深 圳 市 众 恒 隆 实 业 有 限 公 司SHENZHEN ZHONGHENGLONG INDUSTRIAL CO.,LTD.
规范文件
Specification Document
文件名称:黄金／白银负责任采购供应链尽职调查政策
Document name: Due Diligence Policy of Gold/Silver Responsible Sourcing Supply Chain
文件编号：ZHL/R-002-2023
Document No.: ZHL/R-002-2023
版本：A2.0
Version: A2.0
编制：魏圣坤
Prepared by: Wei Shengkun
审核：曹健
Reviewed by: Cao Jian
批准：刘敬旭
Approved by: Liu Jingxu
生效日期:2023-2-15
Effective date: February 15, 2023
我公司清楚地认识到从冲突区域和高风险区域开采、处理和进出口金属产品可能会产生的不利影响，也清楚地认识到我们有尊重人权、不支持冲突的责任。公司将严格遵守国家关于职工权利、环境保护、公平交易等各项法律法规，确保黄金白银的来源是合法的。为此，我们根据《经济合作与发展组织关于来自受冲突影响和高风险区域的矿石的负责任供应链尽职调查指南》（第三版）对黄金白银供应链中识别出的以下风险进行风险识别、评估和管理：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、对开采、运输或交易而引起的大规模滥用人权：
I. On mass abuse of human rights arising from mining, transportation or trading:
1.任何形式的酷刑和其他残忍、不人道或有辱人格的待遇；
1. Any form of torture and other cruel, inhuman or degrading treatment;
2.任何形式的强制劳动，即以威胁的方式强迫任何人进行工作或提供服务，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.最恶劣形式的童工；
3. The worst form of child labour;
4.其他严重侵犯和践踏人权的行为，如性暴力等违背人权、滥用人权的罪行；
4. Other behaviors seriously violating and trampling on human rights, such as sexual violence and other crimes against and abuse of human rights;
5.战争罪行，或其他严重违背国际人道主义法、反人道、造成种族灭绝的罪行。
5. War crimes, or other crimes seriously violating international humanitarian law, against humanity and causing genocide.
如果我们确定上游供应商触犯上述任何一条，我们将立即中断或中止与该供应商的合作。
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、直接或间接支持非政府武装团体或公共或私人安全部队：
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为的非政府武装团体、公共或私人安全部队或其附属机构）：
(including but not limited to, non-governmental armed groups, public or private security forces or their affiliates that commit the following acts):
1.非法控制矿点或非法控制运输路线、金属交易点及供应链的上游供应商；
1. Illegal control of mining sites or transport routes, metal trading places and supply chains by upstream suppliers;
2.在矿点入口点、运输沿线或金属交易点进行非法敲诈勒索；
2. Illegal extortion at the entry point of the mining site, along the transportation routes or at the metal trading places;
3.非法敲诈中间商、出口公司或国际贸易商，为恐怖组织融资，助长冲突等。
3. Illegal extortion of middlemen, export companies or international traders, financing for terrorist organizations, fuelling conflicts, etc.
如果我们确定上游供应商从向非国家武装团体，公共或私人安全部队提供直接或间接支持的任何一方进行采购或与之存在关系或上游供应商触犯上述任何一条，我们将立即暂时停止或中断与该供应商的合作。
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、关于行贿受贿洗钱及矿产原产地的欺诈性失实陈述
III. On fraudulent misrepresentation of bribery, money laundering and mineral origin
1.行贿受贿、欺诈性误报：提出、承诺、进行或索要任何贿赂，掩盖或伪造矿产原产地，虚报矿产开采、贸易、处理、运输、出口等活动应向政府缴纳的税收、费用和特许开采费而行贿等行为。
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. 如果我们确定上游供应商存在行贿、受贿、或欺诈性误报或上游供应商触犯上述任何一条，我们将立即暂时停止或中断与该供应商的合作。
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、关于洗钱、反恐怖主义融资
IV. On money laundering and anti-terrorist financing
1. 洗钱、反恐怖主义融资：存在因开采、贸易、处理、运输或出口在矿址入口、运输路线沿线、或上游供应商矿产交易地进行非法征税或勒索而得的矿产所引起或与之相关的洗钱风险货恐怖主义融资。
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. 如果我们确定上游供应商存在洗钱、反恐怖主义融资的风险，我们将立即终止与该供应商的合作。
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、在受冲突影响和高风险地区的矿产开采、贸易和出口方面，不遵守应向政府缴纳的税收、特许权使用管理费。
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.上游供应商或矿区未向政府支付所有与受冲突影响和高风险区域矿石开采、贸易、出口相关的合法税收、费用和特许费，并且没有根据上游供应商在供应链上所处位置依照《采掘行业透明度行动计划》（EITI）中的各项原则对此类支付进行有效披露。
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.如果我们确定上游供应商没有缴纳在受冲突影响和高风险区域想的合法税收、费用和特续费并且没有根据《采掘业行业透明度行动计划》（EITI)中的各项原则对此类支付进行披露的，我们将立即暂时停止或中断与该上游供应商的合作（本公司会定期（季度）更新关于EITI相关国家的名单内容，确保相关国家名单无误）。
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、对于开采金和银供应链中的环境、社会责任和治理的风险：
VI. On risks of environment, social responsibility and governance in gold and silver mining supply chain:
1.环境：对空气、水、土地污染、开采黄和银开采黄金源于世界遗产遗址或国内自然生态保护区、危险化学品（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.劳工：包括薪酬、工作时间、集体谈判、歧视、多样性、纠纷和工人权益保障。
2. Labor: including compensation, working hours, collective bargaining, discrimination, diversity, disputes and protection of workers’ rights and interests.
3. 社区参与和管理方案(土地征用和社区重新安置、文化遗产地和土著人民、关闭规划和保护弱势群体)。
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. 管理商业诚信和道德行为，并支持实施相关倡议(如采掘业透明度倡议(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))
如果我们确定上游供应商触犯上述任何一条，我们将立即暂停或中止与此供应商的交易和接洽。
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、不以任何方式向个人，包括政府官员、客户、和供应商或任何其他组织提出、承诺、给予或要求贿赂或回扣。
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、要求我们的员工、供应商和商业伙伴遵守上述政策，并采取必要措施来保障上述政策的贯彻落实。
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.
为了支持并确保风险的评估和识别，公司设立了合规总监、合规风险官、合规专员并明确定义了各个部门的职责。定义给员工提供了培训以确保工作的正常开展。同时，建立了供应商调查程序了解供应链和供应商，以进行充分的风险识别和评估，相关的程序和执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.
我公司愿意接受客户和相关组织的监督，并欢迎供应商和利益相关方对上述政策提供建议。
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.
联系电话：0755-25683238/0755-29500999
Contact phone number: 0755-25683238/0755-29500999
联系邮箱：478152938@qq.com / Ken@zhlsz.net
Contact email: 478152938@qq.com / Ken@zhlsz.net
