深圳市眾恒隆實(shí)業(yè)有限公司
Shenzhen Zhonghenglong Industrial Co., Ltd
2020年度供應(yīng)鏈盡職管理合規(guī)報(bào)告
2020 Supply Chain Due 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
位置：廣東省深圳市龍華區(qū)民康路1970科技小鎮(zhèn)1棟401
Address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
年終報(bào)告：2020年度供應(yīng)鏈盡職管理合規(guī)報(bào)告
Year-end report: 2020 Supply Chain Due Diligence Management Compliance Report
報(bào)告日期：2021年1月10日
Reporting date: January 10, 2021
報(bào)告負(fù)責(zé)人：曹健（公司副總經(jīng)理） 網(wǎng)址：tools.738f.cn
Report principal: Cao Jian (Deputy General Manager of the company) Website: tools.738f.cn
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），地處廣東省深圳市境內(nèi)。以“做全國工藝技術(shù)水平最優(yōu)、安全環(huán)保最佳、盈利能力最強(qiáng)”的黃金冶煉企業(yè)為目標(biāo)，公司致力于推進(jìn)各項(xiàng)管理與技術(shù)創(chuàng)新，具有黃金產(chǎn)品的高端高效、節(jié)能環(huán)保的完整產(chǎn)業(yè)鏈。
Shenzhen Zhonghenglong Industrial Co., Ltd (hereinafter referred to as the Company) is located in Shenzhen City, Guangdong Province. The Company takes “becoming the gold smelting enterprise with the highest process and technology level, the most safety and environmental protection and the strongest profitability in China” as its objective and is committed to promoting all management and technical innovations. It has a high-end, high-efficiency, energy-saving and environmentally-friendly complete industry chain of gold products.
公司始于1997年03月18日成立，存續(xù)至今，獨(dú)立法人企。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)，。
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 environmentally-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 efficient production 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. At present, it has production equipment and capacity to annually produce 200 tons of silvers (Ag), 300 tons of golds (Au), platinum (Pt), 20 tons of porpezite (Pd) and 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，副會長單位”“中國珠寶玉石首飾行業(yè)協(xié)會常務(wù)理事單位”
In 2019, the Company was selected as “Vice-Chairman of Gold Association of Guangdong Province” and “Standing Director of GEMS & Jewelry Trade Association of China”
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)控會員”“綜合類年度優(yōu)秀會員”“最佳競價(jià)交易自營會員”。
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
公司主要原料來源為分為各大礦山自產(chǎn)金精礦和從社會中收購的合質(zhì)金，所有供應(yīng)商均為低風(fēng)險(xiǎn)供應(yīng)商。
Main sources of raw materials of the Company are self-produced gold concentrates of all mines and alloyed golds purchased from society and all suppliers are low-risk suppliers.
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.
公司已經(jīng)嚴(yán)格建立了強(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
公司通過并出臺了一項(xiàng)供應(yīng)鏈負(fù)責(zé)任采購政策，該政策符合經(jīng)合組織《來自受沖突影響和高風(fēng)險(xiǎn)地區(qū)礦石負(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，該政策在官網(wǎng)上進(jìn)行公布。
The Company has passed and introduced a supply chain responsible procurement policy which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas with extension to environmental and sustainable responsibility. Such policy has been published on the official website.
我公司已嚴(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、再生金來源符合要求，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、采用汞和氰化物不符合LBMA的規(guī)定開采等高風(fēng)險(xiǎn)地區(qū)的黃金、白銀，我公司已將此政策向供應(yīng)商傳閱并揭示風(fēng)險(xiǎn)，要求供應(yīng)商簽章并承諾嚴(yán)格執(zhí)行。
The Company has strictly followed national laws and regulations on staff’s rights, environmental protection and fair trade and actively participated in supply chain due diligence work to ensure that sources of mineral golds and recycled golds conform to requirements. In addition, the Company has made commitments to refuse golds and silvers from high-risk areas subject to infringement upon human rights, conflict areas, bribery, money laundering, terrorism financing, illegal mining, world heritage site, adoption of mercury and cyanide not conforming to provisions of LBMA. The Company has circulated such policy to suppliers and revealed risks to require all supplier to affix seals and sign names and make commitments to strictly execute it.
2.管理架構(gòu)
2. Management structure
公司已經(jīng)建立了內(nèi)部管理制度，按照出臺的政策對管理、作用和職責(zé)、內(nèi)部審計(jì)、溝通進(jìn)行界定、并開展高級管理層評審。
The Company has established internal management systems and defined management, functions and duties, internal audit and communication according to introduced policies. In addition, senior management review has been carried out.
2.1規(guī)章制度方面
2.1 Rules and regulations
公司依照政策制訂了《供應(yīng)鏈盡職調(diào)查管理體系》《供應(yīng)鏈政策》《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。上述制度通過總經(jīng)理辦公會審批后以紅頭文的形式下發(fā)，作為文控處理。
The Company has formulated Supply Chain Due Diligence Management System, Supply Chain Policy, Supply Chain Risk Mitigation Management Measures according to the policy, mainly clarifying organization structure of supply chain due diligence, duties and definitions of high-risk areas. In addition, the Company has formulated high-risk supply chain evaluation standard, investigation handling procedure, transaction monitoring, document retention and other contents. Above systems are issued in the form of read-head documents upon approval by General Manager Office Meeting and under document control.
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、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)由公司副總經(jīng)理鄒家浩擔(dān)任，負(fù)責(zé)公司供應(yīng)鏈盡職調(diào)查工作，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)處理供應(yīng)鏈盡職調(diào)查中的異常情況，審批合規(guī)報(bào)告。
The post of Compliance Director is held by Zou Jiahao, Deputy General Manager of the Company. He is responsible for supply chain due diligence work of the Company, establishing and improving whole supply chain due diligence management system, supervising supply chain due diligence process, cooperating in handling abnormal conditions in supply chain due diligence and approving compliance reports.
合規(guī)風(fēng)控官由曹健副總經(jīng)理擔(dān)任，負(fù)責(zé)制定并更新供應(yīng)鏈盡職調(diào)查政策、制度，負(fù)責(zé)制定高風(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，指導(dǎo)、協(xié)調(diào)、報(bào)告公司風(fēng)險(xiǎn)評估、應(yīng)對和實(shí)施等情況，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 Control Officer is held by Cao Jian, Deputy General Manager of the Company. He is responsible for formulating and updating supply chain due diligence policies and systems, formulating high-risk supply chain evaluation standards and executing supply chain due diligence measures, guiding, coordinating and reporting company risk evaluation, response and implementation conditions, supervising, checking and assessing implementation of all departments, reporting abnormal conditions in supply chain due diligence and organizing training.
合規(guī)專員分別為收發(fā)部經(jīng)理甘武德、財(cái)務(wù)部經(jīng)理朱景斌、業(yè)務(wù)部經(jīng)理甘維榮、交割部經(jīng)理劉存勇、提純部經(jīng)理蘇泉、熔金部經(jīng)理伍偉聰、檢測中心經(jīng)理鄒仕信，負(fù)責(zé)嚴(yán)格執(zhí)行供應(yīng)鏈盡職調(diào)查措施和高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)，收集并保存了足夠的供應(yīng)鏈證明文件，建立了供應(yīng)商盡職調(diào)查檔案，并定期對重要供應(yīng)商進(jìn)行現(xiàn)場調(diào)查。
Compliance Officers are respectively Gan Wude, Manager of Receiving and Dispatching Department, Zhu Jingbin, Manager of Financial Department, Gan Weirong, Manager of Business Department, Liu Cunyong, Manager of Delivery Department, Su Quan, Manager of Purification Department, Wu Weicong, Manager of Smelting Department, Zou Shixin, Manager of Detection Center. They are responsible for strictly executing supply chain due diligence measures and high-risk supply chain evaluation standards, collecting and keeping documentary evidence of sufficient supply chain, establishing supplier due diligence archives and carrying out field investigation for important suppliers regularly.
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)品分配唯一編號。
The Company has established a set of supply chain traceability system to collect and maintain supply chain information of each batch of products and allocate unique numbers to each batch of products.
3.1供應(yīng)鏈可追溯體系
3.1 Supply chain traceability system
我司已對所有的供應(yīng)商進(jìn)行資信調(diào)查，資信調(diào)查通過后簽訂合同以及供應(yīng)商社會承諾書，承諾原料合法，符合盡職調(diào)查政策；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、預(yù)計(jì)品位，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，分配唯一編號，通過上海黃金交易所進(jìn)行交易。
The Company has carried out credit inquiry for all suppliers. After passing credit inquiry, suppliers should sign contracts and social commitment letters of suppliers to undertake that raw materials are legal and conform to due diligence policies; each batch of materials sent by suppliers is provided with incoming acceptance sheets to indicate product type, weight before and after smelting, estimated grade, acceptance personnel and supplier signature and confirmation. After smelting and sampling test, standard golds are formed with unique numbers allocated for transaction via Shanghai Gold Exchange.
3.2維護(hù)資料
3.2 Data maintenance
在業(yè)務(wù)開展前身份證、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、化驗(yàn)單、結(jié)算單等相關(guān)記錄保存5年以上。
Before businesses are conducted, ID cards, authentication data, business licenses, qualification verification data, supplier due diligence forms, acceptance sheets, laboratory sheets, final statements of each batch as well as other related records should be kept for over 5 years.
3.3培訓(xùn)
3.3 Training
公司已將供應(yīng)鏈盡職調(diào)查管理培訓(xùn)納入公司年度培訓(xùn)計(jì)劃當(dāng)中，組織公司重點(diǎn)崗位以及合規(guī)員對供應(yīng)鏈盡職調(diào)查管理的要求、內(nèi)容進(jìn)行培訓(xùn)，確保供應(yīng)鏈盡職調(diào)查管理工作落到實(shí)處。
The Company has included supply chain due diligence management training to the annual training plan of the Company and organized training for personnel at important posts and compliance officers of the Company about requirements and contents of supply chain due diligence management, thus ensuring actual implementation of supply chain due diligence management.
3.4合規(guī)專員
3.4 Compliance officer
公司指定各部門負(fù)責(zé)人為合規(guī)專員，負(fù)責(zé)有關(guān)供應(yīng)鏈盡職調(diào)查管理的所有事項(xiàng)。特別是，對供應(yīng)鏈盡職調(diào)查進(jìn)行審核，并評估盡職調(diào)查是否充分，必要時(shí)收集額外文件或信息。確保在高風(fēng)險(xiǎn)供應(yīng)鏈或交易內(nèi)實(shí)施相應(yīng)從事。負(fù)責(zé)有關(guān)責(zé)任供應(yīng)鏈的員工培訓(xùn)，編制并更新供應(yīng)鏈政策，并向高級管理人員提供用于履行職責(zé)的適當(dāng)信息。
The Company has designated all department heads to be compliance officers to take charge of all matters about supply chain due diligence management. Particularly, compliance officers review supply chain due diligence and evaluate whether supply chain due diligence is sufficient. If necessary, they will collect additional documents or information to ensure compliant implementation in high-risk supply chain or transaction. In addition, compliance officers are responsible for employee training of responsible supply chain, preparing and updating supply chain policies and providing senior management with appropriate information for fulfilling duties.
3.5通過官方銀行渠道付款
3.5 Payment via official bank channels
公司在支付貨款時(shí)，由業(yè)務(wù)部門發(fā)起資金事項(xiàng)聯(lián)簽程序，通過公司賬戶所在的銀行網(wǎng)上付款，并打印銀行回單作為憑證附件保留。
When goods payments are made, Business Department of the Company will initiate joint signature procedure for fund matters and make payment via online banking related to the corporate account. In addition, Business Department will print bank slips and keep them as voucher attachments.
4.強(qiáng)化合作，協(xié)助黃金供應(yīng)交易方建立盡職調(diào)查能力
4. Strengthen cooperation and help the gold supply trading party to establish due diligence capacity
公司與供應(yīng)商建立基于信任和互認(rèn)的長期關(guān)系，要求供應(yīng)商必須嚴(yán)格執(zhí)行經(jīng)合組織《來自受沖突影響和高風(fēng)險(xiǎn)地區(qū)礦石負(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。
The Company has established a long-term relationship based on trust and mutual recognition with suppliers to require that all suppliers must strictly execute OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas with extension to environmental and sustainable responsibility.
公司在與供應(yīng)商簽訂采購合同的同時(shí)，要求供應(yīng)商簽署《供應(yīng)鏈負(fù)責(zé)任承諾書》，承諾黃金來源合法合規(guī)，拒絕來自規(guī)定的高風(fēng)險(xiǎn)區(qū)域。所有礦山類型的供應(yīng)商需提供采礦許可證，對于公司銷售的大客戶已要求其備案下游客戶的發(fā)票，規(guī)避套票風(fēng)險(xiǎn)。
While signing procurement contracts with suppliers, the Company requires suppliers to sign Supply Chain Responsible Commitment Letter to undertake that gold sources are legal and compliant and refuse minerals from specified high-risk areas. Suppliers of all mine types need provide mining licenses. Big clients to which the Company sells golds or silvers are required to file invoices of downstream clients to evade risk of false tickets.
5.建立機(jī)密申訴機(jī)制
5. Establish confidential grievance mechanism
公司利用官網(wǎng)平臺，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)鏈或任何新的已識別風(fēng)險(xiǎn)的擔(dān)憂，并在整個(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)。
The Company has published telephones and emails on the platform of official website and allows employees and external stakeholders to express concern over supply chain or any new identified risk. During the whole process of grievance, the Company will protect employees’ privacy and keep information of informers confidential to eliminate any retaliation.
第二步 供應(yīng)鏈風(fēng)險(xiǎn)的識別與評估
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)行識別和評估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
公司制定了高風(fēng)險(xiǎn)供應(yīng)鏈的判定標(biāo)準(zhǔn)，并對識別出來的風(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)行識別和評估。截止到目前，未發(fā)現(xiàn)高風(fēng)險(xiǎn)供應(yīng)鏈。
The Company has formulated high-risk supply chain evaluation standards and specified handling procedure for identified risks to sufficiently identify and evaluate risks in the supply chain. Up to now, no high-risk supply chain is found.
1.識別供應(yīng)鏈風(fēng)險(xiǎn)
1. Identify risk of supply chain
根據(jù)經(jīng)合組織《來自受沖突影響和高風(fēng)險(xiǎn)地區(qū)礦石負(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，黃金冶煉公司識別相關(guān)風(fēng)險(xiǎn)，密切關(guān)注來自侵犯人權(quán)、武裝沖突、非法開采、開采利用汞和氰化物不符合LBMA的規(guī)定，以及源于世界遺產(chǎn)遺址等地區(qū)的黃金，以及用于賄賂、洗錢、恐怖主義融資等行為的黃金。公司為每個(gè)供應(yīng)商建立供應(yīng)商檔案，根據(jù)公司的風(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 with extension to environmental and sustainable responsibility, gold smelting companies should identify related risks and pay close attention to golds from areas subject to infringement upon human rights, armed conflicts, illegal mining, mining and utilization of mercury and cyanide not conforming to LBMA provisions and originating from world heritage sites and golds used for bribery, money laundering, terrorism financing. The Company has established supplier archives for all suppliers and investigated risk conditions of companies. Supplier archives have been established before signing contracts.
2.評估供應(yīng)鏈風(fēng)險(xiǎn)
公司確認(rèn)發(fā)現(xiàn)低分險(xiǎn)并已解決， 在給供應(yīng)商開戶和交易之前公司都會進(jìn)行KYC程序。
2. Evaluate risk of supply chain
The company has acknowledged the low-risk finding and finding was addressed and that the refiner will utilize the KYC process before opening supplier accounts, going forward.
2.1供應(yīng)鏈調(diào)查
2.1 Supply chain due diligence
公司通過以下措施對供應(yīng)鏈進(jìn)行盡職調(diào)查：
The Company has carried out supply chain due diligence with the following measures:
（1）資質(zhì)驗(yàn)證。黃金冶煉公司對于所有供應(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。
(1) Qualification verification. All gold smelting companies carry out supply chain due diligence management for all suppliers. Before cooperation, cooperation partners are required to provide corresponding qualification verification documents, with business licenses provided for corporate clients, ID card copies provided for individual clients, mining licenses provided for mine clients.
（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、其供應(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) Establishment of supplier archives. The Company has made detailed investigation about basic conditions of suppliers, shareholder information, raw material types and producing areas, types of planned refined precious metals, mode of settlement with suppliers, overview of supplier and other information and extended supply chain investigation to upstream as far as possible, thus determining risk level finally. The Company will terminate cooperation with suppliers involving high-risk standards.
（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) Establishment of incoming register. The Company has investigated and registered dates, weights, sources of raw materials and main upstream suppliers for current batch of incoming materials from suppliers and judged risk level of 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、是否存在國外黃金等。
(4) Establishment of work process of annual investigation report of suppliers. The Company has carried out special due diligence for top three suppliers in annual incoming materials of golds and silver except banks to formulate an annual investigation report of suppliers, covering overview of supplier, qualification information, type and weight of incoming materials, overview and list of upstream suppliers, producing areas and types of raw materials, existence of foreign golds, 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)黃金冶煉公司盡職管理政策，并要求其在政策上簽字。
(5) Establishment of work process of special investigation report of clients. While visiting clients, the Company has traced sources of raw materials and conveyed due diligence management policies of gold smelting companies to suppliers. In addition, the Company has required them to sign names on policy document.
（6）同時(shí)協(xié)助委外加工廠進(jìn)行盡職管理工作。對委外加工廠的原料來源進(jìn)行追溯，幫助其建立供應(yīng)商盡職管理體系。
(6) Cooperation with entrusted processing plants in due diligence management. The Company has traced sources of raw materials of entrusted processing plants and helped them to establish supplier due diligence management systems.
（7）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。
(7) Due diligence for product whereabouts. The Company has carried out due diligence of product whereabouts for clients purchasing golds weighing over 30kg at one time or 100kg in total and clients purchasing silvers weighing 2000kg at one time or 5000kg in total during gold and silver sales. With role of network fully played, the Company has inquired information about supplier qualification condition, noncompliance, litigation, penalty by using Tianyancha, China Trial Information Network and other websites and will terminate cooperation with suppliers having high-risk behaviors.
2.2高風(fēng)險(xiǎn)供應(yīng)鏈
2.2 High-risk supply chain
根據(jù)OECD相關(guān)規(guī)定，結(jié)合公司實(shí)際情況，特規(guī)定如下高風(fēng)險(xiǎn)供應(yīng)鏈評判標(biāo)準(zhǔn)：
According to related provisions of OECD, the following high risk supply chain evaluation standard is made in combination with actual conditions of the Company:
（1）礦產(chǎn)金或再生金來源于、中轉(zhuǎn)或者運(yùn)經(jīng)沖突影響或侵犯人權(quán)高風(fēng)險(xiǎn)地區(qū)；
(1) Mineral golds or recycled golds are from, transited via or transported via high-risk areas subject to conflicts or infringement upon human rights;
（2）礦產(chǎn)金聲稱來源于一個(gè)已知儲量有限、資源有限或預(yù)計(jì)產(chǎn)量有限的國家；
(2) It is asserted that mineral golds are from a country with limited known reserves, limited resources or estimated output;
（3）再生金來源于已知的沖突影響和侵犯人權(quán)的高風(fēng)險(xiǎn)地區(qū)，或者有理由懷疑經(jīng)此地區(qū)中轉(zhuǎn)的；
(3) Recycled golds are from known high-risk areas subject to conflicts or infringement upon human rights or there are reasons to doubt that recycled golds are transited via this area;
（4）在供應(yīng)鏈中的公司或者其他已知的上游公司位于一個(gè)有著洗錢、犯罪和貪污高風(fēng)險(xiǎn)的國家；
(4) Companies in the supply chain or other known upstream companies are located in a high-risk country with money laundering, crime and corruption;
（5）在供應(yīng)鏈中的公司或其他已知的上游公司的收益所有人是政治敏感人物；
(5) Beneficiary owners of companies in the supply chain or other known upstream companies are politically sensitive persons;
（6）在供應(yīng)鏈中的公司或其他已知的上游公司積極參與高風(fēng)險(xiǎn)商業(yè)活動(dòng)，例如武器、賭博、賭業(yè)、古董和藝術(shù)品、鉆石，宗教和宗教領(lǐng)袖；
(6) Companies in the supply chain or other known upstream companies actively participate in high-risk business activities, such as weapons, gambling, gambling industry, antique and artwork, diamond, religion and religious leaders;
（7）礦產(chǎn)金來源于國內(nèi)手續(xù)不全、非法開采的小型礦山，以及開采黃金源于手工開采；
(7) Mineral golds are from small mines with incomplete formalities and illegal mining in the country and golds are manually mined;
（8）礦產(chǎn)金或再生金利用汞或氰化物生產(chǎn)而得，不符合LBMA的規(guī)定；
(8) Mineral golds or recycled golds are produced with mercury or cyanide, which does not conform to LBMA provisions;
（9）不遵守環(huán)境和可持續(xù)發(fā)展法律要求，礦產(chǎn)金或再生金源于世界遺產(chǎn)遺址或國內(nèi)自然生態(tài)保護(hù)區(qū)；
(9) Mineral golds or recycled golds are from world heritage sites or domestic natural ecology protection zones, which does not conform to requirements of environment and sustainable development laws;
（10）其他高風(fēng)險(xiǎn)情況。
(10) Other high-risk conditions.
當(dāng)上述評判標(biāo)準(zhǔn)任何一條客觀存在時(shí)，則該供應(yīng)鏈被判定為高風(fēng)險(xiǎn)供應(yīng)鏈。合規(guī)專員立即準(zhǔn)備材料上報(bào)合規(guī)風(fēng)控官，由合規(guī)風(fēng)控官上報(bào)合規(guī)總監(jiān)，由合規(guī)總監(jiān)批準(zhǔn)采取應(yīng)對措施，停止交易，消除風(fēng)險(xiǎn)。截至發(fā)稿時(shí)間，發(fā)現(xiàn)共99名客戶未及時(shí)更新資料，其中公司客戶33名、個(gè)人客戶63名，目前已暫停與其合作關(guān)系并凍結(jié)其賬戶，直至其資料補(bǔ)充完整再進(jìn)行風(fēng)險(xiǎn)評估，由合規(guī)部決定是否恢復(fù)合作關(guān)系并解凍其賬戶。
When any one of above evaluation standards objectively exists, the supply chain is judged as high-risk supply chain. Compliance officers should immediately prepare materials to be reported to Compliance Risk Control Officer who will report to Compliance Director. The Compliance Director will approve to take countermeasures to stop transaction and eliminate risks. As of the time of document issue, 99 clients fail to promptly update data, including 33 corporate clients and 63 individual clients. At present, the cooperation relationship has been suspended and the account has been frozen. After their data are supplemented, risk evaluation will be conducted. The Compliance Department will decide whether to restore the cooperation relationship and unfreeze the account.
2.3高風(fēng)險(xiǎn)類別
2.3 High-risk category
公司制定了《供應(yīng)鏈風(fēng)險(xiǎn)減緩管理辦法》，當(dāng)供應(yīng)鏈調(diào)查發(fā)現(xiàn)來自高風(fēng)險(xiǎn)區(qū)域時(shí)，停止該交易并上報(bào)合規(guī)總監(jiān)審批后報(bào)政府部門；當(dāng)供應(yīng)鏈盡職調(diào)查發(fā)現(xiàn)可能來自高風(fēng)險(xiǎn)區(qū)域，則需立即暫停該礦產(chǎn)金、再生金的冶煉，直至供應(yīng)商在6個(gè)月之內(nèi)提供可證明其并不可能存在的額外數(shù)據(jù)或信息為止。若在6個(gè)月之內(nèi)仍未提供相關(guān)證據(jù)，則需立即停止該交易并上報(bào)至有關(guān)人員。
The Company has formulated Supply Chain Risk Mitigation Management Measures. When golds or silvers are found to come from high-risk areas in supply chain due diligence, such transaction should be stopped and reported to Compliance Director for approval and reporting to government authorities; when golds or silvers are found to come from high-risk areas in supply chain due diligence, smelting of mineral golds and recycled golds should be suspended immediately until the supplier provides additional data or information proving that such condition does not exist within 6 months. In case related evidence is still not provided within 6 months, such transaction should be stopped immediately and reported to related personnel.
提供的資料包括：
Data provided include:
（1）提供證明不存在有關(guān)礦產(chǎn)金、再生金提取、運(yùn)輸或貿(mào)易的系統(tǒng)性或廣泛人權(quán)侵犯行為的政府性文件，如供應(yīng)商所在地相關(guān)公安或商務(wù)部門出具的合法性證明等；
(1) Government documents proving that there are no behaviors related to systematic or extensive human right infringements during purification, transportation or trading of mineral golds and recycled golds, such as legal certificates issued by related public security or commercial departments in places where suppliers are located;
（2）提供并未向非法武裝組織提供直接或間接支持的證明文件；
(2) Supporting documents proving that suppliers do not provide illegal armed organizations with direct or indirect supports;
（3）提供并未通過欺詐掩蓋礦產(chǎn)金或再生金的原產(chǎn)地證明文件，如相關(guān)政府部門出具的原產(chǎn)地證明；
(3) Supporting documents proving that suppliers do not cover up country of origin of mineral golds or recycled golds through fraud, such as certificate of origin issued by related government authorities;
（4）提供不存在洗錢或恐怖主義融資的證明文件；
(4) Supporting documents proving that there is no money laundering or terrorism financing;
（5）提供國內(nèi)小型礦山資質(zhì)證明文件；
(5) Supporting documents of domestic small mines;
（6）提供能夠證明開采黃金利用汞或氰化物的標(biāo)準(zhǔn)，符合LBMA的規(guī)定；
(6) Supporting documents proving that mined golds conform to LBMA provisions in mercury or cyanide utilization standards.
（7）提供環(huán)境和可持續(xù)發(fā)展相關(guān)方針政策、制度文件以及通過有關(guān)部門環(huán)評報(bào)告；
(7) Policies and guidelines as well as systems related to environment and sustainable development, reports of environmental assessment of related authorities;
2.4交易監(jiān)測
2.4 Transaction monitoring
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。
The Company supervises all transaction conditions to ensure that transactions are consistent with supply chain due diligence.
公司對供應(yīng)鏈盡職調(diào)查進(jìn)行檢查，每批來料編號唯一，生產(chǎn)可追溯，對于所有的原料采購入庫均保留完整的單據(jù)資料，對于入庫的金精礦保存有過磅單、水份單、品位單、結(jié)算單、財(cái)務(wù)憑證等；對于入庫的合質(zhì)金銀保存有來料驗(yàn)收單、品位單、結(jié)算單、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，由交割部、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 has checked supply chain due diligence with unique number of each batch of incoming materials and traceable production. Complete documents and data are kept for procurement and warehousing of all raw materials. For warehoused gold concentrates, weighting sheets, moisture sheets, grade sheets, settlement sheets, financial vouchers are kept. For warehoused alloyed golds and silvers, incoming acceptance sheets, grade sheets, settlement sheets, financial vouchers are kept. Data to be collected and kept by all department during daily work have been clarified. Delivery Department, Detection Center and Financial Department keep related documents and regularly send related data to archives room for filing, with retention period over 5 years.
3.向高級管理層報(bào)告風(fēng)險(xiǎn)評估
3. Report risk evaluation to senior management
公司建立風(fēng)險(xiǎn)評估報(bào)告制度，每月合規(guī)專員對部門盡職調(diào)查工作報(bào)合規(guī)風(fēng)控官。當(dāng)供應(yīng)鏈調(diào)查發(fā)現(xiàn)來自高風(fēng)險(xiǎn)區(qū)域，被評估為高風(fēng)險(xiǎn)供應(yīng)鏈時(shí)，停止該交易并上報(bào)合規(guī)總監(jiān)審批后報(bào)政府部門。
The Company has established risk evaluation report systems. Compliance officers report due diligence work of the department to Compliance Risk Control Officer each month. When golds and silvers are found to come from high-risk areas in supply chain due diligence and it is evaluated as high-risk supply chain, such transaction should be stopped and reported to Compliance Director for approval and reporting to government authorities.
第三步 設(shè)計(jì)并實(shí)施策略來應(yīng)對已識別的風(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)對識別的所有風(fēng)險(xiǎn)。
We have fully complied with Step 3: Design and implement a management strategy to respond to identified risks.
公司嚴(yán)格遵守設(shè)計(jì)并實(shí)施策略來應(yīng)對已識別的風(fēng)險(xiǎn)。2020年未發(fā)現(xiàn)高風(fēng)險(xiǎn)供應(yīng)鏈，因此未采取供應(yīng)鏈風(fēng)險(xiǎn)減緩措施。
The Company has strictly designed and implemented strategies to respond to identified risks. No high-risk supply chain is found in 2020 and no risk mitigation measures of supply chain are taken.
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。
The Company has formulated Supply Chain Risk Mitigation Management Measures and manages it as a document where handling methods of violations found in supplier evaluation and implement of daily businesses are specified and handling procedure of high-risk behaviors of suppliers and duties of all levels of organizations of personnel of due diligence management are clarified.
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，對其暫停作業(yè)，不與其他客戶來料混合。
Doubtful high-risk incoming materials should be individually registered and the refinement workshop should be informed to suspend operation to avoiding mixing them with materials from other clients.
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: Arrange for an independent third-party audit of the 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 of the supply chain due diligence.
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。
The Company has strictly followed requirements for carrying out independent third-party audit for due diligence of refiners.
自2021年開始，公司每年均聘請獨(dú)立的第三方審計(jì)機(jī)構(gòu)對盡職管理情況進(jìn)行審計(jì)，并出具審計(jì)報(bào)告。
Since 2021, the Company has employed an independent third-party audit agency to audit due diligence management conditions each year and issue an audit report.
第五步 供應(yīng)鏈盡職調(diào)查年度報(bào)告
Step 5: 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)查年度報(bào)告的要求。
The Company has strictly followed requirements for annual report of supply chain due diligence.
公司每年通對上一年度的現(xiàn)場審計(jì)情況總結(jié)及評估報(bào)告、盡職管理證書、供應(yīng)鏈管理制度、供應(yīng)鏈盡職調(diào)查政策進(jìn)行公示。
The Company annually publicizes on-site audit condition summary and evaluation reports, due diligence management certificates, supply chain management systems, supply chain due diligence policies of previous year.
四、管理結(jié)論
IV. Management conclusion
綜上所述，在報(bào)告年度截至于2020年12月31日的財(cái)年內(nèi)，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。
On the whole, in the reporting year as of December 31, 2020 of the fiscal year, Shenzhen Zhonghenglong Industrial Co., Ltd has implemented effective management systems, procedures, processes and practices. Shenzhen Zhonghenglong Industrial Co., Ltd is committed to continuous improvement and all corrective measures will be regularly monitored.
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tools.738f.cn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 tools.738f.cn.
