深圳市眾恒隆實業(yè)有限公司

SHENZHEN ZHONGHENGLONG INDUSTRIAL CO.,LTD.

規(guī)范文件

Specification Document 

文件名稱:黃金／白銀負責任采購供應鏈盡職調查政策

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

文件編號：ZHL/H-003-2022

DocumentNo.: ZHL/H-003-2022

版本：A1.0

Version: A10

編制：魏圣坤

Prepared by: Wei Shengkun

審核：陳俊宇

Reviewed by: Chen Junyu

批準：劉敬旭

Approved by: Liu Jingxu

生效日期:2022-1-5

Effective date:January 5, 2022 

我公司清楚地認識到從沖突區(qū)域和高風險區(qū)域開采、處理和進出口金屬產品可能會產生的不利影響，也清楚地認識到我們有尊重人權、不支持沖突的責任。公司將嚴格遵守國家關于職工權利、環(huán)境保護、公平交易等各項法律法規(guī)，確保黃金白銀的來源是合法的。為此，我們根據(jù)《經濟合作與發(fā)展組織關于來自受沖突影響和高風險區(qū)域的礦石的負責任供應鏈盡職調查指南》（第三版）對黃金白銀供應鏈中識別出的以下風險進行風險識別、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、運輸或交易而引起的大規(guī)模濫用人權：

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.任何形式的強制勞動，即以威脅的方式強迫任何人進行工作或提供服務，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.其他嚴重侵犯和踐踏人權的行為，如性暴力等違背人權、濫用人權的罪行；

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商觸犯上述任何一條，我們將立即中斷或中止與該供應商的合作。

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體或公共或私人安全部隊：

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體、公共或私人安全部隊或其附屬機構）：

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

1.非法控制礦點或非法控制運輸路線、金屬交易點及供應鏈的上游供應商；

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

2.在礦點入口點、運輸沿線或金屬交易點進行非法敲詐勒索；

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商從向非國家武裝團體，公共或私人安全部隊提供直接或間接支持的任何一方進行采購或與之存在關系或上游供應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、關于行賄受賄洗錢及礦產原產地的欺詐性失實陳述

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、進行或索要任何賄賂，掩蓋或偽造礦產原產地，虛報礦產開采、貿易、處理、運輸、出口等活動應向政府繳納的稅收、費用和特許開采費而行賄等行為。

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商存在行賄、受賄、或欺詐性誤報或上游供應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、貿易、處理、運輸或出口在礦址入口、運輸路線沿線、或上游供應商礦產交易地進行非法征稅或勒索而得的礦產所引起或與之相關的洗錢風險貨恐怖主義融資。

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 placesof the upstream supplier.

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

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險地區(qū)的礦產開采、貿易和出口方面，不遵守應向政府繳納的稅收、特許權使用管理費

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

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商沒有繳納在受沖突影響和高風險區(qū)域想的合法稅收、費用和特續(xù)費并且沒有根據(jù)《采掘業(yè)行業(yè)透明度行動計劃》（EITI)中的各項原則對此類支付進行披露的，我們將立即暫時停止或中斷與該上游供應商的合作（本公司會定期（季度）更新關于EITI相關國家的名單內容，確保相關國家名單無誤）。

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鏈中的環(huán)境、社會責任和治理的風險：

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遺址或國內自然生態(tài)保護區(qū)、危險化學品（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、文化遺產地和土著人民、關閉規(guī)劃和保護弱勢群體)。

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，并支持實施相關倡議(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商觸犯上述任何一條，我們將立即暫?；蛑兄古c此供應商的交易和接洽。

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。

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.

為了支持并確保風險的評估和識別，公司設立了合規(guī)總監(jiān)、合規(guī)風險官、合規(guī)專員并明確定義了各個部門的職責。定義給員工提供了培訓以確保工作的正常開展。同時，建立了供應商調查程序了解供應鏈和供應商，以進行充分的風險識別和評估，相關的程序和執(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組織的監(jiān)督，并歡迎供應商和利益相關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：0755-25683238/0755-29500999

Contact phone number: 0755-25683238/0755-29500999

聯(lián)系郵箱：478152938@qq.com

Contact email: 478152938@qq.com

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