深圳市众恒隆实业有限公司
2023年度供应链尽职管理合规报告
Shenzhen Zhonghenglong Industrial Co., Ltd
2023 Supply Chain Due Diligence Management Compliance Report
公司名称：深圳市众恒隆实业有限公司
Company Name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：深圳市龙华区民治街道北站社区民治股份商业中心C座5701
Company Address: Rm.5701, Block C, Minzhi Gufen Commercial Center, Beizhan Community, Minzhi Sub-district, Longhua District, Shenzhen City
工厂地址：广东省东莞市凤岗镇五联村碧湖大道雨湖路9号
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
办事处：深圳市罗湖区水贝二路特力珠宝大厦A座8楼
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年终报告：2023年度供应链尽职管理合规报告
Year-end report: 2023 Supply Chain Due Diligence Management Compliance Report
报告日期：2024年3月4日
Reporting date: March 4, 2024
报告负责人：曹健（公司副总经理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
Website: WWW.ZHLSY.COM
联系电话：0755-29500999
Tel: 0755-29500999
一、公司概况
I. Company Profile
深圳市众恒隆实业有限公司自1997年成立以来，以其稳健的步伐和卓越的表现，成为了贵金属加工行业的佼佼者。主营业务是生产和回收提纯黄金、白银、铂金、钯金等各种贵重金属以及销售黄金、银等贵金属饰品工艺品。
Shenzhen Zhonghenglong Industrial Co., Ltd. has been a prominent player in the precious metal processing industry since its establishment in 1997.Its main business includes production, recycling and purification of gold, silver, platinum, palladium and other precious metals, as well as marketing of precious metal jewelry and crafts.
众恒隆公司以先进的技术和完善的管理制度为基础，凭借稳定的生产流程和“下工序即是客户”的理念，严格执行每一道工序的可控性和产品的质量要求。借助先进的监控系统，运行全封闭的生产工艺流程，以确保产品质量的稳定和客户的满意。多年的努力使公司先后通过了ISO14001和IS09001质量管理体系认证。
Based on advanced technology and a well-established management system, Zhonghenglong combines its stable production process with its philosophy of “Treat Process as Customer” and strictly executes the controllability of each process and quality of each product. With the auxiliary of advanced monitoring systems, the company operates a fully enclosed production process to ensure the stable quality of products and satisfaction from customers. For years, the company has successively acquired the certification of ISO14001 and ISO9001 quality management system.
同时，为了科学环保地解决含贵金属工业废料的利用问题，众恒隆公司从欧洲引进了具有国际先进水平的回收提纯化验检测设备与技术，严格按照国家规定的环保达标标准进行处理。工业废水经过处理后进行循环再用，以实现废水零排放的目标。经过检测，其废水、废气和噪声都达到了达标排放的标准。
Meanwhile, in order to address the issues of environmental waste, which containing precious metals in a sustainable manner scientifically, Zhonghenglong introduced advanced recovery and purification equipments and technologies from Europe for industrial waste treatment, strictly follow the national regulations in environmental protection. The wastewater after treated is then circulated for reuse to achieve the goal of zero wastewater discharge. All wastewater, waste gas and noise generated have met discharge standards.
深圳市众恒隆实业有限公司是上海黄金交易所标准金锭、标准金条、标准银锭提供企业。此外，众恒隆公司在国内各大行业协会中担任重要职务，如中国黄金协会常务理事、中国珠宝玉石首饰行业协会常务理事、广东省黄金协会副会长、深圳市黄金珠宝首饰行业协会副会长等。
Zhonghenglong is recognized as a leading enterprise providing standard gold ingots, standard gold bars, and standard silver ingots for the Shanghai Gold Exchange. Additionally, Zhonghenglong plays important roles in major domestic industries associations, such as the executive member of China Gold Association, the executive member of the Gems and Jewelry Trade Association of China, Vice-Chairman of the Guangdong Gold Association, and Vice-Chairman of the Shenzhen Gold and Jewelry Association.
二、供应商情况概述
II. Condition overview of supplier
公司原料主要来源是从社会中回收的合质金/银以及小部分的国内的矿山金，且均为国内供应商，没有识别出供应链相关联的零容忍风险和高风险。
Main sources of raw materials of the Company are recycled gold/silver alloy purchased from society and small part from mined gold alloy from domestic mines. All suppliers are from China. No zero-tolerance and high risk have been identified from suppliers and supply chain.
三、合规情况概述
III. Overview of compliance conditions
第一步 建立强大的公司管理体系
Step 1: Establish strong company management systems
合规声明：
Statement of Compliance :
我公司已经充分遵守第1步骤：建立强大的管理体系。
We have fully complied with Step 1: Establish strong management systems.
1、已制定黄金/白银负责任供应链尽职调查政策
众恒隆根据《LBMA负责任黄金指南第9版》和《LBMA负责任白银指南第1版》的要求，已正式发布了《黄金/白银负责任供应链尽职调查政策》和《供应链尽职调查管理体系》。该政策符合《经济合作与发展组织关于来自受冲突影响和高风险区域矿石的负责任供应链尽职调查指南》（第三版）中的规定，并扩展至环境和可持续性责任。
The Company has officially released Responsible Gold/Silver supply chain Due Dilligence policy and Responsible Supply Chain Due Diligence Management System which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Version 3) with extension to environmental and sustainable responsibility.
政策要求公司及其供应商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，积极参与供应链尽职调查工作，确保矿产金/银、再生金/银来源符合要求，并作出承诺，拒绝来自侵犯人权、冲突地区、贿赂、洗钱、恐怖主义融资、非法开采、世界遗产遗址、采用汞开采等高风险地区的黄金、白银。
According to policy requirements, the Company and its suppliers should strictly comply with various national laws and regulations on employee rights, environmental protection, fair dealing with active participation in supply chain due diligence to ensure that the sources of mined gold/silver and recycled gold/silver meet the requirements. In addition, commitments need to be made to reject gold and silver from high-risk areas such as human rights violations, conflict zones, bribery, money laundering, terrorist financing, illegal mining, World Heritage sites as well as mercury mining.
众恒隆每年定期审查政策并按照要求进行更新，将政策在公司官网进行公布：https://www.zhlsy.com/zygg/info_17_itemid_96.html，公司通过网页、洽谈、合同附件、培训和内部展板等方式，已充分将该政策传达给所有的黄金白银的交易方以及内部的各个职能部门，相关传达记录均已保留并存档。
The Company regularly reviews the policy annually and update it as required, publish policies on the company’s official website at https://www.zhlsy.com/zygg/info_17_itemid_96.html，The policy has been sent to all gold and silver trading parties and each internal functional department through means of website, discussion, attachment to contract, training and internal display board with relevant communication records retained and archived.
2、已建立内部管理体系以支持供应链尽职调查
2. Internal management system has been established to support supply chain due diligence
众恒隆按照《供应链尽职调查管理体系》建立内部管理制度，《风险减缓管理办法》，设立尽职调查组织架构、明确职责和权限、供应链评估标准、调查处理程序、交易监控、文件保存、培训以及内部审查和管理评审制度，确保供应链尽职调查工作全面落地。
The company has established an internal management system in accordance with the Supply Chain Due Diligence Management System, Risk Mitigation Management Measures, and established an organizational structure for due diligence, clarifying responsibilities and authorities, supply chain evaluation standards, investigation and processing procedures, transaction monitoring, document retention, training, and internal review and management review system to ensure the comprehensive implementation of supply chain due diligence work
尽职调查组织架构由合规总监、合规风控官以及各部门的合规专员组成。合规风控官协助总监全面负责供应链尽职调查事务，健全完善供应链尽职调查管理体系，监督调查流程，协调处理调查中的异常情况。根据LBMA负责任黄金／白银指南文件，对相关员工进行培训。合规总监负责制定年度培训计划，2023年合规部门组织各相关部门人员进行了供应链尽职调查管理、采掘业透明度倡议EITI原则及标准、反洗钱、反恐怖主义融资以及反强制劳动的培训共6次，使相关负责人明白自己在尽职调查政策实施中的职责，充分保证了相关人员的知识储备与能力。
The due diligence organizational structure consists of a compliance director, a compliance risk officer, and compliance specialists from various departments. The compliance and risk control officer assists the director in fully responsible for supply chain due diligence affairs, improving the supply chain due diligence management system, supervising the investigation process, and coordinating the handling of abnormal situations during the investigation. According to the LBMA Responsible Gold/Silver Guidelines document, provide training to relevant employees. The Compliance Director is responsible for formulating the annual training plan. In 2023, the Compliance Department organized personnel from various relevant departments to conduct 6 training sessions on supply chain due diligence management, EITI principles and standards for mining industry transparency, anti money laundering, counter-terrorism financing, and anti-forced labor, enabling relevant personnel to understand their responsibilities in implementing due diligence policies and fully ensuring their knowledge reserves and abilities
合规专员由交割部、业务部、财务部、收发部、提纯质检中心、人事部指派，负责严格执行供应链尽职调查措施，零容忍和高风险供应链评判标准，收集并保存足够的供应链证明文件。业务部负责向供应商宣传《供应链尽职调查政策》，并将承诺函、KYS等相关资料附在合同中，与供应商书面确认遵守公司相关的规定，负责对供应商进行扩大到环境和可持续性责任的尽职调查，完成供应商风险评估和定期重复评价，提交合规风控官和总监审批。收发、质检合规专员负责往来重量的记录、物料的标识和贮存，以及化验结果的保存。财务部负责往来账户的管理，确保交易过程通过合规渠道进行账务往来，禁止现金交易。
The compliance specialist is appointed by the delivery department, business department, finance department, shipping and receiving department, purification quality inspection center, and personnel department, responsible for strictly implementing supply chain due diligence measures, zero tolerance and high-risk supply chain evaluation standards, and collecting and preserving sufficient supply chain certification documents. The business department is responsible for promoting the Supply Chain Due Diligence Policy to suppliers, and attaching relevant materials such as commitment letters and KYS to the contract. They confirm in writing with suppliers that they comply with the company's relevant regulations, and are responsible for conducting due diligence on suppliers that extends to environmental and sustainability responsibilities. They complete supplier risk assessments and regular repeat evaluations, and submit them to the compliance risk officer and director for approval. The compliance specialist from shipping and receiving department and purification quality inspection center are responsible for recording the weight of transactions, labeling and storing materials, and preserving laboratory results. The finance department is responsible for managing current accounts, ensuring that transactions are conducted through compliant channels and prohibiting cash transactions.
人事部发布了关于禁止强迫劳动的政策声明以及公示申诉渠道让利益相关方报告有关强迫劳动的申诉，并于公司官网公示：https://www.zhlsy.com/zygg/list_17.html。众恒隆与每名入职员工均签订了劳动合同，公司的工会委员会代表员工维护合法权益，协调劳资关系。2023年度由人力资源主管组织了内部审查以及对供应商的尽职调查，均不存在任何强制劳动的行为。
The Human Resources Department has issued a policy statement on the prohibition of forced labor and made public appeal channels for stakeholders to report appeals related to forced labor, and has made it public on the company's official website: https://www.zhlsy.com/zygg/list_17.html . The company has signed labor contracts with each employee, and the company's trade union committee represents employees to safeguard their legitimate rights and interests and coordinate labor management relations. In 2023, the human resources supervisor organized an internal review and due diligence on suppliers, and there were no instances of forced labor.
对外，公司制定了《关于遵守禁止强迫劳动政策的声明》要求所有供应商签署，确保我们采购的原料不涉及到任何的强迫劳工。
Externally, the company has formulated a statement on complying with the policy of prohibiting forced labor, which requires all suppliers to sign to ensure that the raw materials we purchase do not involve any forced labor.
公司获得了 ISO 14001 的证书，并制定了环境管理手册和计划来管理公司生产和运营中的环境风险，特别是对空，水和土地污染的管理。公司获得了当地环保局发放的《环境影响报告的批复》。公司建立了危险化学品的管理流程来对化学品的存储、操作和处理进行管理。公司的运营和采购不涉及任何的破换世界遗产保护、影响土著人民等。
The company has obtained the ISO 14001 certificate and has developed an environmental management manual and plan to manage environmental risks in production and operation, especially in the management of air, water, and land pollution. The company has obtained the approval of the Environmental Impact Report issued by the local environmental protection bureau. The company has established a management process for hazardous chemicals to manage their storage, operation, and handling. The operation and procurement of the company do not involve any damage to World Heritage protection, impact on indigenous peoples, etc.
另外，公司制定了对合规人员的问责机制，要求相关专员定期向高级管理人员汇报供应链尽职调查情况。通过监督与检查，确保了供应链尽职调查工作得到有效的实施，规避高风险供应链的交易。
In addition, the company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report supply chain due diligence to senior management. Through supervision and inspection, the effective implementation of supply chain due diligence work has been ensured to avoid high-risk supply chain transactions.
众恒隆已于2023年12月27日由合规风控官组织进行了年度管理评审，并将管理评审结果汇报给了合规总监。
The company has conducted annual management review on December 27, 2023, organized by the compliance and risk control officer, and reported the results of the management review to the compliance director
3、已建立了强有力的供应链可追溯体系
3. Strong supply chain traceability system has been established
3.1供应链可追溯体系
3.1 Supply chain traceability system
在业务开展中，通过收集尽职调查问卷（KYS）并审查供应商资质、营业执照、身份验证资料、业务运营、股东信息和物料来源等，供应商资信调查通过后签订合同以及承诺书，承诺原料合法，符合LBMA负责任黄金/白银采购政策；供应商送的每一批来料，都有来料验收单，表明产品类型、熔前熔后重量等，验收人员和供应商签字确认；熔炼取样化验，最后形成标准金银锭，分配编号，通过上海黄金交易所进行交易。
In the course of business development, by collecting due diligence questionnaires (KYS) and reviewing supplier qualifications, business licenses, identity verification materials, business operations, shareholder information, and material sources, the supplier's credit investigation is passed, and a contract and commitment letter are signed, promising that the raw materials are legal and comply with LBMA's responsible gold/silver sourcing policy; Each batch of incoming materials sent by the supplier has an incoming material acceptance form, indicating the product type, weight before and after melting, etc., which is signed and confirmed by the acceptance personnel and the supplier; Smelting, sampling and testing, finally forming standard gold and silver ingots, assigning numbers, and trading through the Shanghai Gold Exchange
公司对所有交易情况进行监督，确保交易与供应链调查一致。使用在线管理系统以及电子台账记录黄金、白银来料，确保物料可追溯。对于所有的原料入库均保留完整的单据资料，对于入库的金/银料保存有入库单、检验单、财务凭证等。明确各个部门应在日常工作中收集保存的资料，由业务部、检测中心、财务部对相关单据进行保存，并定期将相关资料送至档案室进行存档，保存期限均高于5年。
The company monitors all transactions to ensure consistency with supply chain investigations. Use an online management system and electronic ledger to record incoming gold and silver materials, ensuring their traceability. For all raw materials entering the warehouse, complete documentation should be retained. For gold/silver materials entering the warehouse, there should be storage receipts, inspection reports, financial vouchers, etc. Clearly define the information that each department should collect and store in their daily work. The business department, testing center, and finance department should store the relevant documents and regularly send them to the archive room for archiving, with a retention period of more than 5 years.
3.2通过官方银行渠道收付款
3.2 Payment and receipt through official banking channels
公司所有业务均通过官方银行渠道收付款，没有任何现金交易。全部由业务部门发起资金事项联签程序，通过公司基本户所在的银行网上付款，并打印银行回单作为凭证附件保留。财务合规专员负责交易监控工作，对不符或以任何形式疑似不符的交易背景进行检查，并报告合规总监。2023年度没有发现不符及任何形式不符的情况。
All business transactions of the company are received and paid through official banking channels, without any cash transactions. All fund matters are initiated by the business department through a joint signing procedure, and payment is made online through the bank where the company's basic account is located. The bank receipt is printed as a voucher attachment and kept. The financial compliance specialist is responsible for transaction monitoring, checking the background of transactions that do not match or are suspected to be inconsistent in any form, and reporting to the compliance director. No discrepancies or any form of discrepancies were found in 2023
4、强化合作，协助黄金/白银供应交易方建立尽职调查能力
4. Strengthen cooperation and assist gold/silver supply trading parties in establishing due diligence capabilities
公司将黄金、白银供应链的政策与要求、电子培训教材等通过电子邮件、短信、社交软体等方式传达给供应商。2023年对供应商进行了线上培训和经验分享，以确保他们了解供应链政策要求你，协助供应商更大程度地建立尽职调查能力, 遵守《经济合作与发展组织关于来自受冲突影响和高风险区域矿石的负责任供应链尽职调查指南》并扩展至环境和可持续性责任。
The company communicates the policies and requirements of the gold and silver supply chain, as well as electronic training materials to suppliers through email, SMS, social media, and other means. In 2023, online training and experience sharing were conducted for suppliers to ensure they understand the requirements of supply chain policies, assist them in building due diligence capabilities to a greater extent, comply with the OECD Guidelines for Responsible Supply Chain Due Diligence of Mines from Conflict Affected and High Risk Regions, and extend to environmental and sustainability responsibilities.
公司2023年度签约的所有供应商均签署了相关《承诺书》，承诺黄金、白银来源合法合规，拒绝零容忍和高风险, 严格遵守合同和法律的规定，EITI相关原则以及反洗钱反恐怖融资、反强制劳动等。
All suppliers of the company in 2023 have signed relevant commitment letters, promising that the sources of gold and silver are legal and compliant, rejecting zero tolerance and high risk, strictly complying with the provisions of contracts and laws, EITI principles, anti-money laundering, anti-terrorism financing, and anti-forced labor.
合规总监每季度召集专题会议，各部门合规专员参加，就当季供应链相关信息进行内部通报。沟通事项包括日常尽职调查管理工作内容及原料采购部门对于当期合作供应商尽职调查工作文件，对于尽调工作开展不完善的供应商进行二次尽调，必要时派遣人员进行供应商辅导，提高供应商对其上下游的尽职调查能力。
The Compliance Director convenes quarterly special meetings with the participation of compliance specialists from various departments to provide internal briefings on supply chain related information for the current quarter. The communication matters include the daily due diligence management work content and the due diligence work documents of the raw material procurement department for current cooperative suppliers. For suppliers whose due diligence work is not fully carried out, secondary due diligence will be carried out. If necessary, personnel will be dispatched to provide supplier guidance to improve the due diligence ability of suppliers for their upstream and downstream.
5、建立沟通申诉机制，促进相关方和员工的参与。
5. Establish a communication and appeal mechanism to promote the participation of relevant parties and employees
众恒隆于官网平台公布申诉渠道，允许员工和外部利益相关者表达对供应链或任何新的识别风险的担忧。公司已建立了完善的申诉机制并严格执行，在整个申诉过程中保护员工隐私，对举报人信息保密，杜绝任何行为的打击报复。
The company has announced its appeal channels on its official website platform, allowing employees and external stakeholders to express concerns about the supply chain or any new identified risks. The company has established a sound appeal mechanism and strictly implements it, protecting employee privacy throughout the entire appeal process, keeping confidential the information of whistleblowers, and preventing any retaliatory actions
申诉渠道在官网公示：https://www.zhlsy.com/zygg/info_17_itemid_94.html
截至2023年底申诉小组没有收到内部员工或供应商的风险申诉信息。
The appeal channel is publicly available on the official website: https://www.zhlsy.com/zygg/info_17_itemid_94.html
As of the end of 2023, the appeal team has not received any risk appeal information from internal employees or suppliers
第二步 供应链风险的识别与评估
Step 2: Identify and assess risk in the supply chain
合规声明：
Statement of Compliance:
我公司已经充分遵守第2步骤：对供应链中的风险进行识别和评估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
1、已制定识别供应链风险的程序
1. A procedure has been established to identify supply chain risks
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矿石的负责任供应链尽职调查指南》，黄金/白银冶炼公司应识别相关风险包括密切关注来自侵犯人权、武装冲突、非法开采、开采利用汞以及源于世界遗产遗址等地区的黄金和白银，以及用于贿赂、洗钱、恐怖主义融资等行为的黄金/白银。公司为每个供应商建立供应商档案，根据风险状况进行了调查，在与其签合同之前完成供应商档案的建立工作。
According to the OECD Guidelines for Responsible Supply Chain Due Diligence of Minerals from Conflict Affected and High Risk Regions, for gold/silver smelting companies should identify relevant risks, including closely monitoring gold and silver from areas such as human rights violations, armed conflicts, illegal mining, exploitation of mercury, and from World Heritage sites, as well as gold/silver used for bribery, money laundering, terrorist financing, and other activities. The company establishes supplier records for each supplier, conducts investigations based on risk conditions, and completes the establishment of supplier records before signing contracts with them.
公司制定了受冲突影响和高风险区域（CAHRA）定义流程与判定标准，并对识别出来的风险规定了处理程序，充分对供应链中的风险进行识别、评估和缓解。2023年度，公司主要从国内供应商采购当地金银回收料，根据受冲突影响和高风险区域的识别程序判定，未识别出零容忍和高风险。
The company has established a process and criteria for defining conflict affected and high-risk areas (CAHRA), and has established procedures for handling identified risks, fully identifying, evaluating, and mitigating risks in the supply chain. In 2023, the company mainly purchased local gold and silver recycled materials from domestic suppliers. According to the identification procedures for conflict affected and high-risk areas, zero tolerance and high risk were not identified
2、评估供应链风险
2. Assess supply chain risks
2.1供应链调查
2.1 Supply Chain Investigation
公司通过以下措施对供应链进行尽职调查，并完成了尽职调查问卷：
The company conducted due diligence on the supply chain through the following measures and completed the due diligence questionnaire:
(1) 资质验证。要求合作方提供相应的资质证明文件，营业执照，身份证明文件，矿山供应商还需要提供采矿许可证、环评认证以及关注矿工佩戴劳保、健康安全交易、职业病体检等。
(1) Qualification verification. Require partners to provide corresponding qualification certificates, business licenses, and identity documents. Mining suppliers also need to provide mining permits, environmental impact assessments, and pay attention to miners wearing labor protection, health and safety transactions, occupational disease examinations, etc.
（2）建立供应商档案。对供应商基本情况、股东信息、提供原料类型及产地、计划精炼贵金属类型、结算方式等信息进行详细调查，并尽可能的将供应链调查向供应商的上游延伸，最终确定其风险等级。
(2) Establish supplier files. Conduct a detailed investigation on the basic information of suppliers, shareholder information, types and origins of raw materials provided, types of planned refined precious metals, and settlement methods, and extend the supply chain investigation to the upstream of suppliers as much as possible to ultimately determine their risk level.
（3）建立来料登记簿。对供应商当批次来料的日期、重量、原料来源、主要上游供应商进行调查登记，判断其来料风险等级。
(3) Establish an incoming material registration book. Conduct an investigation and registration of the date, weight, source of raw materials, and major upstream suppliers of the supplier's current batch of incoming materials to determine their risk level.
（4）建立供应商年度调研报告工作流程。对除银行之外的全年黄金、白银来料量前三名进行专项尽职调查，形成供应商年度调查报告，内容包括：供应商概况、资质信息、来料类型及所占比重、上游供应商概况及名单、原料产地及品种、是否存在国外黄金、白银等。
(4) Establish a workflow for annual supplier research reports. Conduct a special due diligence on the top three gold and silver incoming materials for the whole year, excluding banks, to form an annual supplier investigation report, which includes: supplier overview, qualification information, incoming material types and proportion, upstream supplier overview and list, raw material origin and variety, whether there is foreign gold and silver, etc
（5）对产品的去向进行尽职调查。针对黄金、白银销售业务，对一次性购买黄金重量超过30公斤或累计购买超过100公斤的客户，一次性购买白银重量超过2000公斤或累计购买超过5000公斤的客户，进行产品去向尽职调查工作。
(5) Conduct due diligence on the flow of the product. For the sales of gold and silver, conduct due diligence on the whereabouts of products for customers who purchase gold weighing more than 30 kilograms at once or accumulated more than 100 kilograms, and for customers who purchase silver weighing more than 2000 kilograms at once or accumulated more than 5000 kilograms.
2.2 CAHRA的判定。公司制定了CHARA的定义流程。公司采用以下资源和标准判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
(1) 脆弱国家指数（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
(2) 全球冲突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
(3) 联合国人类发展指数（UN Human Development Indicator）
(3) UN Human Development Indicator
(4) 多德-弗兰克法案第 1502条列“指明国家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
(5) 欧盟根据 2017/821条例提供的CAHRA清单
(5) CAHRA List provided by the European Union under Regulation 2017/821
(6) 联合国人权事务高级专员办事处或同等机构
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
(7) 金融行动特别工作组 (FATF) 的报告(包括相关国家/地区报告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
(8) 关于高风险黄金中心/转运中心和高洗钱风险国家/地区的可靠市场情报
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
2.3 零容忍和高风险供应链
2.3 Zero tolerance and high-risk supply chains
根据LBMA和OECD相关规定，结合公司实际情况，特规定如下零容忍和高风险供应链评判标准：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍风险：
Zero-tolerance risks:
（1）矿山金/银来自被指定为世界遗产地的地区。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
（2）以违反国际制裁(包括但不吸纳与联合国、欧盟、英国和美国制裁)的方式采购矿山金/银、再生金/银。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
（3）矿山金/银、再生金/银的供应对手方、其他已知的上游公司或其 UBO 是已知的洗钱者、欺诈者或恐怖分子，或曾严重侵犯人权，或直接或间接支持非法非国家武装组织。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
高风险标准：
High-risk criteria：
Ø 高风险的位置
Ø High-risk locations
（1）黄金／白银来自受冲突影响和高风险地区 (CAHRA) 或曾在该等地区过境或通过该等地区运输。
(1) Gold/silver comes from conflict affected and high-risk areas (CAHRA) or has been transited or transported through such areas.
（2）黄金／白银据称来自已知或合理怀疑来自 CAHRA 的黄金/白银过境的国家/地。
(2) Gold/silver is said to have originated from countries/regions where it is known or reasonably suspected that gold/silver from CAHRA has passed through.
（3）黄金／白银据称来自已知储量、可能资源或预期产量有限的国家/地区。
(3) Gold/silver is said to come from countries/regions with known reserves, potential resources, or limited expected production.
Ø 高风险供应商/交易方或其他已知上游公司：
Ø High risk suppliers/parties or other known upstream companies:
（1）在具有高洗钱风险的国家/地区运营
(1) Operating in countries/regions with high money laundering risk
（2）具有符合基于位置高风险标准的股东或最终收益方或其他黄金白银供应权益
(2) Shareholders or ultimate beneficiaries or other gold and silver supply equity that meet location-based high-risk criteria
（3）具有身为政治人物最终收益方
(3) As the ultimate beneficiary of being a political figure
（4）从事高风险商业活动(如军火、赌博和娱乐业、古董和艺术、教派及其领袖)
(4) Engaging in high-risk commercial activities (such as arms, gambling and entertainment, antiques and art, sects and their leaders)
(5) 已知在过去12 个月曾从高风险国家/地区采购黄金/白银
(5) Known to have purchased gold/silver from high-risk countries/regions in the past 12 months
（6）与供应链中的供应商或对手方之间有重要且无法解释的运输路线。
(6) There are important and unexplainable transportation routes between suppliers or competitors in the supply chain
(7) 提供的文件有重大差异/不一致，或拒绝提供所要求的文件。
(7) Significant differences/inconsistencies in the provided documents, or refusal to provide the requested documents
Ø 高风险物料：
Ø High-risk materials :
矿山金/银:
Mined gold/silver
(1) 采购自ASM
(1)Purchased from ASM
(2)使用汞生产
(2 )Produced with mercury
(3)造成灾难性伤害或高度不利的ESG 因素(在公司尽可能能够识别的范围内)
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生金/银
(1)来自具有高风险供应链的中间精炼厂或交易商或从具有高风险供应链的中间精炼厂采购的交易对手方
(1)Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
(2)无法证明其为再生金/再生银
(2)Unable to prove that to be recycled gold/silver
2.4 ESG因素
2.4 ESG factors
(1)遵守经营所在国/地区的环境、健康、安全和劳工法规/政策；
(1) Comply with environmental, health, safety, and labor regulations/policies in the country/region where the business is located
(2)环境管理，包括
(2) Environmental management, including
a. 空气、水、土地污染及事件管理计划；
a. Air, water, land pollution and event management plan
b.水资源管理，特别是在缺水的地区
b. Water resource management, especially in areas with water scarcity
c.未经授权从世界遗产地和保护区采购
c. Unauthorized procurement from world heritage sites and protected areas
(3)危险化学品（包括汞和氰化物）的储存、处理和处置;
(3) Storage, treatment, and disposal of hazardous chemicals (including mercury and cyanide)
(4)劳工管理，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
(4) Labor management, including salary, working hours, collective bargaining, discrimination, diversity, disputes, and worker rights protection
(5)社区参与和管理方案（土地征用和社区重新安置、文化遗产和土著居民、关闭规划和保护弱势群体）
(5) Community Participation and Management Plan (Land Acquisition and Community Resettlement, Cultural Heritage and Indigenous Peoples, Closure Planning and Protection of Vulnerable Groups)
(6)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)
(6) Manage business integrity and ethical behavior, and support the implementation of relevant initiatives (such as the Extractive Industry Transparency Initiative (EITI)
2.5 关于强化尽职调查的说明
2.5 Explanation on enhanced Due Diligence
众恒隆通过KYS对上游原料供应商进行尽职调查，主要包括供应商基本信息、业务活动、供应商股东和受益人信息、物料来源、负责任采购建立和实施情况、ESG基本情况、反洗钱、反贿赂和反恐怖主义融资的相关规定，强迫劳工和物料运输情况。结合制定的《风险评估表》对交易方进行了CAHRAs识别和风险识别。一旦供应链中有任何的高风险被识别出来，对涉及高风险的供应商通过线上和现场拜访的形式进行加强型尽职调查。
The company conducts due diligence on upstream raw material suppliers through KYS, mainly including supplier basic information, business activities, supplier’s shareholder and beneficiary information, material sources, establishment and implementation of responsible procurement, ESG basic information, relevant regulations on anti-money laundering, anti-bribery, and counter-terrorism financing, as well as forced labor and material transportation. Based on the established Risk Assessment Form, CAHRAs and risk identification were conducted on the trading parties. Once any high-risk issues in the supply chain are identified, enhanced due diligence will be conducted on high-risk suppliers through online and on-site visits.
2023年度，业务部门按《供应链尽职调查管理办法》进行合规调查，合规总监负责审查尽职调查的真实性、有效性和完整性。2023年所有物料均来自于中国，且中国未被识别为CAHRAs, 也未识别出供应商和其供应链中有零容忍风险，高风险以及强迫劳工的风险，所以未触发强化尽职调查。
In 2023, the business department conducted compliance investigations in accordance with the Supply Chain Due Diligence Management Measures, and the Compliance Director was responsible for reviewing the authenticity, effectiveness, and completeness of the due diligence. In 2023, all materials were sourced from China, and China was not identified as CAHRAs, nor was there any zero tolerance risk, high risk, or forced labor risk in suppliers and their supply chains identified, so enhanced due diligence was not triggered.
第三步 设计并实施策略来应对已识别的风险
Step 3: Design and implement a management strategy to respond to identified risks
合规声明与要求：
Statement of Compliance:
我公司已经充分遵守第3步：设计和实施风险管理体系以应对识别的风险。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
1、制定风险管理策略
1. Develop risk management strategies
众恒隆制订了《供应链风险减缓管理办法》，约定了在供应商评估及日常业务开展过程中发现的违规情况的处理方式；规范了发现供应商存在高风险行为的处理步骤；明确了尽职管理各级组织、人员的责任，以及向高级管理人员汇报实施进度等。
The company has formulated the Supply Chain Risk Mitigation Management Measures, which stipulate the handling methods for violations discovered during supplier evaluation and daily business operations; Standardized the handling steps for discovering high-risk behaviors from suppliers; Clear responsibilities for due diligence management of organizations and personnel at all levels, as well as reporting implementation progress to senior management
如果供应链中识别出零容忍的风险，不得与其建立业务关系，或必须立即终止现有的业务关系。
If zero tolerance risks are identified in the supply chain, business relationships must not be established or existing business relationships must be terminated immediately
当识别出以下问题，公司应立即停止与交易方的合作关系：
When the following issues are identified, the company should immediately stop cooperation with the trading counterparty
1. 洗钱
1. Money laundering
2. 恐怖主义融资
2. Terrorist financing
3. 严重侵犯人权
3. Serious violations of human rights
4. 直接或间接支持非国家武装组织
4. Direct or indirect support for non-state armed groups.
5. 谎报矿物产地
5. Misrepresentation of mineral origin
6、具有灾难性的ESG影响
6. Catastrophic ESG effects
对评估为高风险的供应商采取以下措施：
Take the following measures for suppliers assessed as high-risk
（1）不与该供应商建立业务关系
(1) Not establishing a business relationship with this supplier
（2）与已建立业务关系的供应商暂停合作，如果在6个月内，供应商提供反驳性证明和回应，且能再次符合公司对风险的评估要求，重新建立合作关系；
(2) Suspend cooperation with suppliers who have already established business relationships. If the supplier provides rebuttal evidence and response within 6 months and meets the company's risk assessment requirements again, re-establish the cooperation relationship
（3）与已建立业务关系的供应商暂停业务，如果在6个月内，供应商不能符合公司对风险的评估要求，将终止合作。
(3) Suspend business with established suppliers. If the supplier fails to meet the company's risk assessment requirements within 6 months, the cooperation will be terminated.
对任何识别出的风险，公司将会与交易方和利益相关方进行沟通并制定相应的风险缓解计划。风险缓解计划实施后，相关的风控专员就供应商提供材料证据与反馈的过程进行记录，对供应商所提交的材料进行核实与审查，确保风险缓解进展与实施的有效性。
For any identified risks, the company will communicate with trading parties and stakeholders and develop corresponding risk mitigation plans. After the implementation of the risk mitigation plan, relevant risk control specialists record the process of suppliers providing material evidence and feedback, verify and review the materials submitted by suppliers, and ensure the effectiveness of risk mitigation progress and implementation
众恒隆严格遵守LBMA负责任黄金/白银指南，设计并实施策略来应对已识别的风险。2023年未发现零容忍和高风险供应链，不需要做风险缓解措施。
The company strictly adheres to the LBMA Responsible Gold/Silver Guidelines, design and implement strategies to address identified risks. No zero tolerance and high-risk supply chains were found in 2023, and no risk mitigation measures are needed.
2、已建立风险评估报告制度
2. Risk assessment report system has been established
公司建立风险评估报告制度，每年合规专员对部门尽职调查工作上报合规总监。2023年度的风险识别和评估结果已汇报给合规总监并保留了相应的传达记录。
The company has established risk assessment report system, and the compliance officer reports the department's due diligence work to the compliance director every year. The risk identification and assessment results for the year 2023 have been reported to the Compliance Director and corresponding communication records have been retained.
第四步 独立第三方审计
Step 4 Arrange for an independent third-party audit of the supply chain due diligence.
合规声明：
Statement of Compliance :
我公司已经充分遵守第4步：安排供应链尽职调查的独立第三方审计。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司严格遵守对精炼商的尽职调查实践开展独立的第三方审计的要求。自2020年开始，公司已委托RCS Global进行LBMA相关负责任合规审计并依照审计要求提供相关数据及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company since 2020.
第五步 供应链尽职调查年度报告
Step 5 Annual report on supply chain due diligence
合规声明：
Statement of Compliance:
我公司已经充分遵守第5步：有关供应链尽职调查的报告。
We have fully complied with Step 5: Report on supply chain due diligence.
众恒隆严格遵守供应链尽职调查年度合规报告的要求，按时编制2023年度供应链尽职管理合规报告，并于公司官方网站进行公示:https://www.zhlsy.com/zygg/list_17.html
The company strictly comply with the requirements of the annual compliance report for supply chain due diligence, prepare the 2023 supply chain due diligence compliance report on time, and publish it on the company's official website at https://www.zhlsy.com/zygg/list_17.html
需要了解更多内容或者对本报告有任何反馈意见，可通过电话0755-25683238或电子邮件478152938@qq.com与我们联系。
Need to learn more or have any feedback on this report, please contact us by call at 0755-25683238 or e-mail at 478152938@qq.com
四、管理结论
IV. Management conclusion
综上所述，截至于2023年12月31日的报告年度内，深圳市众恒隆实业有限公司完全遵守了《LBMA负责任黄金/白银指南》，实施了有效的管理制度、程序、流程和实践，完善了供应链管理体系，充分进行了供应商风险的识别和评估，并扩展至环境和可持续发展的影响，对供应链尽职调查进行独立第三方审计。公司将持续改进完善管理体系，加强内部监测和管理，提升对风险的防范。
In conclusion, in the financial year ended December 31, 2023, Shenzhen Zhonghenglong Industrial Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold and Silver Guidance, improved the supply chain management system, fully identified and evaluated supplier risks and with extension to the impact of environment and sustainable development, have conducted independent third-party audits on supply chain due diligence. The company will continue to improve and perfect its management system, strengthen internal monitoring and management, and enhance risk prevention.
