定期評(píng)估供應(yīng)鏈盡職調(diào)查政策和流程的有效性，推進(jìn)持續(xù)改進(jìn)。成立了合規(guī)小組，確定了一名高級(jí)管理者擔(dān)任合規(guī)總監(jiān)，設(shè)立三名合規(guī)專(zhuān)員，分別為營(yíng)銷(xiāo)專(zhuān)員、庫(kù)房專(zhuān)員和財(cái)務(wù)專(zhuān)員。因遷址原因合規(guī)小組現(xiàn)有人員與遷址審計(jì)有如下改變（原合規(guī)總監(jiān)由包飛變更為吳振、原營(yíng)銷(xiāo)專(zhuān)員由鄔浩楠變更為郝巴根、原財(cái)務(wù)專(zhuān)員由黃玲玲變更為熊婷婷，庫(kù)房專(zhuān)員由宋麗變更為鄔浩楠）變更后定期召開(kāi)專(zhuān)題會(huì)議，定期組織相關(guān)部門(mén)人員進(jìn)行培訓(xùn)。合規(guī)總監(jiān)職位由公司深圳分公司總經(jīng)理吳振擔(dān)任，負(fù)責(zé)主持公司日常供應(yīng)鏈盡 職調(diào)查工作，建立和完善供應(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)供應(yīng)鏈盡職調(diào)查異常處理，審核合規(guī)報(bào)告。吳振先生曾擔(dān)任其他黃金公司的合規(guī)總監(jiān)，現(xiàn)任一家黃金公司的總經(jīng)理。他在 財(cái)務(wù)管理、供應(yīng)鏈管理、市場(chǎng)開(kāi)發(fā)和黃金收購(gòu)等方面具有豐富的經(jīng)驗(yàn)。
各合規(guī)專(zhuān)員具體管理這一過(guò)程，并且直接向合規(guī)總監(jiān)吳振和公司高管層進(jìn)行匯報(bào)。對(duì)新增的供應(yīng)商，在合同評(píng)審時(shí)，也要合規(guī)總監(jiān)和高管參加專(zhuān)門(mén)審核客戶(hù)的合規(guī)資質(zhì)。我司嚴(yán)格遵守資金監(jiān)管與合作方審核制度保證通過(guò)官方銀行渠道進(jìn)行業(yè)務(wù)性付款，每年與政府及相應(yīng)合規(guī)企業(yè)進(jìn)行合作與業(yè)務(wù)對(duì)接同時(shí)保留相關(guān)記錄。2022年，公司嚴(yán)格執(zhí)行《供應(yīng)鏈盡職調(diào)查管理措施》，^按要求開(kāi)展供應(yīng)鏈盡職調(diào)查工作，調(diào)查所有供應(yīng)商資質(zhì)，監(jiān)控所有交易，未與零容忍供應(yīng)鏈和高風(fēng)險(xiǎn)供應(yīng)鏈建立關(guān)系。此外，嚴(yán)格按照公司規(guī)定的批準(zhǔn)流程，對(duì)所有原材料采購(gòu)業(yè)務(wù)（作為合同附件）簽訂了供應(yīng)商合同和供應(yīng)商承諾書(shū)。所有的供應(yīng)商都承諾，原材料的來(lái)源符合金銀指導(dǎo)方針的要求。公司今年未因調(diào)查工作不佳或材料誤報(bào)而出現(xiàn)任何評(píng)估和處罰問(wèn)題。
The policy requires the company and its suppliers to strictly comply with various national laws and regulations on employee rights, environmental protection, sustainable development, fair trade, and actively participate in supply chain due diligence work. In accordance with the company's supply chain due diligence policy, an internal management system has been established, specifying the responsibilities and division of labor, internal audit requirements, communication mechanisms, and other clear divisions of each link, and conducting senior management reviews. The company's board of directors regularly reviews the compliance of the company's business, evaluates the effectiveness of supply chain due diligence policies and processes, and promotes continuous improvement. A compliance team was established, and a senior manager was appointed as the compliance director. Three compliance officers were established, namely the marketing officer, warehouse officer, and finance officer. Due to relocation reasons, the existing personnel of the compliance team and the relocation audit have undergone the following changes (the former compliance director has been changed from Bao Fei to Wu Zhen, the former marketing specialist has been changed from Wu Haonan to Hao Bagen, theformer financial specialist has been changed from Huang Lingling to Xiong Tingting, and the warehouse specialist has been changed from Song Li to Wu Haonan). After the change, regular special meetings have been held to organize training for relevant department personnel. The position of Compliance Director is held by Wu Zhen, the General Manager of the Shenzhen Branch of the company. He is responsible for overseeing the daily supply chain due diligence work of the company, establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process, coordinating the handling of supply chain due diligence anomalies, and reviewing compliance reports. Mr. Wu Zhen has served as the Compliance Director of other gold companies and is currently the General Manager of a gold company. He has extensive experience in financial management, supply chain management, market development, and gold acquisition.
Each compliance specialist specifically manages this process and reports directly to the compliance director, Wu Zhen, and the company's senior management. For newly added suppliers, the compliance director and senior management should also participate in the specialized review of customer compliance qualifications during contract review. Our company strictly adheres to the fund supervision and partner review system to ensure that business payments are made through official banking channels. We cooperate and connect with the government and corresponding compliant enterprises every year while retaining relevant records. In 2022, the company strictly implemented the "Supply Chain Due Diligence Management Measures", conducted supply chain due diligence work as required, investigated all supplier qualifications, monitored all transactions, and did not establish relationships with zero tolerance supply chains and high-risk supply chains. In addition, in strict accordance with the approval process stipulated by the company, supplier contracts and supplier commitment letters have been signed for all raw material procurement businesses (as contract attachments). All suppliers promise that the source of raw materials meets the requirements of the gold and silver guidelines. The company has not encountered any evaluation or punishment issues due to poor investigation work or material misstatement this year.
3.建立黃金可追溯性系統(tǒng)
3. Establish gold traceability system
公司建有完善的金銀原料接收處理程序，在處理每批次金銀原料之前，必須按照《黃金（白銀）供應(yīng)鏈盡職調(diào)查政策》(QKSF/LBMA/WJ-01)和《黃金（白銀）交易過(guò)程風(fēng)險(xiǎn)控制流程》(QKSF/LBMA/WJ-02)進(jìn)行。合規(guī)專(zhuān)員對(duì)每批次金銀原料供應(yīng)商均按照KYC 調(diào)查問(wèn)卷中包含的供應(yīng)鏈盡職調(diào)查管理系統(tǒng)，在簽署合同前對(duì)供應(yīng)鏈進(jìn)行了調(diào)查。供應(yīng)商在詢(xún)價(jià)完成時(shí)簽署供應(yīng)商承諾書(shū)作為合同附件，保證原材料是合法的、符合并滿足負(fù)責(zé)的金（銀）指南的要求
盡職調(diào)查和結(jié)果審查，由分管副總經(jīng)理批準(zhǔn)。公司對(duì)每一批次合規(guī)原料都予以記錄，并附以唯一的編號(hào)，該編號(hào)從原料進(jìn)廠到生產(chǎn)過(guò)程和出廠一直保持不變，以便追溯。公司會(huì)完整保留黃金（白銀）原料客戶(hù)檔案及相關(guān)過(guò)程記錄（此記錄保存5年以上）。
The company has a comprehensive process for receiving and processing gold and silver raw materials. Before processing each batch of gold and silver raw materials, it must follow the "Gold (Silver) Supply Chain Due Diligence Policy" (QKSF/LBMA/WJ-01) and "Gold (Silver) Trading Process Risk Control Process" (QKSF/LBMA/WJ-02). The compliance officer conducted a supply chain due diligence management system investigation on each batch of gold and silver raw material suppliers in accordance with the KYC survey questionnaire before signing the contract. The supplier signs a supplier commitment letter as an attachment to the contract upon completion of the inquiry, ensuring that the raw materials are legal, comply with, and meet the requirements of the responsible gold (silver) guidelines
Due diligence and result review shall be approved by the Deputy General Manager in charge. The company records each batch of compliant raw materials and attaches a unique number, which remains unchanged from the time the raw materials enter the factory to the production process and factory for easy traceability. The company will maintain a complete customer record of gold (silver) raw materials and relevant process records (this record will be kept for more than 5 years).
4.加強(qiáng)公司與黃金供應(yīng)對(duì)手方的聯(lián)系
4. Strengthen the contact between the company and the gold supply counterparty
公司建立有完整的黃金（白銀）供應(yīng)商溝通機(jī)制，與供應(yīng)商簽訂了書(shū)面形式的承諾書(shū)，并盡力協(xié)助黃金白銀供應(yīng)商建立他們的盡職調(diào)查體系。對(duì)于每批次業(yè)務(wù)、每個(gè)供應(yīng)商（包括交易代理客戶(hù)）均提前向其告知我公司的供應(yīng)鏈盡職調(diào)查政策，并進(jìn)行盡職調(diào)查。對(duì)于不符合盡職調(diào)查政策的業(yè)務(wù)，公司不與其簽訂合同。要求供應(yīng)商既要符合上海黃金交易所的條件，也符合LBMA規(guī)則要求。對(duì)于業(yè)務(wù)量較大的供應(yīng)商，要有公司高管參加的專(zhuān)門(mén)會(huì)議審核其合規(guī)性。除完善自身機(jī)制還應(yīng)盡力協(xié)助黃金供應(yīng)交易對(duì)方或潛在客戶(hù)改進(jìn)其負(fù)責(zé)任供應(yīng)鏈實(shí)踐，鼓勵(lì)生產(chǎn)商將對(duì)生物多樣性的不利影響減至最低限度，并盡可能保護(hù)自然棲息地。應(yīng)協(xié)助手工或小規(guī)模采礦這在安全和環(huán)保的前提下少使用或不使用汞。應(yīng)倡導(dǎo)實(shí)施相關(guān)倡議。
The Company has established an intact communication mechanism for gold (silver) suppliers, concluded the letter of commitment in written form and endeavored to assist the gold and silver suppliers to establish their due diligence system. As for the business of each batch, each supplier (including the transaction agent client) would be informed our company’s supply chain due diligence policy in advance. As for the business that does not conform to the due diligence policy, the Company would not conclude a contract with it. The suppliers were required to not only conform to the conditions of Shanghai Gold Exchange but also the LBMA rules requirements. As for the suppliers of large business volume, a special
meeting attended by the senior management of the Company to review its compliance was required.In addition to improving their own mechanisms, they should also try their best to assist gold supply counterparties or potential customers to improve their responsible supply chain practices, encourage producers to minimize adverse impacts on biodiversity and protect natural habitats as much as possible. Manual or small-scale mining should be assisted, which uses less or no mercury in the context of safety and environmental protection. Relevant initiatives should be advocated.
在公司建立管理體系期間，先后進(jìn)行了十二次關(guān)于黃金白銀供應(yīng)鏈盡職調(diào)查體系的專(zhuān)項(xiàng)培訓(xùn)，培訓(xùn)人員包括分公司高管人員、業(yè)務(wù)人員、財(cái)務(wù)人員、檢測(cè)人員、生產(chǎn)加工車(chē)間人員及各合規(guī)專(zhuān)員，對(duì)公司的供應(yīng)鏈盡職調(diào)查政策和流程進(jìn)行了詳解。針對(duì)第九版準(zhǔn)則，對(duì)環(huán)境保護(hù)和可持續(xù)發(fā)展、原料來(lái)源追蹤等方面進(jìn)行了強(qiáng)調(diào)和重點(diǎn)關(guān)注。
During the establishment of the company's management system, 12 special trainings on the due diligence system of the gold and silver supply chain have been carried out successively. The trainers include the branch's senior management, business personnel, financial personnel, testing personnel, production and processing workshop personnel and various compliance specialists, who have explained the company's supply chain due diligence policies and procedures in detail. For the ninth edition of the guidelines, environmental protection and sustainable development, raw material source tracking and other aspects were emphasized and focused on.
5.建立保密申訴機(jī)制
5. Establishment of anonymous complaint & reporting mechanism
公司建立完善的信息溝通機(jī)制《黃金（白銀）供應(yīng)鏈風(fēng)險(xiǎn)信息溝通控制程序》(QKSF/LBMA/WJ-03)，允許員工和外部利益相關(guān)者對(duì)供應(yīng)鏈的風(fēng)險(xiǎn)識(shí)別、環(huán)境問(wèn)題和可持續(xù)發(fā)展問(wèn)題匿名表達(dá)不同意見(jiàn)，并設(shè)有專(zhuān)門(mén)的舉報(bào)箱和舉報(bào)電話0755-25600550，所有人員都可以通過(guò)電話或網(wǎng)站留言就公司的供應(yīng)鏈問(wèn)題進(jìn)行溝通，由專(zhuān)人負(fù)責(zé)管理，合規(guī)專(zhuān)員進(jìn)行審查。必要時(shí)可直接上報(bào)合規(guī)總監(jiān)或企業(yè)高管層。2022年度我公司沒(méi)有相應(yīng)原料與業(yè)務(wù)的投訴與申訴發(fā)生。
The Company established a perfect information communication mechanism of the Gold (Silver) Supply Chain Risk Information Communication Control Procedures (QKSF/LBMA/WJ-03), which allows the employees and external interested parties to express different suggestions concerning the risk identification, environmental problems and sustainable development problems anonymously. Besides, special report boxes and report phone of 0755-25600550 were set. All personnel could communicate the supply chain problems of the Company through phone or website message, of which specially-assigned person was responsible for the management and the Compliance Officers carried out audits. As necessary, it was acceptable to report to the superior Compliance Director or the senior management of the enterprise directly.In 2022, our company had no complaints or grievances about corresponding raw materials and business.
第二步：對(duì)供應(yīng)鏈中的風(fēng)險(xiǎn)進(jìn)行識(shí)別與評(píng)估
Step 2: Identify and evaluate risks in the supply chain
1.開(kāi)展供應(yīng)鏈盡職調(diào)查，識(shí)別和評(píng)估潛在風(fēng)險(xiǎn)。
1. Conduct supply chain due diligence to identify and assess potential risks.
根據(jù)經(jīng)合組織《沖突影響和高風(fēng)險(xiǎn)地區(qū)礦產(chǎn)供應(yīng)鏈盡職調(diào)查指南》附件二，黃金冶煉公司密切關(guān)注不遵守環(huán)境和可持續(xù)發(fā)展法律要求、侵犯人權(quán)、武裝沖突、非法開(kāi)采、汞開(kāi)采和利用，以及洗錢(qián)、恐怖主義融資的外匯賄賂等領(lǐng)域。公司建立供應(yīng)商文件，每個(gè)供應(yīng)商文件填寫(xiě) KYC 問(wèn)卷，在與其簽訂合同前完成供應(yīng)商文件的建立，并對(duì)其進(jìn)行風(fēng)險(xiǎn)評(píng)級(jí)。
在合作前，本公司對(duì)所有供應(yīng)商進(jìn)行了供應(yīng)鏈盡職調(diào)查，包括位置、供應(yīng)鏈、原材料類(lèi)型三個(gè)維度。本公司填寫(xiě)了 KYC 調(diào)查問(wèn)卷，并要求合作伙伴在進(jìn)行合作前提供符合供應(yīng)鏈盡職調(diào)查管理體系要求的相關(guān)資格證書(shū)。公司提供了供應(yīng)商、股東信息、原材料類(lèi)型及來(lái)源、貴金屬類(lèi)型等基本信息、結(jié)算方式等調(diào)查信息，并將供應(yīng)鏈調(diào)查盡可能擴(kuò)展到供應(yīng)商的上游。他們拒絕與涉及零容忍供應(yīng)鏈和高風(fēng)險(xiǎn)供應(yīng)鏈的供應(yīng)商進(jìn)行合作。
在合作過(guò)程中，通過(guò)不斷跟蹤和調(diào)查供應(yīng)商信息，了解和評(píng)估供應(yīng)商業(yè)務(wù)活動(dòng)的動(dòng)態(tài)。公司充分利用網(wǎng)絡(luò)，通過(guò)天眼查、中國(guó)審判信息網(wǎng)、等網(wǎng)站查詢(xún)供應(yīng)商資質(zhì)、違反信任、訴訟、處罰等信息。
上述調(diào)查和評(píng)估都由合規(guī)團(tuán)隊(duì)的成員參加，他們對(duì)各自職責(zé)領(lǐng)域的供應(yīng)商進(jìn)行了評(píng)估。合規(guī)總監(jiān)總結(jié)并報(bào)告給董事會(huì)進(jìn)行全面審查。審查結(jié)果已由合規(guī)總監(jiān)報(bào)告給合規(guī)委員會(huì)
According to Annex 2 of the OECD's Due Diligence Guidelines for Mineral Supply Chains in Conflict Affected and High Risk Areas, gold smelting companies closely monitor areas such as non-compliance with environmental and sustainable development legal requirements, human rights violations, armed conflicts, illegal mining, mercury mining and utilization, as well as foreign exchange bribery in money laundering and terrorist financing. The company establishes supplier documents, fills out KYC questionnaires for each supplier document, completes the establishment of supplier documents before signing contracts with them, and conducts risk ratings on them.
Before cooperation, our company conducted supply chain due diligence on all suppliers, including three dimensions: location, supply chain, and raw material type. Our company has filled out the KYC survey questionnaire and requested partners to provide relevant qualification certificates that meet the requirements of the supply chain due diligence management system before engaging in cooperation. The company provides basic information such as suppliers, shareholder information, raw material types and sources, precious metal types, and settlement methods, and extends supply chain investigations to the upstream of suppliers as much as possible. They refuse to cooperate with suppliers involved in zerotolerance supply chains and high-risk supply chains.
During the cooperation process, by continuously tracking and investigating supplier information, understand and evaluate the dynamics of supplier business activities. The company fully utilizes the internet to search for supplier qualifications, trust violations, litigation, penalties, and other information through websites such as Tianyancha and China Judicial Information Network.
The above investigations and evaluations were conducted by members of the compliance team, who evaluated suppliers in their respective areas of responsibility. The Compliance Director summarizes and reports to the Board of Directors for comprehensive review. The review results have been reported by the Compliance Director to the Compliance Committee.
2.識(shí)別零容忍供應(yīng)鏈和高風(fēng)險(xiǎn)供應(yīng)鏈
2.Identify zero tolerance supply chains and high-risk supply chains
根據(jù)第九版的負(fù)責(zé)黃金（銀）指南和盡職調(diào)查指南負(fù)責(zé)礦產(chǎn)供應(yīng)鏈來(lái)自沖突影響和高風(fēng)險(xiǎn)地區(qū)，公司制定了零容忍供應(yīng)鏈和高風(fēng)險(xiǎn)供應(yīng)鏈的評(píng)估標(biāo)準(zhǔn)，擴(kuò)展到供應(yīng)鏈中的不利 ESG 因素。風(fēng)險(xiǎn)評(píng)估規(guī)則包括三個(gè)維度：位置、供應(yīng)鏈和材料類(lèi)型。
關(guān)于位置風(fēng)險(xiǎn)，請(qǐng)參考中國(guó)政府批準(zhǔn)的國(guó)際制裁清單、多德弗蘭克法案第 1502 條、歐盟 CAHRA 清單、海德堡晴雨表、脆弱國(guó)家指數(shù)或 類(lèi)似指標(biāo)、聯(lián)合國(guó)高級(jí)專(zhuān)員辦事處人權(quán)辦公室或同等機(jī)構(gòu)的報(bào)告、金融行動(dòng)工作組（FATF）(包括相關(guān)國(guó)家/地區(qū)高風(fēng)險(xiǎn)黃金中心/轉(zhuǎn)運(yùn)中心和洗錢(qián)風(fēng)險(xiǎn)高國(guó)家/地區(qū)的可靠市場(chǎng)
情報(bào)。供應(yīng)鏈風(fēng)險(xiǎn)可以通過(guò)工具包中的 KYC 問(wèn)卷來(lái)識(shí)別。原材料分為大規(guī)模開(kāi)采、手工開(kāi)采和小規(guī)模開(kāi)采、原材料類(lèi)型風(fēng)險(xiǎn)回收金銀，并根據(jù)各類(lèi)型的風(fēng)險(xiǎn)識(shí)別要求進(jìn)行識(shí)別。
根據(jù)供應(yīng)鏈盡職調(diào)查管理體系中規(guī)定的零公差供應(yīng)鏈評(píng)價(jià)標(biāo)準(zhǔn)，進(jìn)行了供應(yīng)商識(shí)別。2022年，公司購(gòu)買(mǎi)的原材料并非來(lái)自世界遺產(chǎn)地區(qū)或保護(hù)區(qū)，不來(lái)自違反國(guó)際制裁的國(guó)家（經(jīng)中國(guó)政府認(rèn)可），沒(méi)有供應(yīng)對(duì)手、其他已知上游公司或其最終受益者是已知的洗錢(qián)者。沒(méi)有直接或間接支持非法活動(dòng)以及欺詐性歪曲礦物來(lái)源的非國(guó)家武裝組織，就沒(méi)有欺詐性或恐怖主義分子涉嫌嚴(yán)重侵犯人權(quán)的個(gè)人。
綜上所述，2022 年沒(méi)有發(fā)現(xiàn)零容忍供應(yīng)鏈和高風(fēng)險(xiǎn)供應(yīng)鏈，所有采購(gòu)都是有序、合規(guī)的。
According to the ninth edition of the Responsible Gold (Silver) Guidelines and Due Diligence Guidelines, the company has developed evaluation criteria for zero tolerance supply chains and high-risk supply chains, which extend to adverse ESG factors in the supply chain. The risk assessment rules include three dimensions: location, supply chain, and material type.
Regarding location risk, please refer to the international sanctions list approved by the Chinese government, Article 1502 of the Dodd FrankAct, the EU CAHRA list, the Heidelberg Barometer, the Vulnerable Countries Index or similar indicators, reports from the Office of the United Nations High Commissioner for Human Rights or equivalent institutions, the Financial Action Task Force (FATF) (including reliable markets for high-risk gold centers/transit centers in relevant countries/regions and countries/regions with high money laundering risk)
cutting-edge news Supply chain risks can be identified through the KYC questionnaire in the toolkit. Raw materials are divided into large-scale mining, manual mining, and small-scale mining, and the risk recovery of gold and silver is based on the risk identification requirements of each type of raw material.
According to the zero tolerance supply chain evaluation criteria specified in the supply chain due diligence management system, supplier identification was conducted. In 2022, the raw materials purchased by the company did not come from World Heritage sites or protected areas, did not come from countries that violate international sanctions (recognized by the Chinese government), did not supply competitors, other known upstream companies, or their ultimate beneficiaries were known money launderers. Without non State armed organizations that directly or indirectly support illegal activities and fraudulently distort mineral sources, there are no individuals suspected of committing serious human rights violations by fraudulent or terrorist elements.
In summary, zero tolerance supply chains and high-risk supply chains were not discovered in 2022, and all procurement was orderly and compliant.
3.對(duì)高風(fēng)險(xiǎn)供應(yīng)鏈采取加強(qiáng)型盡職調(diào)查措施
3. Take enhanced due diligence measures for high-risk supply chain
我公司按照《黃金（白銀）供應(yīng)鏈盡職調(diào)查政策》和《黃金（白銀）供應(yīng)商風(fēng)險(xiǎn)辨別及評(píng)估程序》對(duì)所有與公司簽訂合同的供應(yīng)商進(jìn)行評(píng)估。
Our company evaluated all suppliers that have signed contracts with us in accordance with Gold (Silver) Supply Chain Due Diligence Policy and Gold (Silver) Supply Chain Risk Identification and Evaluation Procedures.
如果存在上述風(fēng)險(xiǎn)，我公司將該供應(yīng)商標(biāo)注為高風(fēng)險(xiǎn)供應(yīng)商，且不與之簽訂合同。如果懷疑供應(yīng)商有發(fā)生上述行為的可能性，先定為暫緩合作，待補(bǔ)充相關(guān)材料，直到消除風(fēng)險(xiǎn)后，定位低風(fēng)險(xiǎn)供應(yīng)商，方可簽訂合同，同時(shí)加強(qiáng)隨時(shí)的監(jiān)督。
In case of above risks, our company would regard them as high-risk suppliers and would not sign a contract with them. In case of any suspicion concerning the supplier for the possibility of the above-mentioned illegality, the cooperation would be suspended and relevant materials would be added. The contract would not be signed before that the risk was eliminated and the supplier was positioned as a low-risk supplier. Meanwhile, supervision at any time would be strengthened.
在對(duì)幾家供應(yīng)商評(píng)估中，對(duì)每批次的進(jìn)貨記錄、化驗(yàn)單、運(yùn)輸憑證等均要保留，并按客戶(hù)檔案做好登記，并通過(guò)財(cái)務(wù)合規(guī)專(zhuān)員控制資金往來(lái)。
It is required to keep the purchase records, laboratory inspections, transportation vouchers, etc. of each batch, complete registration according to the customer file, and control the capital transaction by the Financial Compliance Officer.
合規(guī)專(zhuān)員在與供應(yīng)商簽訂合同時(shí)，都會(huì)向合規(guī)總監(jiān)和公司高管層報(bào)告相關(guān)情況，避免可能存在的風(fēng)險(xiǎn)。公司合規(guī)總監(jiān)和公司高管層對(duì)供應(yīng)商的最終結(jié)果具有決定權(quán)。
The Compliance Officer will report the relevant information to the Compliance Director and the Company’s senior management when signing a contract with a supplier to avoid possible risks. The Company’s Compliance Director and the Company’s senior management are entitled to decide on the supplier’s final results.
4、交易監(jiān)測(cè)
4、Transaction monitoring
我司已于交易關(guān)系建立之前，針對(duì)該供應(yīng)商的風(fēng)險(xiǎn)執(zhí)行供應(yīng)商盡職調(diào)查。如發(fā)現(xiàn)高風(fēng)險(xiǎn)定義中的風(fēng)險(xiǎn)事件，當(dāng)即被列為高風(fēng)險(xiǎn)客戶(hù)，且不會(huì)建立任何業(yè)務(wù)關(guān)系。如無(wú)相關(guān)風(fēng)險(xiǎn)事項(xiàng)才會(huì)建立正常合作關(guān)系。
We have conducted supplier due diligence on the risks of the supplier before the transaction relationship is established. If a risk event in the definition of high risk is found, it will be listed as a high-risk customer immediately and no business relationship will be established. If there are no relevant risk matters, a normal cooperative relationship will be established.
交易過(guò)程中會(huì)對(duì)風(fēng)險(xiǎn)進(jìn)行實(shí)時(shí)監(jiān)控與評(píng)估，我方根據(jù)交易類(lèi)型、交易時(shí)間、交易區(qū)域收集供應(yīng)商信息。如果正常合作期間設(shè)計(jì)洗錢(qián)、恐怖主義融資、戰(zhàn)爭(zhēng)等高風(fēng)險(xiǎn)領(lǐng)域與人權(quán)侵犯等事宜，我方將立即終止此業(yè)務(wù)關(guān)系。
The risk will be monitored and evaluated in real time during the transaction. We collect supplier information according to the transaction type, transaction time and transaction area. If we design money laundering, terrorist financing, war and other high-risk areas and human rights violations during normal cooperation, we will immediately terminate this business relationship.
2022年我司黃金、白銀原料全部來(lái)源于上海黃金交易所、國(guó)內(nèi)礦山、國(guó)內(nèi)其他精煉企業(yè)及其香港機(jī)構(gòu)。通過(guò)公司內(nèi)部管控對(duì)檢測(cè)報(bào)告、貨運(yùn)單據(jù)、發(fā)票等信息進(jìn)行核對(duì)、合規(guī)專(zhuān)員負(fù)責(zé)對(duì)以上信息進(jìn)行檢查與交易監(jiān)控。以上交易全部采用銀行渠道進(jìn)行收付款，同時(shí)根據(jù)資金監(jiān)管要求對(duì)超過(guò) 10000 美元的交易，精煉廠必須通過(guò)官方銀行渠道支付和接收黃金價(jià)款進(jìn)行核實(shí)與查驗(yàn)。我方交易沒(méi)有任何現(xiàn)金交易。
In 2022, all of our gold and silver raw materials come from the ShanghaiGold Exchange, domestic mines, other domestic refining enterprises, and Hong Kong institutions. Verify inspection reports, shipping documents, invoices, and other information through internal control of the company, and the compliance specialist is responsible for inspecting and monitoring the above information. All the above transactions are collected and paid through the bank channel. At the same time, according to the capital supervision requirements, for transactions over 10000 dollars, the refinery must verify and check the gold price paid and received through the official bank channel. Our transaction does not involve any cash transactions.
5. 向指定高級(jí)管理層報(bào)告高風(fēng)險(xiǎn)并評(píng)估
5. Report of high risks and evaluations towards designated senior management
公司建立了高風(fēng)險(xiǎn)評(píng)估和報(bào)告機(jī)制，遇到黃金白銀供應(yīng)鏈存在高風(fēng)險(xiǎn)情況，立即向合規(guī)總監(jiān)包飛和高級(jí)管理層匯報(bào)，并組織專(zhuān)門(mén)會(huì)議審核討論。
The Company has established a high-risk assessment and reporting mechanism. As a result, it is required to immediately report to the Compliance Director Bao Fei as well as senior management, and organize a special conference for review and discussion in case of high-risk in the gold and silver supply chain.
在2022.1.1-2022.12.31期間我公司沒(méi)有發(fā)現(xiàn)高風(fēng)險(xiǎn)供應(yīng)鏈。
During the period from January 1, 2022 to December 31, 2022, our company did not identify high-risk supply chains.
第三步：設(shè)計(jì)和實(shí)施管理策略，以應(yīng)對(duì)識(shí)別的風(fēng)險(xiǎn)
Step 3: Design and implement management strategies to address identified risks
1.參與風(fēng)險(xiǎn)管理策略來(lái)識(shí)別風(fēng)險(xiǎn):公司嚴(yán)格按照《黃金（白銀）供應(yīng)鏈風(fēng)險(xiǎn)辨別及評(píng)估程序》(QKSF/LBMA/WJ-06)對(duì)每個(gè)供應(yīng)商進(jìn)行風(fēng)險(xiǎn)識(shí)別評(píng)估與控制，如果黃金供應(yīng)鏈盡職調(diào)查得出結(jié)論是可能存在洗錢(qián)、嚴(yán)重侵犯人權(quán)或支持恐怖主義地區(qū)或團(tuán)體的原料，公司會(huì)拒絕來(lái)自該產(chǎn)地的來(lái)料，根據(jù)進(jìn)一步識(shí)別與評(píng)估情況，確定是繼續(xù)交易還是暫緩交易，防止高風(fēng)險(xiǎn)的發(fā)生。在整個(gè)風(fēng)險(xiǎn)管理實(shí)施過(guò)程中，按公司相關(guān)標(biāo)準(zhǔn)，判斷是否保持、暫時(shí)中止或中斷與供應(yīng)商的合作，并隨時(shí)向合規(guī)總監(jiān)和公司高管層匯報(bào)。
1、Participate in risk management strategies to identify risks: The company strictly follows the "Gold (Silver) Supply Chain Risk Identification and Assessment Procedure" (QKSF/LBMA/WJ-06) to conduct risk identification, assessment, and control for each supplier. If the due diligence of the gold supply chain concludes that there may be money laundering, serious human rights violations, or support for terrorist areas or groups of raw materials, the company will refuse incoming materials from that origin, Based on further identification and evaluation of the situation, determine whether to continue trading or suspend trading to prevent high-risk occurrences. Throughout the entire risk management implementation process, determine whether to maintain, temporarily suspend or interrupt cooperation with suppliers according to the company's relevant standards, and report to the Compliance Director and the company's senior management at any time.
2.風(fēng)險(xiǎn)管理策略:公司依據(jù)《黃金（白銀）供應(yīng)鏈風(fēng)險(xiǎn)減緩策(QKSF/LBMA/WJ-04)，旨在誠(chéng)意努力地與供應(yīng)商對(duì)供應(yīng)鏈進(jìn)行改進(jìn)。公司對(duì)每一個(gè)供應(yīng)商根據(jù)評(píng)估表內(nèi)容進(jìn)行風(fēng)險(xiǎn)識(shí)別和評(píng)估，對(duì)于可能存在的高風(fēng)險(xiǎn)供應(yīng)鏈進(jìn)行暫停交易，要求并協(xié)助對(duì)方進(jìn)行為期六個(gè)月的整改來(lái)消除風(fēng)險(xiǎn)因素，經(jīng)驗(yàn)證供應(yīng)商做出合理和誠(chéng)意的努力并采取的措施有效時(shí)，可繼續(xù)接受該供應(yīng)商提供的黃金白銀，但是仍要加強(qiáng)監(jiān)控頻次，在整改期內(nèi)進(jìn)行評(píng)估，并將結(jié)果報(bào)告給公司管理層；如果在六個(gè)月內(nèi)無(wú)法監(jiān)測(cè)到其改進(jìn)，則應(yīng)中止與供應(yīng)商的合作。在本報(bào)告期內(nèi)，我公司的供應(yīng)鏈不存在強(qiáng)迫勞動(dòng)、侵犯人權(quán)、使用童工、民族歧視、支持黑社會(huì)組織、洗錢(qián)和賄賂等違法行為。所有供應(yīng)商收集的相關(guān)信息與資料齊全，均為低風(fēng)險(xiǎn)。新增供應(yīng)商有更加嚴(yán)格的審核措施，保證體系應(yīng)對(duì)所有風(fēng)險(xiǎn)。公司建立了風(fēng)險(xiǎn)評(píng)估和報(bào)告制度每月向合規(guī)總監(jiān)報(bào)告本部門(mén)的盡職調(diào)查工作。當(dāng)在供應(yīng)鏈中發(fā)現(xiàn)來(lái)自高風(fēng)險(xiǎn)地區(qū)的連鎖調(diào)查被評(píng)估為高風(fēng)險(xiǎn)供應(yīng)鏈時(shí)，該交易被停止并報(bào)合規(guī)總監(jiān)批準(zhǔn)，然后上報(bào)董事會(huì)及相關(guān)政府部門(mén)。2022年，公司對(duì)所有供應(yīng)商進(jìn)行了風(fēng)險(xiǎn)評(píng)估，合規(guī)總監(jiān)總結(jié)了評(píng)估結(jié)果，并向董事會(huì)提交了報(bào)告。在審查后，該報(bào)告被提交給合規(guī)委員會(huì)批準(zhǔn)
2. The company follows the "Risk Mitigation Policy for Gold (Silver) Supply Chain" (QKSF/LBMA/WJ-04) The aim is to make sincere efforts to improve the supply chain with suppliers. The company conducts risk identification and evaluation for each supplier based on the evaluation form. For potential high-risk supply chains, the company suspends transactions and requests and assists the other party in conducting a six-month rectification to eliminate risk factors. After verification, if the supplier makes reasonable and sincere efforts and takes effective measures, they can continue to accept the gold and silver provided by the supplier, but monitoring frequency should still be strengthened, Evaluate during the rectification period and report the results to the company management; If the improvement cannot be monitored within six months, cooperation with the supplier should be suspended. During this reporting period, our company's supply chain did not engage in illegal activities such as forced labor, human rights violations, use of child labor, ethnic discrimination, support for triad organizations, money laundering, and bribery. All relevant information and materials collected by suppliers are complete and low risk. New suppliers have stricter audit measures to ensure that the system responds to all risks. The company has established a risk assessment and reporting system to report the due diligence work of its department to the Compliance Director on a monthly basis. When a chain investigation from high-risk areas is found in the supply chain and assessed as high-risk, the transaction is stopped and reported to the compliance director for approval, then reported to the board of directors and relevant government departments. In 2022, the company conducted a risk assessment of all suppliers, and the compliance director summarized the assessment results and submitted a report to the board of directors. After review, the report is submitted for approval by the Compliance Committee.
第四步：安排供應(yīng)鏈盡職調(diào)查的獨(dú)立第三方審計(jì)
Step 4:Arrange for an independent third-party audit of the supply chain due diligence
2023年3月8日委托了必維國(guó)際檢驗(yàn)集團(tuán)進(jìn)行2022年度獨(dú)立的第三方審計(jì)。
On March 8, 2023, Bureau Veritas International Inspection Group was commissioned to conduct an independent third-party audit for the year 2022.
第五步：有關(guān)供應(yīng)鏈盡職調(diào)查的報(bào)告
Step 5: Report related to supply chain due diligence
1.我公司的黃金（白銀）供應(yīng)鏈政策中已規(guī)定了精煉企業(yè)的系統(tǒng)、程序、流程和控制措施，及如何去符合《倫敦金銀市場(chǎng)協(xié)會(huì)（LBMA）可靠黃金（白銀）指導(dǎo)原則》的具體要求。更多信息與具體細(xì)節(jié)，可在我公司的網(wǎng)站查閱（qk9999.com）。
1. Our company's gold (silver) supply chain policy has specified the systems, procedures, processes and control measures of refining enterprises, and how to comply with the specific requirements of the LBMA Guidelines for Reliable Gold (Silver). For more information and details, please refer to our website (qk9999. com)
2.我公司于2022年12月31日對(duì)黃金（白銀）供應(yīng)鏈盡職調(diào)查體系進(jìn)行了評(píng)審，對(duì)工作中不符合政策的內(nèi)容進(jìn)行了及時(shí)的糾正和整改。按照計(jì)劃，對(duì)內(nèi)深分所有高管人員及相關(guān)業(yè)務(wù)人員對(duì)供應(yīng)鏈盡職調(diào)查體系進(jìn)行了內(nèi)部培訓(xùn)。
2. Our company reviewed the due diligence system of the gold (silver) supply chain on December 31, 2022, and promptly corrected and rectified the contents that did not comply with the policy. According to the plan, all senior executives and relevant business personnel of Shenzhen Branch have been internally trained on the supply chain due diligence system.
表3.管理結(jié)論
Table 3: Management conclusion:
綜上所述，本報(bào)告年度截止于2022年12月31日，根據(jù)《倫敦金銀市場(chǎng)協(xié)會(huì)（LBMA）可靠黃金（白銀）指導(dǎo)原則》的要求，內(nèi)蒙古乾坤金銀精煉股份有限公司深圳分公司實(shí)施了有效的管理制度、程序、流程和操作。建立了完整的盡職調(diào)查和風(fēng)險(xiǎn)防控系統(tǒng)，能夠達(dá)到LBMA的相關(guān)要求。
In conclusion, with the report year ended on December 31, 2022, Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd. has implemented effective management systems, procedures, processes and operations in accordance with the LBMA Responsible Gold (Silver) Guidance. The Company has established a complete due diligence and risk prevention system, which can meet the relevant requirements of LBMA.
內(nèi)蒙古乾坤金銀精煉股份有限公司及其深圳分公司致力于不斷的改進(jìn)與提升，更有效的將可靠性黃金供應(yīng)鏈流程與現(xiàn)有的供應(yīng)鏈管理結(jié)合起來(lái)。所有的糾正預(yù)防措施將在內(nèi)部進(jìn)行定期監(jiān)測(cè)。
Inner Mongolia Qiankun gold and silver refining Co., Ltd. and its Shenzhen Branch are committed to continuous improvement and upgrading, and more effectively combine the reliable gold supply chain process with the existing supply chain management. All corrective and preventive measures will be regularly monitored internally.
表4.其它報(bào)告評(píng)注
Table 4: Other report comments
如果相關(guān)方對(duì)內(nèi)蒙古乾坤金銀精煉股份有限公司深圳分公司“合規(guī)報(bào)告”有疑義及反饋，可通過(guò)電子郵件714151083@qq.COM聯(lián)系我們。
If the relevant parties have any doubts and feedback on the “Compliance Report” of Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd., they can contact us by E-mail 714151083@qq.com.
內(nèi)蒙古乾坤金銀精煉股份有限公司深圳分公司
Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd.
2023年3月7日
March 7, 2023