深圳市众恒隆实业有限公司
Shenzhen Zhonghenglong Industrial Co., Ltd
2020年度供应链尽职管理合规报告
2020 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
位置：广东省深圳市龙华区民康路1970科技小镇1栋401
Address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
年终报告：2020年度供应链尽职管理合规报告
Year-end report: 2020 Supply Chain Due Diligence Management Compliance Report
报告日期：2021年1月10日
Reporting date: January 10, 2021
报告负责人：曹健（公司副总经理） 网址：WWW.ZHLSY.COM
Report principal: Cao Jian (Deputy General Manager of the company) Website: WWW.ZHLSY.COM
一、公司概况
I. Company profile
深圳市众恒隆实业有限公司（简称公司），地处广东省深圳市境内。以“做全国工艺技术水平最优、安全环保最佳、盈利能力最强”的黄金冶炼企业为目标，公司致力于推进各项管理与技术创新，具有黄金产品的高端高效、节能环保的完整产业链。
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，存续至今，独立法人企。依托我国矿物加工工艺技术的优势，采用先进的工艺设备和自动化技术，有针对性的解决生产节能环保、矿产资源综合回收、生产废水零排放三大技术难题，形成黄金产业的循环经济发展模式，建设成为节能减排、低碳环保的绿色产业，。
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.
深圳市众恒隆实业有限公司是华南地区最大的贵金属精炼企业，是上海黄金交易所标准金锭、标准金条、标准银锭提供企业，高效的生产工艺,高品质的贵金属产品,以及环保和安全的三废处理系统的现代化国际标准的提纯精炼企业。现有年生产的银 (Ag)200吨 、黄金 (Au)300吨、铂金 (Pt)、 钯金 (Pd)20吨 以及处理各种贵金属废料 400 吨的生产设备和能力,而且各类产品均达到国家和行业规定的标准;环保和废水、废气的排放也达到国家法律规定的标准。
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年当选“广东省黄金协会，副会长单位”“中国珠宝玉石首饰行业协会常务理事单位”
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年获得上海黄金交易所颁发的“最佳可提供标准金锭、银锭企业”“最佳风控会员”“综合类年度优秀会员”“最佳竞价交易自营会员”。
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、供应商情况概述
II. Condition overview of supplier
公司主要原料来源为分为各大矿山自产金精矿和从社会中收购的合质金，所有供应商均为低风险供应商。
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、合规情况概述
III. Overview of compliance conditions
公司对所有供应商进行尽职的供应链调查，要求所有供应商提供 的来源合法、合规。
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 建立强大的公司管理体系
Step 1: Establish strong company management systems
合规声明与要求：
Compliance Statement with Requirement:
我公司已经充分遵守第1步骤：建立强大的公司管理体系。
We have fully complied with Step 1: Establish strong company management systems.
公司已经严格建立了强大的管理体系，确保供应链尽职调查工作全面落地。
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
公司通过并出台了一项供应链负责任采购政策，该政策符合经合组织《来自受冲突影响和高风险地区矿石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，该政策在官网上进行公布。
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、再生金来源符合要求，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、采用汞和氰化物不符合LBMA的规定开采等高风险地区的黄金、白银，我公司已将此政策向供应商传阅并揭示风险，要求供应商签章并承诺严格执行。
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.管理架构
2. Management structure
公司已经建立了内部管理制度，按照出台的政策对管理、作用和职责、内部审计、沟通进行界定、并开展高级管理层评审。
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规章制度方面
2.1 Rules and regulations
公司依照政策制订了《供应链尽职调查管理体系》《供应链政策》《供应链风险减缓管理办法》，主要明确供应链尽职调查组织架构、职责、高风险地区定义，制定高风险供应链评估标准、调查处理程序、交易监控、文件保存等内容。上述制度通过总经理办公会审批后以红头文的形式下发，作为文控处理。
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职责与权限
2.2 Duties and authorities
公司设置合规总监、合规风控官、合规专员。
The Company has set up Compliance Director, Compliance Risk Control Officer and Compliance Officer.
合规总监由公司副总经理邹家浩担任，负责公司供应链尽职调查工作，建立健全供应链尽职调查管理体系，监督供应链尽职调查流程，协调处理供应链尽职调查中的异常情况，审批合规报告。
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.
合规风控官由曹健副总经理担任，负责制定并更新供应链尽职调查政策、制度，负责制定高风险供应链评判标准和执行供应链尽职调查措施，指导、协调、报告公司风险评估、应对和实施等情况，监督、检查各部门的落实情况并考核，汇报供应链尽职调查中的异常情况，组织培训等工作。
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.
合规专员分别为收发部经理甘武德、财务部经理朱景斌、业务部经理甘维荣、交割部经理刘存勇、提纯部经理苏泉、熔金部经理伍伟聪、检测中心经理邹仕信，负责严格执行供应链尽职调查措施和高风险供应链评判标准，收集并保存了足够的供应链证明文件，建立了供应商尽职调查档案，并定期对重要供应商进行现场调查。
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.强有力的内部追溯体系
3. Strong internal traceability system
公司建立了一套供应链可追溯体系，收集和维护每一批产品的供应链信息，为每一批产品分配唯一编号。
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供应链可追溯体系
3.1 Supply chain traceability system
我司已对所有的供应商进行资信调查，资信调查通过后签订合同以及供应商社会承诺书，承诺原料合法，符合尽职调查政策；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、预计品位，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，分配唯一编号，通过上海黄金交易所进行交易。
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维护资料
3.2 Data maintenance
在业务开展前身份证、身份验证资料、营业执照、资质验证资料、供应商尽职调查表、每一批次的验收单、化验单、结算单等相关记录保存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培训
3.3 Training
公司已将供应链尽职调查管理培训纳入公司年度培训计划当中，组织公司重点岗位以及合规员对供应链尽职调查管理的要求、内容进行培训，确保供应链尽职调查管理工作落到实处。
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合规专员
3.4 Compliance officer
公司指定各部门负责人为合规专员，负责有关供应链尽职调查管理的所有事项。特别是，对供应链尽职调查进行审核，并评估尽职调查是否充分，必要时收集额外文件或信息。确保在高风险供应链或交易内实施相应从事。负责有关责任供应链的员工培训，编制并更新供应链政策，并向高级管理人员提供用于履行职责的适当信息。
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通过官方银行渠道付款
3.5 Payment via official bank channels
公司在支付货款时，由业务部门发起资金事项联签程序，通过公司账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。
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.强化合作，协助黄金供应交易方建立尽职调查能力
4. Strengthen cooperation and help the gold supply trading party to establish due diligence capacity
公司与供应商建立基于信任和互认的长期关系，要求供应商必须严格执行经合组织《来自受冲突影响和高风险地区矿石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 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.
公司在与供应商签订采购合同的同时，要求供应商签署《供应链负责任承诺书》，承诺黄金来源合法合规，拒绝来自规定的高风险区域。所有矿山类型的供应商需提供采矿许可证，对于公司销售的大客户已要求其备案下游客户的发票，规避套票风险。
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.建立机密申诉机制
5. Establish confidential grievance mechanism
公司利用官网平台，公布电话和邮箱，允许员工和外部利益相关者表达对供应链或任何新的已识别风险的担忧，并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 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 供应链风险的识别与评估
Step 2: Identify and assess risk in the supply chain
合规声明与要求：
Compliance Statement with Requirement:
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.
公司制定了高风险供应链的判定标准，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和评估。截止到目前，未发现高风险供应链。
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.识别供应链风险
1. Identify risk of supply chain
根据经合组织《来自受冲突影响和高风险地区矿石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，黄金冶炼公司识别相关风险，密切关注来自侵犯人权、武装冲突、非法开采、开采利用汞和氰化物不符合LBMA的规定，以及源于世界遗产遗址等地区的黄金，以及用于贿赂、洗钱、恐怖主义融资等行为的黄金。公司为每个供应商建立供应商档案，根据公司的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 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.评估供应链风险
公司确认发现低分险并已解决， 在给供应商开户和交易之前公司都会进行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供应链调查
2.1 Supply chain due diligence
公司通过以下措施对供应链进行尽职调查：
The Company has carried out supply chain due diligence with the following measures:
（1）资质验证。黄金冶炼公司对于所有供应商均进行供应链的尽职管理调查，在进行合作前要求合作方提供相应的资质证明文件，法人客户提供营业执照，个人客户提供身份证复印件，矿山客户还需要提供采矿许可证。
(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、与其供应商结算方式、其供应商概况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，对于涉及高风险标准的供应商终止合作。
(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) 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）建立客户专项调研报告工作流程。在走访客户时，对原料来源进行追溯，向供应商传达黄金冶炼公司尽职管理政策，并要求其在政策上签字。
(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）同时协助委外加工厂进行尽职管理工作。对委外加工厂的原料来源进行追溯，帮助其建立供应商尽职管理体系。
(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）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，充分发挥网络作用，利用天眼查、中国审判信息网等网站对供应商资质情况、失信情况、诉讼情况、处罚情况进行查询，对涉及高风险行为的供应商终止合作。
(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高风险供应链
2.2 High-risk supply chain
根据OECD相关规定，结合公司实际情况，特规定如下高风险供应链评判标准：
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）矿产金或再生金来源于、中转或者运经冲突影响或侵犯人权高风险地区；
(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）矿产金声称来源于一个已知储量有限、资源有限或预计产量有限的国家；
(2) It is asserted that mineral golds are from a country with limited known reserves, limited resources or estimated output;
（3）再生金来源于已知的冲突影响和侵犯人权的高风险地区，或者有理由怀疑经此地区中转的；
(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）在供应链中的公司或者其他已知的上游公司位于一个有着洗钱、犯罪和贪污高风险的国家；
(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）在供应链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）在供应链中的公司或其他已知的上游公司积极参与高风险商业活动，例如武器、赌博、赌业、古董和艺术品、钻石，宗教和宗教领袖；
(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）矿产金来源于国内手续不全、非法开采的小型矿山，以及开采黄金源于手工开采；
(7) Mineral golds are from small mines with incomplete formalities and illegal mining in the country and golds are manually mined;
（8）矿产金或再生金利用汞或氰化物生产而得，不符合LBMA的规定；
(8) Mineral golds or recycled golds are produced with mercury or cyanide, which does not conform to LBMA provisions;
（9）不遵守环境和可持续发展法律要求，矿产金或再生金源于世界遗产遗址或国内自然生态保护区；
(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）其他高风险情况。
(10) Other high-risk conditions.
当上述评判标准任何一条客观存在时，则该供应链被判定为高风险供应链。合规专员立即准备材料上报合规风控官，由合规风控官上报合规总监，由合规总监批准采取应对措施，停止交易，消除风险。截至发稿时间，发现共99名客户未及时更新资料，其中公司客户33名、个人客户63名，目前已暂停与其合作关系并冻结其账户，直至其资料补充完整再进行风险评估，由合规部决定是否恢复合作关系并解冻其账户。
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高风险类别
2.3 High-risk category
公司制定了《供应链风险减缓管理办法》，当供应链调查发现来自高风险区域时，停止该交易并上报合规总监审批后报政府部门；当供应链尽职调查发现可能来自高风险区域，则需立即暂停该矿产金、再生金的冶炼，直至供应商在6个月之内提供可证明其并不可能存在的额外数据或信息为止。若在6个月之内仍未提供相关证据，则需立即停止该交易并上报至有关人员。
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.
提供的资料包括：
Data provided include:
（1）提供证明不存在有关矿产金、再生金提取、运输或贸易的系统性或广泛人权侵犯行为的政府性文件，如供应商所在地相关公安或商务部门出具的合法性证明等；
(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）提供并未向非法武装组织提供直接或间接支持的证明文件；
(2) Supporting documents proving that suppliers do not provide illegal armed organizations with direct or indirect supports;
（3）提供并未通过欺诈掩盖矿产金或再生金的原产地证明文件，如相关政府部门出具的原产地证明；
(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）提供不存在洗钱或恐怖主义融资的证明文件；
(4) Supporting documents proving that there is no money laundering or terrorism financing;
（5）提供国内小型矿山资质证明文件；
(5) Supporting documents of domestic small mines;
（6）提供能够证明开采黄金利用汞或氰化物的标准，符合LBMA的规定；
(6) Supporting documents proving that mined golds conform to LBMA provisions in mercury or cyanide utilization standards.
（7）提供环境和可持续发展相关方针政策、制度文件以及通过有关部门环评报告；
(7) Policies and guidelines as well as systems related to environment and sustainable development, reports of environmental assessment of related authorities;
2.4交易监测
2.4 Transaction monitoring
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。
The Company supervises all transaction conditions to ensure that transactions are consistent with supply chain due diligence.
公司对供应链尽职调查进行检查，每批来料编号唯一，生产可追溯，对于所有的原料采购入库均保留完整的单据资料，对于入库的金精矿保存有过磅单、水份单、品位单、结算单、财务凭证等；对于入库的合质金银保存有来料验收单、品位单、结算单、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，由交割部、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 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.向高级管理层报告风险评估
3. Report risk evaluation to senior management
公司建立风险评估报告制度，每月合规专员对部门尽职调查工作报合规风控官。当供应链调查发现来自高风险区域，被评估为高风险供应链时，停止该交易并上报合规总监审批后报政府部门。
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 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：
Compliance Statement with Requirement:
我公司已经充分遵守第3步：设计和落实管理体系应对识别的所有风险。
We have fully complied with Step 3: Design and implement a management strategy to respond to identified risks.
公司严格遵守设计并实施策略来应对已识别的风险。2020年未发现高风险供应链，因此未采取供应链风险减缓措施。
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.
公司制订了《供应链风险减缓管理办法》并作为文控管理，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。
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.
疑似高风险来料后，对其进行单独登记，并告知精炼车间，对其暂停作业，不与其他客户来料混合。
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 对精炼商的尽职调查实践开展独立的第三方审计
Step 4: Arrange for an independent third-party audit of the supply chain due diligence
合规声明与要求：
Compliance Statement with Requirement:
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 of the supply chain due diligence.
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。
The Company has strictly followed requirements for carrying out independent third-party audit for due diligence of refiners.
自2021年开始，公司每年均聘请独立的第三方审计机构对尽职管理情况进行审计，并出具审计报告。
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 供应链尽职调查年度报告
Step 5: Report on supply chain due diligence
合规声明与要求：
Compliance Statement with Requirement:
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.
公司严格遵守供应链尽职调查年度报告的要求。
The Company has strictly followed requirements for annual report of supply chain due diligence.
公司每年通对上一年度的现场审计情况总结及评估报告、尽职管理证书、供应链管理制度、供应链尽职调查政策进行公示。
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、管理结论
IV. Management conclusion
综上所述，在报告年度截至于2020年12月31日的财年内，深圳市众恒隆实业有限公司实施了有效的管理制度、程序、流程和实践。深圳市众恒隆实业有限公司致力于不断的改进提升，所有的纠正措施将在内部进行定期监测。
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、其他报告批注
V. Other report comments
如果本报告用户希望就本报告向深圳市众恒隆实业有限公司进行任何反馈，则可以通过www.ZHLSY.COM联系企业相关部门。
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 www.ZHLSY.COM.
