江西銅業(yè)鉛鋅金屬有限公司

Jiangxi Copper Lead & Zinc Metal Co., Ltd

2023年度白銀供應(yīng)鏈盡職調(diào)查合規(guī)報(bào)告

Due Diligence Management Compliance Report of Silver Supply Chain in 2023

(2023/01/01-2023/12/31)

根據(jù)《倫敦金銀市場協(xié)會(huì)負(fù)責(zé)任的白銀指南》的要求，公司通過建立強(qiáng)大的管理體系，對供應(yīng)商進(jìn)行嚴(yán)格的盡職調(diào)查，避免系統(tǒng)性或廣泛性的侵犯人權(quán)行為、避免產(chǎn)生沖突，采用供應(yīng)鏈盡職調(diào)查方法對所有供應(yīng)商進(jìn)行風(fēng)險(xiǎn)識別和評估，制定了高風(fēng)險(xiǎn)供應(yīng)鏈的管理策略，確保供應(yīng)鏈風(fēng)險(xiǎn)在可接受范圍內(nèi)，確保本公司的白銀供應(yīng)鏈完全符合LBMA負(fù)責(zé)任白銀指南的要求。

According to the requirements of the LBMA Responsible Silver Guidance issued by LBMA, the company has established a strong management system, conducted strict due diligence on suppliers, avoided systematic or widespread human rights violations, and avoided conflicts. The supply chain due diligence method has been used to identify and evaluate risks for all suppliers, and a high-risk supply chain management strategy has been developed to ensure that supply chain risks are within an acceptable range and that the company's silver supply chain fully complies with the requirements of the LBMA Responsible Silver Guidelines.

本報(bào)告總結(jié)了江西銅業(yè)鉛鋅金屬有限公司2023財(cái)年內(nèi)（2023年1月1日-2023年12月31日）對《倫敦金銀市場協(xié)會(huì)負(fù)責(zé)任的白銀指南》要求的遵守情況。

This report summarized how Jiangxi Copper Lead & Zinc Metal Co., Ltd has complied with the requirements of LBMA Responsible Silver Guidance for the fiscal year 2023 (January 1, 2023-December 31, 2023).

一、公司概況

I.Company Overview

江西銅業(yè)鉛鋅金屬有限公司于2009年9月成立，為世界500強(qiáng)企業(yè)-江西銅業(yè)集團(tuán)有限公司所屬控股法人企業(yè)，位于江西省湖口縣高新技術(shù)產(chǎn)業(yè)園，現(xiàn)有員工1100余人，生產(chǎn)鉛錠、鋅錠、金錠、銀錠、硫酸等優(yōu)質(zhì)主產(chǎn)品，現(xiàn)已具備年產(chǎn)電解鉛10萬噸，電解鋅12萬噸，黃金1200公斤，白銀350噸，硫酸25萬噸的生產(chǎn)能力。

一期20萬噸/年鉛鋅冶煉及資源綜合利用項(xiàng)目首次引進(jìn)基夫賽特直接煉鉛技術(shù)，與常規(guī)濕法煉鋅工藝形成國內(nèi)獨(dú)一無二的鉛鋅聯(lián)合冶煉工藝,發(fā)揮出了資源利用率高、環(huán)境保護(hù)好、自動(dòng)化程度高、能源消耗低等顯著優(yōu)勢，2013年榮獲中國有色金屬工業(yè)科學(xué)技術(shù)一等獎(jiǎng)。公司連續(xù)七年保持盈利，先后通過“五標(biāo)一體”管理體系認(rèn)證、“國家高新技術(shù)企業(yè)”認(rèn)證、“國家認(rèn)可實(shí)驗(yàn)室”認(rèn)證，獲評工信部工業(yè)領(lǐng)域電力需求側(cè)管理示范企業(yè)、工信部鉛鋅行業(yè)首批合規(guī)企業(yè)，授予“全國‘安康杯’競賽優(yōu)秀組織單位”“‘十三五’江西省安全生產(chǎn)工作先進(jìn)單位”“江西省品牌建設(shè)先進(jìn)單位”“第八屆九江市市長質(zhì)量獎(jiǎng)”，“江銅”牌鉛錠、鋅錠獲評首屆“江西精品”稱號。2022年6月，公司取得“AEO高級認(rèn)證企業(yè)”資格，入選2022年度江西省管理創(chuàng)新示范企業(yè)榜單，企業(yè)管理規(guī)范化、精細(xì)化、信息化之路越走越寬，位列2023年“江西百強(qiáng)企業(yè)”第49位。

Jiangxi Copper Lead and Zinc Metal Co., Ltd, established in September 2009, is a holding entity enterprise of Jiangxi Copper Corporation Limited, one of the world's top 500 enterprises. Located in High-tech Industrial Park, Hukou County, Jiangxi Province, it has more than 1100 employees, producing lead ingots, zinc ingots, gold ingots, silver ingots, sulfuric acid and other high-quality main products，an annual outputof electrolytic lead 100,000 tons, electrolytic zinc 120,000 tons,1200 kgs of gold, 350 tons of silver,300,000 tons of sulfuric acid.

With capacity of 200kt/a, we are the first one who developed advanced lead and zinc joint smelting process by combining world-class Kivcet Lead Smelting with conventional hydrometallurgy of zinc, having several significant advantages, like high resource utilization, environmental protection, high degree of automation, low energy consumption etc., the Company won the first prize of the 2013 China Non-ferrous Metal Industry Science and Technology Award.The Company makes profit for seven consecutive years, successively achieve the FIVE STANDARD MANAGEMENT SYSTEM CERTIFICATE, NATIONAL HIGH-TECH ENTERPRISE CERTIFICATION,NATIONAL ACCREDITATION LABORATORY CERTIFICATION.It’s a model enterprise of power demand management Ministry of Industry and Information Technology, the ministry of industrial power demand side management demonstration enterprise, the ministry of lead and zinc industry's first compliance enterprises. The Company awarded the Excellent Organization Unit of the National "Ankang Cup" Competition, the Exemplary Organization of Safety Production in Jiangxi Province during the 13th Five Year Plan, the Exemplary Organization of Brand Building in Jiangxi Province, and the Eighth Mayor of Jiujiang City Quality Award, JCC brand lead ingot, zinc ingot named the first" Jiangxi Boutique " title.The Company has obtained the qualification of "AEO Advanced Certification Enterprise"in June 2022 and was elected into the list of management innovation demonstration enterprises in Jiangxi Province in 2022, the road to standardization, refinement and informatization of enterprise management is getting wider and wider. It ranked 49th among the "Top 100 Jiangxi Enterprises" in 2023.

二、合規(guī)性概述

II. Compliance Overview

公司對所有供應(yīng)商進(jìn)行嚴(yán)格的盡職調(diào)查，確保原料來源合法合規(guī)。

The Company conducts strict due diligence on all suppliers to ensure that the source of raw materials is 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

Compliance Statement with Requirement:

我們完全遵循第一步：建立強(qiáng)大的管理體系，開展白銀供應(yīng)鏈盡職調(diào)查工作。

We have fully complied with Step 1: Establish strong management systems and conduct due diligence in the silver supply chain

1、公司政策

1、Company Policy

合規(guī)陳述：

Presentation of compliance:

根據(jù)《LBMA 負(fù)責(zé)任的白銀指南》和經(jīng)合組織《來自受沖突影響和高風(fēng)險(xiǎn)地區(qū)的礦石負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》附件 II 中規(guī)定，公司于2021年1月4日發(fā)布了《江西銅業(yè)鉛鋅金屬有限公司LBMA負(fù)責(zé)任白銀供應(yīng)鏈盡職調(diào)查管理體系》，并視情況進(jìn)行更新。體系中規(guī)定了白銀供應(yīng)鏈盡職調(diào)查政策、內(nèi)部的組織構(gòu)架及責(zé)任、盡職調(diào)查流程、白銀供應(yīng)鏈的風(fēng)險(xiǎn)識別方法、評判標(biāo)準(zhǔn)以及管理策略，此外還規(guī)定了白銀供應(yīng)鏈盡職調(diào)查培訓(xùn)培訓(xùn)、供應(yīng)鏈追溯系統(tǒng)、記錄的保存期限、交易監(jiān)控等事宜。根據(jù)體系要求，制定了《風(fēng)險(xiǎn)評估方法和評價(jià)表》、《緩解策略》等文件。

In accordance with the requirements of the LBMA Responsible Silver Guidelines and Annex II of Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas of OECD，the Company issued the Jiangxi Copper Lead and Zinc Metal Co., Ltd LBMA Responsible Silver Supply Chains Due Diligence Management Systems on January 4, 2021 and update according to the situation. Besides, these systems stipulate silver supply chain due diligence policies, organizational structure and responsibilities within the Company, due diligence process, and risk identification methods, evaluation criteria and management strategies of silver supply chains. Moreover, these systems also stipulate due diligence training of silver supply chains, traceability systems of supply chains, preservation period of records, transaction monitoring, etc. Documents such as Risk Assessment Method and Evaluation Form and Mitigation Strategy are formulated based on the requirements of these systems.

2023年度，公司嚴(yán)格按照體系要求完成所有白銀供應(yīng)商盡職調(diào)查，并進(jìn)行風(fēng)險(xiǎn)識別和評估，有效的管控了白銀供應(yīng)鏈的風(fēng)險(xiǎn)。

The Company completed the due diligence for all silver suppliers and conducted risk identification and evaluation according to the requirements of these systems in 2023, effectively managing and controlling the risk of silver supply chains.

公司的白銀供應(yīng)鏈盡職調(diào)查政策嚴(yán)格禁止白銀供應(yīng)商有如下行為：

The following behaviors of silver suppliers are strictly prohibited by the due diligence policies for silver supply chains of the Company:

a. 人權(quán)侵犯行為，包括使用童工、酷刑、非人道以及侮辱人格對待方式、廣泛的使用暴力或其他嚴(yán)重反人權(quán)強(qiáng)迫勞動(dòng)、戰(zhàn)爭罪、反人類罪或種族滅絕罪；

a. Human rights violations, including employing child labors, using excruciation, inhuman and degrading treatment, wide use of violence or other forced labor against human rights, war crimes, crimes against humanity or genocide;

b. 向非法武裝組織或向通過供應(yīng)鏈非法控制礦區(qū)、交易商、其他中介機(jī)構(gòu)、運(yùn)輸線路的公共或私人安全部隊(duì)提供直接或間接支持，或在整個(gè)供應(yīng)鏈內(nèi)非法征稅或敲詐錢財(cái)或礦產(chǎn)品（“非法武裝組織、公共或私人安全部隊(duì)”）；

b. Providing direct or indirect support for illegal armed organizations or mining areas, dealers, other intermediary organizations, public or private security forces for transportation routes illegally controlled through supply chains, or  illegally taxing or extorting money or minerals in the whole supply chains (“illegal armed organizations, public or private security forces);

c. 通過賄賂或欺詐掩蓋白銀原產(chǎn)地；

c. Concealing the origin of silver through bribery or fraud;

d. 為遵照政府有關(guān)來自受沖突及高風(fēng)險(xiǎn)區(qū)域的礦產(chǎn)品的提取、貿(mào)易及出口稅費(fèi)要求；

d. To comply with the government’s requirements on extraction, trade and export taxes of minerals from conflict-affected and high-risk areas;

e. 洗錢或恐怖主義融資；

e. Money laundering or terrorist financing;

f. 資助沖突；

f. Contribution to conflict；

g. 從事高風(fēng)險(xiǎn)經(jīng)營業(yè)務(wù)，例如武器、賭博、古董和藝術(shù)品、教派和其領(lǐng)導(dǎo)人；

g. Engaging in high-risk business, such as weapons, gambling, antiques and artworks, religious sects and their leaders;

h. 受益人是政治敏感人物或通緝?nèi)藛T；

h. The beneficiaries are the politically sensitive person or wanted person;

同時(shí)，公司也將該政策發(fā)布在官方網(wǎng)站上，網(wǎng)址為watih.cn/                                        

Meanwhile, the Company also publishes the policies on its official website at watih.cn/    

2、管理架構(gòu)

2、Internal management structure

合規(guī)陳述：

Presentation of compliance:

根據(jù)體系要求，公司已建立供應(yīng)鏈盡職調(diào)查管理制度，明確了組織架構(gòu)及管理職責(zé)，包括一名合規(guī)總監(jiān)、一名合規(guī)經(jīng)理以及若干名合規(guī)組成員組成的管理團(tuán)隊(duì)，團(tuán)隊(duì)負(fù)責(zé)審批供應(yīng)鏈盡職調(diào)查政策和制度、合規(guī)報(bào)告，開展供應(yīng)鏈盡職調(diào)查流程和系統(tǒng)的運(yùn)行和監(jiān)控。

The Company established a supply chain due diligence management system, clarifying the organizational structure and management responsibilities based on the requirements of the systems, including one Compliance Director, one Compliance Manager and several members of the compliance team.The compliance team was responsible for approving supply chain due diligence policies and systems, compliance reports, and monitoring of supply chain due diligence processes and systems.

合規(guī)總監(jiān)：公司授權(quán)的高級管理者副總經(jīng)理劉湖濱，劉湖濱副總自我公司建廠以來一直為我公司重要董事，且負(fù)責(zé)公司經(jīng)營管理工作，對經(jīng)營管理有著豐富的理論知識和實(shí)操經(jīng)驗(yàn)。對外根據(jù)我公司原料采購政策和公司的生產(chǎn)、財(cái)務(wù)以及銷售情況等實(shí)際情況需要負(fù)責(zé)審批與供應(yīng)商合作合同的簽訂（包括是否與高風(fēng)險(xiǎn)供應(yīng)商合作的合同簽訂），并負(fù)責(zé)對供應(yīng)商進(jìn)行審查相關(guān)事宜。對內(nèi)高級管理者根據(jù)LBMA負(fù)責(zé)任的白銀指南文件，對相關(guān)員工進(jìn)行培訓(xùn)，使相關(guān)負(fù)責(zé)人清楚的理解這一體系的目的和意義，明白自己在盡職調(diào)查政策實(shí)施中的職責(zé)，并半年組織培訓(xùn)重溫相關(guān)內(nèi)容。

Compliance Director: Liu Hubin, a senior manager and the Deputy General Manager authorized by the Company. He has been an important director of the Company since its establishment, and is in charge of the operation and management of the Company with his rich theoretical knowledge and practical experiences of operation and management. Externally, based on the Company’s raw material purchasing policies and actual requirements of production, financial and sales situations, he takes charge of reviewing and approving the signing of cooperation contracts with suppliers (including whether to sign contracts with high-risk suppliers), and reviewing suppliers. Internally, on the basis of the LBMA Responsible Silver Guidance, senior managers are responsible for training the related employees and ensuring related personnel in charge to clearly understand the purpose & meaning of the systems and know their responsibilities in the implementation of the due diligence policies. Besides, they should also organize the training to review the related contents every six months.

合規(guī)經(jīng)理（周圣兵）：協(xié)助高級管理人員全面負(fù)責(zé)白銀供應(yīng)鏈盡職調(diào)查事務(wù)，對白銀供應(yīng)鏈上的所有事情負(fù)責(zé)，確保在高風(fēng)險(xiǎn)供應(yīng)鏈或交易時(shí)采取了恰當(dāng)?shù)拇胧峤伙L(fēng)險(xiǎn)評估報(bào)告。并有義務(wù)就責(zé)任供應(yīng)鏈方面進(jìn)行培訓(xùn)，起草和更新白銀供應(yīng)鏈政策，為高級管理者履責(zé)提供準(zhǔn)確的信息。

Compliance Manager (Zhou Shengbing): He assists the senior managers in fully taking charge of the silver supply chains due diligence, and is also in charge of all matters related to the silver supply chains, so as to ensure that appropriate actions are taken for high-risk supply chains or during the transaction, and to submit the risk evaluation report. Besides, it is his duty to conduct training on responsible supply chains, draft & update policies of silver supply chains, and provide accurate information for senior managers to fulfill their responsibilities.

營銷部：確保原材料精礦供應(yīng)的長期性、穩(wěn)定性、安全性，并拒絕與高風(fēng)險(xiǎn)地區(qū)的相關(guān)企業(yè)、組織或國家合作。

Marketing Department: It is necessary to ensure the long-term, stability and safety of the supply of raw material concentrates, and refuse to cooperate with related enterprises, organizations or countries in high-risk areas.

質(zhì)量計(jì)量部負(fù)責(zé)對采購含銀原料進(jìn)行過磅稱重、出入庫記錄；檢化部負(fù)責(zé)對采購含銀原料進(jìn)行化驗(yàn)；稀貴分廠負(fù)責(zé)對產(chǎn)出銀錠進(jìn)行稱重、打標(biāo)記錄，車間組織投料生產(chǎn)并做好投料記錄和產(chǎn)出銀錠記錄，在生產(chǎn)過程中采用封閉式流程，確保白銀生產(chǎn)加工的安全性與可追溯性。

Quality Measurement Department is in charge of weighing and making warehousing records of purchased silver-bearing materials; the Inspection and Chemical Department is responsible for testing the purchased silver-bearing materials; the rare and precious metal branch is in charge of weighing, marking and recording the produced silver ingots. Besides, the workshop should organize the production of material input and make feeding records and the records of the produced silver ingots. The closed process should be provided during the production, so as to ensure the safety and traceability of silver production and processing.

財(cái)務(wù)部負(fù)責(zé)完整保存所有客戶的交易憑證。

The responsibility of the finance department is to keep all transaction documents intact.

質(zhì)量計(jì)量部負(fù)責(zé)與營銷部結(jié)合，保證含銀原料接收的準(zhǔn)確性；稀貴分廠負(fù)責(zé)對白銀銷售前的數(shù)量的統(tǒng)計(jì)，保證白銀實(shí)物出廠的安全性。

Quality Measurement Department, in combination with the Marketing Department, is responsible for ensuring the accuracy of receiving silver-bearing materials; the rare and precious metal branch is in charge of calculating the quantity of silver before sales to ensure the safety of leaving the factory for the physical silver.

營銷部需對交貨人身份信息進(jìn)行確認(rèn)，并在交易過程中，采用監(jiān)督機(jī)制確保交易的安全性，保證公司不參與恐怖主義融資。

Marketing Department should confirm the identity information of the delivery personnel, and ensure the security of the transaction with supervisory mechanism during the transaction. It is also needed to ensure that the Company does not participate in the terrorist financing.

2023年度，管理團(tuán)隊(duì)嚴(yán)格按照體系文件要求對所有白銀供應(yīng)商進(jìn)行了盡職調(diào)查，合規(guī)經(jīng)理對所有調(diào)查結(jié)果進(jìn)行了監(jiān)督和審核，確保所有含銀物料供應(yīng)商在合作前都滿足LBMA要求并得到合規(guī)總監(jiān)的批準(zhǔn)，所有原料采購業(yè)務(wù)均簽訂合同、供應(yīng)商承諾書，所有供應(yīng)商均承諾含銀物料來源符合白銀指南要求。

The management team conducted due diligence for all silver suppliers in strict accordance with requirements of the system documents in 2023. Besides, the Compliance Manager implemented supervision and audit for all results of the due diligence, so as to ensure that all suppliers of silver-bearing materials meet the requirements of LBMA and are approved by the Compliance Director before cooperation.A contract and letter of commitment for suppliers were signed for all raw material procurement businesses. All suppliers promised that the source of silver-bearing materials complied with the requirements of silver guidance

3、供應(yīng)鏈可追溯系統(tǒng)

3、Supply chain traceability system

合規(guī)陳述：

Presentation of compliance:

公司根據(jù)《LBMA負(fù)責(zé)任白銀指南》，確定了供應(yīng)鏈追溯體系，在業(yè)務(wù)過程中，收集和保存所有供應(yīng)商提供的信息，包括供應(yīng)商名稱、產(chǎn)地、合同評審表、合同文本、結(jié)算方式、運(yùn)輸過程、重量和檢驗(yàn)報(bào)告、生產(chǎn)日期、入庫時(shí)間等。每批出庫銀塊都有一個(gè)唯一的編號，并有一個(gè)出庫臺帳記錄，包括日期、重量、質(zhì)量等。

The Company has determined the traceability system of supply chains based on the requirements of the LBMA Responsible Silver Guide. It collects and saves all information provided by suppliers in the process of business, including supplier name, origin,the contract review form, contract text, method of settlement, transportation process, weight and inspection reports,warehousing time, etc.Each batch of outgoing silver bullion is assigned a unique number, and there is an outgoing account record, including the date, weight, quality,etc.

根據(jù)保留的所有記錄，可以完成從成品追溯到原料、從原料追溯到成品，并能追溯每個(gè)供應(yīng)商每批產(chǎn)品的采購合同，根據(jù)合同內(nèi)容可以追溯包括貴金屬類型、采購重量、分析報(bào)告以及相關(guān)盡職調(diào)查文件等信息。

Based on all saved records, it is able to trace from finished products to raw materials and from raw materials to finished products, and trace the procurement contracts about every batch of products of all suppliers. Furthermore, according to these contracts, it is able to trace a lot of information including types of precious metals, procurement weight, analysis reports and related due diligence documents, etc.

4、與供應(yīng)商約定

4、Engagement with silver supplying counterparties

合規(guī)陳述：

Presentation of compliance:

根據(jù)管理體系的要求，在對供應(yīng)商風(fēng)險(xiǎn)評估時(shí)，與供應(yīng)商簽訂合同前，公司業(yè)務(wù)人員依據(jù)公司的合規(guī)要求，與所有白銀供應(yīng)商簽署《LBMA合規(guī)承諾書》，以確保他們了解公司LBMA管理的要求和供應(yīng)鏈政策。在承諾書中，白銀供應(yīng)商應(yīng)以書面形式承諾并承認(rèn)，提供的所有原料應(yīng)符合 LBMA 白銀責(zé)任指南，避免沖突區(qū)域和高風(fēng)險(xiǎn)區(qū)域開采、處理進(jìn)出口金屬產(chǎn)品、濫用人權(quán)、融資非政府武裝實(shí)體、違法犯罪團(tuán)伙、賄賂、欺詐、洗錢等。公司支持實(shí)施采掘業(yè)透明度行動(dòng)計(jì)劃的倡議。2023年度簽約的所有供應(yīng)商均簽署了相關(guān)的承諾書。

According to the requirements of management systems, the Company’s business personnel should sign the Letter of Commitment for LBMA Compliance with all silver suppliers as required by the Company’s compliance requirements to ensure that they are aware of the Company’s commitment to LBMA management and the supply chain policies at the time of conducting risk evaluation on suppliers and before signing the contract with suppliers. Besides, in this letter of commitment, silver suppliers should commit to, and acknowledge in writing that all raw materials provided by the seller should conform to LBMA Silver Responsible Guidance to avoid mining and handling import and export of metal products in conflict areas and high-risk areas, abuse of human rights, financing of non-governmental armed entities, illegal and criminal gangs, bribery, fraud, money laundering, etc.. . The Company supports the implementation of the initiative of the excavation industry transparency action plan.All suppliers contracted in 2023 have signed the related letter of commitment.

5、交易付款和交易監(jiān)控

5、Transaction Payment & Monitoring

合規(guī)陳述：

Presentation of compliance:

公司所有業(yè)務(wù)均通過官方銀行渠道收款和付款，沒有任何現(xiàn)金交易，每筆貨款都經(jīng)過嚴(yán)格審批后支付。國外進(jìn)口精礦結(jié)算是通過信用證付款，國內(nèi)是通過銀行轉(zhuǎn)賬付款。

The receipt and payment of all business of the Company should be subject to the official bank channels, without any cash transaction，and each payment is made after strict approval. The settlement of concentrates imported from abroad is made through the letter of credit, and that of domestic concentrates is made through bank transfer.

根據(jù)管理體系要求，我們對每批白銀產(chǎn)品都進(jìn)行交易監(jiān)督，保留相關(guān)付款憑證。合規(guī)專員負(fù)責(zé)交易監(jiān)控工作，對不符或以任何形式疑似不符的交易背景進(jìn)行檢查，并書面確認(rèn)調(diào)查結(jié)果，報(bào)告給合規(guī)總監(jiān)。此外，我們與當(dāng)?shù)卣⒘朔聪村X合作關(guān)系，任何洗錢行為我們都會(huì)第一時(shí)間通知政府，并配合政府進(jìn)行洗錢調(diào)查。2023年度的交易全部采用銀行轉(zhuǎn)帳方式，未出現(xiàn)異?，F(xiàn)象。

The Company supervises the transaction of every batch of silver and keeps related payment vouchers in accordance with requirements of the management systems. Besides, the Compliance Officer is responsible for monitoring the transaction and checking the background of transactions that do not meet the requirements or are suspected to not meet the requirements in any form. The findings should be confirmed in writing and reported to the Compliance Director. In addition, the Company has established an anti-money laundering partnership with the local government. It will immediately notify the government of any money laundering and cooperate with the government in money laundering investigation. Moreover, all transactions in 2023 were subject to the bank transfer without any anomaly.

6、培訓(xùn)

6、Training

合規(guī)陳述：

Presentation of compliance:

公司每年采取多種方式對相關(guān)崗位以及合規(guī)小組成員宣講供應(yīng)鏈盡職調(diào)查管理、LBMA 負(fù)責(zé)任的白銀指南等知識，并定期組織所有關(guān)于白銀相關(guān)部門進(jìn)行培訓(xùn)，以確保公司相關(guān)崗位以及合規(guī)小組成員熟悉供應(yīng)鏈盡職調(diào)查管理和 LBMA 負(fù)責(zé)任的白銀指南，2023年度共計(jì)進(jìn)行了兩次集中培訓(xùn)，即關(guān)于供應(yīng)商盡職調(diào)查能力建設(shè)會(huì)議與關(guān)于盡職調(diào)查的合規(guī)會(huì)議。培訓(xùn)后進(jìn)行了效果評價(jià)，并且保留培訓(xùn)記錄。

The Company promotes supply chain due diligence management and LBMA responsible silver guidelines to relevant positions and compliance team members through various means every year,and regularly organizes the training for all departments related to the silver, to ensure that relevant company positions and compliance team members are familiar with supply chain due diligence management and the LBMA responsible silver guidance, a total of two training sessions were held in 2023，including conference to help suppliers to build due diligence capability and conferene on due diligence compliance. Effect evaluation was conducted after the training and training records were saved.

7、記錄保留

7、Records keeping

合規(guī)陳述：

Presentation of compliance:

根據(jù)公司<白銀供應(yīng)鏈盡職調(diào)查管理體系>要求，所有供應(yīng)商相關(guān)文檔，包括供應(yīng)商營業(yè)執(zhí)照、采礦證等資質(zhì)驗(yàn)證資料復(fù)印件、盡職調(diào)查文件、風(fēng)險(xiǎn)評估表、合規(guī)文件、合同文本、檢驗(yàn)記錄以及出入庫記錄等均至少保存五年。

According to the requirements of the Company’s Silver Supply Chains Due Diligence Management Systems, all documents related to suppliers shall be kept for at least five years, including photocopies of qualification verification data such as the Suppliers Business License and Mining License,due diligence documents, risk evaluation forms, compliance documents, contract text, inspection records, warehousing records, etc.

8、溝通和機(jī)密申訴機(jī)制

8、Communication & Confidential grievance mechanisms

合規(guī)陳述：

Presentation of compliance:

公司建立了申訴機(jī)制，并且申訴機(jī)制在含銀物料采購過程中均向供應(yīng)商進(jìn)行了必要的溝通，內(nèi)外部利益相關(guān)方可以匿名舉報(bào)有關(guān)白銀交易過程中的違規(guī)行為。工廠設(shè)立了意見箱，作為內(nèi)部員工的舉報(bào)途徑，并由相關(guān)人員定期開箱檢查匯總舉報(bào)內(nèi)容。公司盡職調(diào)查政策、電話、電子郵箱均在公司網(wǎng)站發(fā)布，所有員工及供應(yīng)商均可以通過網(wǎng)絡(luò)了解這些信息，凡對政策有疑問或者發(fā)現(xiàn)違規(guī)行為的可以通過電話、電子郵箱等方式進(jìn)行反饋。2023年度沒有舉報(bào)事件發(fā)生。

The Company has established a grievance mechanism, and necessary communication has been made with suppliers during the procurement of silver-bearing materials. Besides, the internal and external stakeholders can anonymously report violations during the silver transaction. As the report method for internal employees, the report box has been set by the factory and will be opened & checked regularly by the related personnel. The report contents will also be summarized regularly by the related personnel. The Company’s due diligence policy, telephone No. e-mail are all published on the websites of the Company, all employees and suppliers of the Company can access this information through the Internet.In case of any questions about the policy or occurrence of any violations, feedbacks can be conveyed via telephone, e-mail, etc.No report occurred in 2023.

第二步：識別和評估供應(yīng)鏈風(fēng)險(xiǎn)

Step 2: Identify and assess risks in the supply chain

合規(guī)聲明

Compliance Statement with Requirement:

我們完全遵循第二步：識別和評估供應(yīng)鏈風(fēng)險(xiǎn)

We have fully complied with Step 2: Identify and assess risks in the supply chain.

公司嚴(yán)格遵守 LBMA 白銀責(zé)任指南第二步“供應(yīng)鏈風(fēng)險(xiǎn)的識別與評估”的要求，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。2023年未發(fā)現(xiàn)髙風(fēng)險(xiǎn)供應(yīng)鏈。

The Company strictly adheres to the requirements of the second step of the LBMA Silver Responsibility Guidelines, "Identification and Evaluation of Supply Chain Risks," has developed criteria for determining high-risk supply chains, and has established procedures for handling identified risks, fully identifying and evaluating risks in the supply chain. No high-risk supply chain has been identified in 2023.

1、供應(yīng)鏈風(fēng)險(xiǎn)識別

1、Identify risks in the supply chain

合規(guī)陳述：

Presentation of compliance:

公司白銀全部來源于礦產(chǎn)白銀,根據(jù)經(jīng)合組織《受沖突影響和高風(fēng)險(xiǎn)地區(qū)礦產(chǎn)負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》附件 II，識別從產(chǎn)地到精煉廠的供應(yīng)鏈相關(guān)風(fēng)險(xiǎn)，公司在與供應(yīng)商簽合同之前為每個(gè)供應(yīng)商建立供應(yīng)商檔案，填寫 KYC 問卷，并對其進(jìn)行風(fēng)險(xiǎn)評級，密切關(guān)注來自侵犯人權(quán)、武裝沖突、非法開采等地區(qū)的白銀，以及用于賄賂、洗錢、恐怖主義融資等行為的白銀。 

All the company's silver comes from mineral sources, the Refiner shall identify relevant risks related to the supply chain from the origin to the refinery in accordance with Annex II in Guidelines for Due Diligence of Responsible Supply Chains for Minerals in Conflict-Affected and High-Risk Areas of Organization for Economic Co-operation and Development.The Company established a supplier file for each supplier for filling in a KYC questionnaire, completed the establishment of the supplier file before signing a contract with it, and performed a risk rating on it. The Company closely monitors silver originating inareas such as human rights violations, armed conflict, illegal mining, andfor use in bribery, money laundering, and terrorist financing.

管理體系中規(guī)定了供應(yīng)商風(fēng)險(xiǎn)識別方法，涵蓋了含銀物料從原產(chǎn)地到精煉廠的所有風(fēng)險(xiǎn)，通過《供應(yīng)商盡職調(diào)查表》進(jìn)行風(fēng)險(xiǎn)識別，識別方法包括，建立供應(yīng)鏈客戶檔案，包括：企業(yè)名稱、法定代表人、地址、聯(lián)系方式、營運(yùn)方式、生產(chǎn)方式、交易合同等；對既有供應(yīng)鏈客戶需定期進(jìn)行核查，如有新建或變更的客戶，需及時(shí)對其進(jìn)行檔案資料檢查，保持檔案資料庫處于最新狀態(tài)；識別每一客戶、企業(yè)和企業(yè)收益所有人，使用可靠的獨(dú)立來源文件、數(shù)據(jù)或者信息來驗(yàn)證其身份；確定供應(yīng)鏈中每一客戶、企業(yè)和企業(yè)收益所有人不在任何政府的洗錢、詐騙或恐怖主義通緝名單上；定期獲取供應(yīng)鏈客戶商業(yè)和財(cái)務(wù)方面的詳細(xì)情況、從事白銀交易目的及商業(yè)運(yùn)作情況。

The management system specifies the methods for supplier risk identification, covering all risks of silver-bearing materials from the origin to the refinery. Risk identification shall be carried out in accordance with the Due Diligence Questionnaire on Suppliers, and identification methods include establishing customer archives in the supply chain, covering: company name, legal representative, address, contact information, way of operation, way of production and trade contract; regularly checking the existing customers in the supply chain and inspecting archival data timely in case of new customers or changed customers to keep the archival database up-to-date; identifying each customer, enterprise and enterprise income owner, and verifying their identities through reliable independent-source documents, data or information; ensuring that all customers, enterprises and enterprise income owners in the supply chain are not in any wanted list of the government in connection with money laundering, defrauding or terrorism; regularly obtaining detailed information on business and finance of customers in the supply chain as well as their purposes of silver trading and business operations.

2、供應(yīng)鏈風(fēng)險(xiǎn)評估

2、 Risk assessment in the supply chain

合規(guī)陳述：

Presentation of compliance:

2.1、建立供應(yīng)商檔案

2.1、Establish supplier files

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，風(fēng)險(xiǎn)評判細(xì)則可參考中國政府認(rèn)可的國際制裁名單、多德－弗蘭克法案第 1502 條、歐盟 CAHRA 名單、海德堡晴雨表、脆弱國家指數(shù)或類似的指數(shù)、聯(lián)合國人權(quán)事務(wù)高級專員辦事處或同等機(jī)構(gòu)、金融行動(dòng)特別工作組（FATF）的報(bào)告、關(guān)于高風(fēng)險(xiǎn)黃金和白銀中心/轉(zhuǎn)運(yùn)中心和高洗錢風(fēng)險(xiǎn)國家/地區(qū)的可靠市場情報(bào)，填寫 KYC 問卷， 在進(jìn)行合作前要求合作方提供符合供應(yīng)鏈盡職調(diào)查管理制度要求的相關(guān)資質(zhì)證明文件，對供應(yīng)商基本情況、股東信息、提供原料類型及產(chǎn)地、貴金屬類型、結(jié)算方式等信息進(jìn)行調(diào)查，并盡可能地將供應(yīng)鏈調(diào)查向供應(yīng)商的上游延伸，對于涉及零容忍供應(yīng)鏈、高風(fēng)險(xiǎn)供應(yīng)鏈的供應(yīng)商拒絕合作。

The Company conducted due diligence investigations of all suppliers. The risk evaluation rules can be referred to the international sanctions list recognized by the Chinese government, Dude -Frank -Frank. Article 1502 of the bill, the European Union's CAHRA list, Heidelberg barometer, the fragile national index or similar index, the report of the UN High Commissioner's Office or the same institution, and the financial action group (FATF) . Regarding the reliable market intelligence of high -risk gold And silver centers/transshipment centers and countries/regions of high money laundering risks, fill in the KYC questionnaire, and request partners to provide partners with relevant qualification certification documents that meet the requirements of the supply chain investigation and management system. Basic situation, shareholders' information, providing raw materials and origin and origin, precious metal type, settlement method and other information, and extend the supply chain survey as much as possible to the upstream of the supplier. For the supply of zero tolerance supply chain, high -risk supply chain, Business refuses to cooperate.

2.2、高風(fēng)險(xiǎn)供應(yīng)鏈

2.2、High risk supply chain

以下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)小組成員應(yīng)立即準(zhǔn)備材料上報(bào)合規(guī)經(jīng)理，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)。

When any one of the below evaluation criteria exists objectively, the supply chain is judged as a high-risk supply chain. Members of the department compliance team shall immediately prepare materials and report them to the Compliance Manager, who shall report them to the Compliance Director approve to stop the transaction and eliminate risks.

(1) 原材料白銀來自、過境或運(yùn)輸，途經(jīng)沖突影響或侵犯人權(quán)風(fēng)險(xiǎn)較高的地區(qū)。

(1) The raw material silver comes from, transits or transports through areas with high risk of conflict impact or human rights violation.

(2) 原材料白銀來自一個(gè)已知儲量有限，資源有限或預(yù)期白銀產(chǎn)量有限的國家。

(2) The raw material silver is claimed to have come from a country with limited known reserves, limited resources or limited expected silver output.

(3) 原材料白銀來自已知具有沖突影響和侵犯人權(quán)行為的高風(fēng)險(xiǎn)地區(qū)，或者有理由懷疑它是通過該地區(qū)傳播的。

(3) The raw material silver comes from a known high-risk area with conflict impact and human rights violation, or has reason to suspect that it is transmitted through this area.

(4)白銀供應(yīng)鏈中的公司或其他已知的上游公司位于洗錢、犯罪和腐敗風(fēng)險(xiǎn)較高的國家。

(4) Companies in the silver supply chain or other known upstream companies are located in a country with high risk in money laundering, crime and corruption.

(5)白銀供應(yīng)鏈中公司或其他已知上游公司的實(shí)益擁有人是政治公眾人物。

(5) The beneficial owner of a company in the silver supply chain or other known upstream company is a politically exposed person.

(6)白銀供應(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)的商業(yè)活動(dòng)，如武器、賭博、賭博、古董和藝術(shù)品、鉆石、宗教和宗教領(lǐng)袖。

(6) Companies in the silver supply chain or other known upstream companies are actively involved in high-risk business activities such as weapons, gambling, gambling, antiques and artworks, diamonds, religion and religious leaders.

(7)中國政府確定的其他高風(fēng)險(xiǎn)情況，以及歐盟CAHRA名單，多德 - 弗蘭克法案和FATF名單等。

(7) Other high-risk circumstances identified by Chinese government and according to EU CAHRAs list, Dodd-Frank act and FATF list, etc.

2.3、風(fēng)險(xiǎn)評估結(jié)果分為兩種，高風(fēng)險(xiǎn)和非高風(fēng)險(xiǎn)。

2.3、 Risk assessment results fall into two classes: high-risk and non-high-risk.

在與供應(yīng)商業(yè)務(wù)關(guān)系建成之前，業(yè)務(wù)部門需要填寫《白銀供應(yīng)鏈盡職調(diào)查表》，依據(jù)管理體系要求針對所有含銀原料新客戶和老客戶進(jìn)行評估，公司全部含銀原料均為精礦：銀精礦供應(yīng)商需要提供營業(yè)執(zhí)照、承諾書、盡職調(diào)查表、運(yùn)輸方式以及受益人相關(guān)調(diào)查內(nèi)容。

Prior to the establishment of business relations with suppliers, the Business Department shall fill in the Due Diligence Questionnaire on Silver Supply Chain. All new and old customers of silver-bearing materials shall be evaluated in accordance with the requirements of the management system. The Company’s silver-bearing materials are all concentrates: For suppliers of silver concentrates, it is required to provide business license, letter of commitment, due diligence questionnaire, mode of transportation and beneficiary-related survey content.

對于高風(fēng)險(xiǎn)精礦供應(yīng)商，我們將暫停交易，封存該供應(yīng)商所有產(chǎn)品并立即進(jìn)行強(qiáng)化盡職調(diào)查，實(shí)地考察或參觀高風(fēng)險(xiǎn)供應(yīng)鏈，證實(shí)供應(yīng)鏈盡職調(diào)查結(jié)果的文件記錄是否真實(shí)，調(diào)查結(jié)束后出具現(xiàn)場審計(jì)報(bào)告。

For suppliers of high-risk concentrates, we will suspend trading and mothball all products from such suppliers while carrying out intensive due diligence and field investigation or visiting the high-risk supply chain promptly to verify whether the document records of due diligence results for the supply chain are authentic. An on-site audit report will be issued after investigation.

最后，根據(jù)搜集的信息和供應(yīng)鏈風(fēng)險(xiǎn)識別的結(jié)果，對每個(gè)供應(yīng)商進(jìn)行單獨(dú)的風(fēng)險(xiǎn)評估，填寫風(fēng)險(xiǎn)評估表，由負(fù)責(zé)評估的合規(guī)總監(jiān)簽字，并填寫最終評估日期。

Finally, risk assessment shall be carried out separately for each supplier as per the information gathered and the results of risk identification in the supply chain to fill in the form of risk assessment. This form shall be signed by the Compliance Director in charge of assessment with the final assessment data filled in.

2023財(cái)年我們共計(jì)完成了45家精礦供應(yīng)商的盡職調(diào)查；風(fēng)險(xiǎn)評估結(jié)果記錄在相應(yīng)的 LBMA 供應(yīng)鏈風(fēng)險(xiǎn)評估表中，包括評估標(biāo)準(zhǔn)、意見和理由，根據(jù)風(fēng)險(xiǎn)評估結(jié)果，所有供應(yīng)商均為非高風(fēng)險(xiǎn)供應(yīng)商。

In 2023 (fiscal year), we completed due diligence on 45 concentrate suppliers in total; The risk assessment results have been completely recorded in the corresponding LBMA Supply Chain Risk Assessment Form, including assessment criteria, opinions and reasons.All suppliers were non-high-risk as per the results of risk assessment.

3、交易監(jiān)測

3、Transaction monitoring

合規(guī)陳述：

Presentation of compliance:

精煉廠應(yīng)對在建立關(guān)系的過程中所作的交易開展適當(dāng)?shù)膶彶楹捅O(jiān)測，以確保交易與精煉商對供應(yīng)鏈和風(fēng)險(xiǎn)狀況的了解一致。交易監(jiān)測應(yīng)采用基于風(fēng)險(xiǎn)的方法進(jìn)行。

The refinery shall carry out appropriate review and monitoring for transactions conducted in the process of establishing relations to ensure that such transactions are consistent with the Refiner’s understanding of the supply chain and risk profile. Risk-based methods shall be adopted for 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。完成了來自國內(nèi)和國外的所有礦產(chǎn)銀供應(yīng)商的盡職調(diào)查，根據(jù)風(fēng)險(xiǎn)及強(qiáng)化盡職調(diào)查評估結(jié)果，供應(yīng)商均為非高風(fēng)險(xiǎn)供應(yīng)商。

The Company monitors all transactions to ensure that the transactions are consistent with the supply chain investigation.We have completed due diligence on all domestic and foreign silver suppliers, and according to the risk and enhanced due diligence assessments, all suppliers are non-high risk suppliers.

公司對供應(yīng)鏈盡職調(diào)查進(jìn)行檢查，每批原料編號唯一，對于所有的原料釆購入庫均保留完整的單據(jù)資料，對于入庫的含銀礦粉保存有過磅單、水份測定記錄、品位檢測報(bào)告、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，由營銷部、質(zhì)量計(jì)量部、檢化部、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。

The Company checks the due diligence of the supply chain, including unique number of each batch of raw materials, complete documents and data of all raw materials purchased and put into storage, and weighing lists,moisture measurement records, grade detection reports, final settlements and financial vouchers of the stored silver-containing concentrate. It is required to specify data needing to be collected and preserved by each department in its daily work and the Marketing Department, the Quality Measurement Department, the Inspection and Chemical Examination Department, the Finance Department shall keep relevant documents and send them to the archives room regularly for archival purposes.

4、風(fēng)險(xiǎn)評估結(jié)果的匯報(bào)

4、Report risk assessment to the designated manager

合規(guī)陳述：

Presentation of compliance:

合規(guī)經(jīng)理每年代表高級管理團(tuán)隊(duì)向合規(guī)總監(jiān)和最高管理層提供一份評論報(bào)告。高級管理層保留對白銀供應(yīng)鏈的最終控制權(quán)和責(zé)任。如果高風(fēng)險(xiǎn)供應(yīng)商，必須得到最高管理層的批準(zhǔn)，并立即停止合作。

The Compliance Manager shall submit a review report to the Compliance Director and the top management on behalf of the senior management team every year. The senior management shall reserve the ultimate control and liability of the silver supply chain. For high-risk suppliers, approval from the top management is required for ceasing cooperation promptly.

第三步：對已識別的風(fēng)險(xiǎn)實(shí)施管理策略

Step 3: Design and implement a management system to respond to identified risks

合規(guī)聲明：

Compliance Statement with Requirement:

我們完全符合第三步：設(shè)計(jì)和實(shí)施一項(xiàng)管理策略應(yīng)對已識別的風(fēng)險(xiǎn)

We have fully complied with Step 3: Design and implement a management system to respond to identified risks.

1、針對已識別的風(fēng)險(xiǎn)實(shí)施一項(xiàng)風(fēng)險(xiǎn)管理策略

1、A strategy for risk management of an identified risk

合規(guī)陳述：

Presentation of compliance:

公司建立了文件化的《風(fēng)險(xiǎn)緩解策略》，合規(guī)官負(fù)責(zé)緩解策略的落實(shí)工作，主要通過以下方式進(jìn)行風(fēng)險(xiǎn)管理：

The Company has established the documented Risk Mitigation Strategy. The Compliance Officer shall be responsible for implementation of the mitigation strategy, and risk management shall be carried out mainly in the following ways:

高風(fēng)險(xiǎn)供應(yīng)商：如果供應(yīng)鏈盡職調(diào)查結(jié)果得出的結(jié)論是，存在洗錢、恐怖主義融資、嚴(yán)重的侵犯人權(quán)、直接或間接支持非法的政府武裝組織或通過欺詐誤導(dǎo)礦產(chǎn)品的原產(chǎn)地，我們將立即停止與該供應(yīng)商交易，對已交易的貴金屬數(shù)量進(jìn)行核實(shí)并封存，并上報(bào)至最高管理層。如果供應(yīng)鏈盡職調(diào)查結(jié)果得出的結(jié)論是，可能存在洗錢、恐怖主義融資、嚴(yán)重的侵犯人權(quán)、直接或間接支持非法的政府武裝組織或通過欺詐誤導(dǎo)礦產(chǎn)品的原產(chǎn)地，我們將立即暫停與該供應(yīng)商交易，對已交易的貴金屬數(shù)量進(jìn)行核實(shí)并封存，對該供應(yīng)商進(jìn)行強(qiáng)化盡職調(diào)查，通過實(shí)地考察、委托有能力的第三方或有資質(zhì)的人員對該供應(yīng)商進(jìn)行現(xiàn)場審核，出具審核報(bào)告，若現(xiàn)場審核的結(jié)果為高風(fēng)險(xiǎn)供應(yīng)商，則停止交易并上報(bào)有關(guān)部門；若該供應(yīng)商無重大風(fēng)險(xiǎn)且愿意配合整改，則監(jiān)督該供應(yīng)商在六個(gè)月內(nèi)整改至滿足LBMA準(zhǔn)則的要求，可以繼續(xù)進(jìn)行交易。若在六個(gè)月內(nèi)無法整改至滿足要求，則停止交易。如果盡職調(diào)查的結(jié)果無法充分滿足要求，不能為風(fēng)險(xiǎn)評估提供有效的證據(jù)，缺少相關(guān)資質(zhì)證明，如營業(yè)執(zhí)照、采礦許可證、進(jìn)出口相關(guān)單據(jù)、貴金屬原產(chǎn)地、運(yùn)輸方式等，則暫停與該供應(yīng)商的交易，直至提供完整的資料并通過了風(fēng)險(xiǎn)評估。

High-risk suppliers: If it is concluded from the results of due diligence on the supply chain that there is money laundering, terrorist financing, serious violations of human rights, direct or indirect support for illegal governmental armed organizations, or fraudulent misrepresentation on the origin of minerals, we will promptly cease trading with such suppliers while checking the quantity of precious metals traded, mothballing and reporting them to the top management. If it is concluded from the results of due diligence on the supply chain that there may be money laundering, terrorist financing, serious violations of human rights, direct or indirect support for illegal governmental armed organizations, or fraudulent misrepresentation on the origin of minerals, we will promptly suspend trading with such suppliers while checking the quantity of precious metals traded and mothballing them, carrying out intensive due diligence on such suppliers, conducting on-site review on such suppliers through field investigation or by entrusting a competent third party or qualified personnel, and issuing a review report. If the results of on-site review show that it is a high-risk supplier, it is required to cease trading and report to the relevant departments;

非高風(fēng)險(xiǎn)供應(yīng)商：不存在洗錢、恐怖主義融資、嚴(yán)重的侵犯人權(quán)、直接或間接支持非法的政府武裝組織或通過欺詐誤導(dǎo)礦產(chǎn)品的原產(chǎn)地等零容忍問題，并且提供了所有的相關(guān)盡職調(diào)查的資料，通過風(fēng)險(xiǎn)評估，結(jié)論為非高風(fēng)險(xiǎn)供應(yīng)商，則繼續(xù)進(jìn)行交易，并定期對其進(jìn)行風(fēng)險(xiǎn)監(jiān)控。

Non-high-risk suppliers: If there are no zero-tolerance problems, such as money laundering, terrorist financing, serious violations of human rights, direct or indirect support for illegal governmental armed organizations, or fraudulent misrepresentation on the origin of minerals, and all materials related to due diligence are provided with the results of risk assessment showing that it is a non-high-risk supplier, it is required to continue trading and carry out risk monitoring on a regular basis.

2、量化措施，績效監(jiān)督，重新評估以及定期匯報(bào)

2、Measurable steps, monitoring of performance, periodic reassessment, regular reporting to designated senior management.

合規(guī)陳述：

Presentation of compliance:

量化手段和績效評估：根據(jù)《LBMA風(fēng)險(xiǎn)緩解策略》，如果盡職調(diào)查的結(jié)果處于低風(fēng)險(xiǎn)，但仍存在輕微不符合時(shí)，只要該公司在規(guī)定的時(shí)間范圍內(nèi)采取了明確績效目標(biāo)的改進(jìn)策略，我們將繼續(xù)從其處獲取白銀原材料。如果白銀供應(yīng)鏈盡職調(diào)查提交的資料不完善，或者不愿意配合的，這說明存在洗錢、恐怖主義融資、助長沖突、侵犯人權(quán)的行為可能性很高，我們將立即停止從其處獲取白銀原材料，直到其他信息或數(shù)據(jù)能證實(shí)其低風(fēng)險(xiǎn)。

Measurable steps and performance evaluation: In accordance with the LBMA Risk Mitigation Strategy, if the results of due diligence show that it is at low risk but there are still minor non-conforming items, we will continue to refine silver materials coming from this source provided that it adopts an improvement strategy stating clear performance objectives within the specified time. In case of incomplete information provided for the due diligence on silver supply chain or suppliers unwilling to cooperate with due diligence, which indicates that there is a high possibility of money laundering, terrorist financing, furtherance of conflicts or violations of human rights, we will stop immediately to refine silver materials from this source, until there is additional information or data available for confirming that it is at low risk.

根據(jù)2023年的盡職調(diào)查結(jié)果，所有供應(yīng)商均為低風(fēng)險(xiǎn)，無供應(yīng)商需要進(jìn)行風(fēng)險(xiǎn)緩解的管理策略。

As per the results of due diligence in 2023, all suppliers were low-risk, and no suppliers were required to adopt a management strategy for risk mitigation.

定期重新評估與持續(xù)監(jiān)控：1、每年，原料采購部門的合規(guī)專員組織人員收集供應(yīng)商信息的所有變更情況，持續(xù)監(jiān)控交易結(jié)果并進(jìn)行年度供應(yīng)鏈盡職調(diào)查重新評估，以決定是否繼續(xù)合作。2、采購的每一批次的白銀原料在運(yùn)輸、出入庫、生產(chǎn)、付款過程都有合規(guī)專員的監(jiān)控，其中出入庫必須有押運(yùn)LBMA合規(guī)專員的簽字，付款必須有財(cái)務(wù)的LBMA合規(guī)專員的批準(zhǔn)。

Periodic reassessment and continuous monitoring: 1. The Compliance Officer in the Raw Material Purchase Department shall organize personnel to collect all changes to suppliers’ information, continuously monitor the results of transactions, and conduct the reassessment of annual due diligence on the supply chain to decide whether to continue cooperation every year. 2. Each batch of silver materials purchased shall be monitored by the Compliance Officer in the process of transportation, warehousing, production and payment. The warehousing must be signed by the LBMA Escort Compliance Officer, and the payment must be approved by the LBMA Financial Compliance Officer.

定期報(bào)告：每季度合規(guī)專員根據(jù)LBMA管理的實(shí)際情況，向合規(guī)總監(jiān)和最高管理層提交匯報(bào)。報(bào)告本季度LBMA管理體系運(yùn)行情況進(jìn)行總結(jié)，提出不足及改進(jìn)措施。

Regular reporting: The Compliance Officer shall quarterly submit reports to the Compliance Director and the top management in accordance with the actual situation of LBMA management. The operation of LBMA management system in this quarter shall be reported for summarization. Moreover, deficiencies and improvement measures shall be brought forward.

2023年，公司采取了量化的手段對供應(yīng)商進(jìn)行評分管理，對除新供應(yīng)商外的所有供應(yīng)商進(jìn)行年度補(bǔ)充風(fēng)險(xiǎn)評估。合規(guī)總監(jiān)已對評估結(jié)果進(jìn)行審核。并且每季度向最高管理層提交了報(bào)告。

In 2023, the Company took measureable steps to score and manage suppliers, and carried out annual supplementary risk assessment for all suppliers other than new ones. The Compliance Director reviewed the results of assessment. Moreover, reports were submitted quarterly to the top management.

第四步：安排獨(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：

Compliance Statement with Requirement:

我們完全符合第四步：安排獨(dú)立的第三方審計(jì)

We have fully complied with Step 4: Arrange for an independent third-party audit of the supply chain due diligence.

合規(guī)陳述：

Presentation of compliance:

公司嚴(yán)格遵守 LBMA 白銀責(zé)任指南第四步“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)”的要求，委托必維認(rèn)證（北京）有限公司進(jìn)行合理鑒證，審計(jì)報(bào)告將在年度審計(jì)完成后在公司官網(wǎng)（http://watih.cn/）進(jìn)行公布。

The Company strictly abided by the requirements of“ arrange for an independent third-party audit of the

refiner due diligence” in Step 4 of LBMA Responsible and Silver Guidance. Bureau Veritas Certification (Beijing) Co., Ltd. is responsible for reasonable authentication，the audit report will be posted on the official website of the Company after the annual audit was completed（http://watih.cn/）.

第五步：供應(yīng)鏈盡職調(diào)查報(bào)告

Step 5: Report on supply chain due diligence

合規(guī)聲明：

Compliance Statement with Requirement:

我們完全符合第五步：供應(yīng)鏈盡職調(diào)查報(bào)告

We have fully complied with Step 5: Report on supply chain due diligence

合規(guī)陳述：

Presentation of compliance:

公司根據(jù) LBMA 負(fù)責(zé)任的白銀指南制定了《江西銅業(yè)鉛鋅金屬有限公司白銀盡職調(diào)查合規(guī)報(bào)告（2023 年）》，并在公司網(wǎng)站（http://watih.cn/）予以公示。

The Company has prepared the "Jiangxi Copper Lead & Zinc Metal Co., Ltd Due Diligence Management Compliance Report of Silver Supply Chain in 2023" in accordance with LBMA Responsible Silver Guidance and has made it public on the Company's website（http://watih.cn/）.

三、結(jié)論

III.Conclusion

公司在截至2023年12月31日的報(bào)告年度報(bào)告中，通過供應(yīng)鏈盡職管理體系，實(shí)施了盡職調(diào)查管理政策，識別和評估了供應(yīng)鏈相關(guān)風(fēng)險(xiǎn)，實(shí)施風(fēng)險(xiǎn)管理策略，對供應(yīng)鏈盡職調(diào)查工作進(jìn)行了獨(dú)立的第三方審計(jì)，及時(shí)編制了供應(yīng)鏈盡職調(diào)查報(bào)告，因此，公司完全遵守了LBMA 負(fù)責(zé)任的白銀指南。

The Company established and improved a supply chain due diligence management system, identified and evaluated supply chain related risks, designed and implemented risk management strategies, and conducted independent third-party audits of supply chain due diligence work in the annual report submitted as of December 31, 2023，and prepared a supply chain due diligence report. Therefore, the Company has fully complied with the LBMA Responsible Silver Guidance.

在未來的工作中，公司致力于在現(xiàn)有白銀供應(yīng)鏈盡職調(diào)查制度的基礎(chǔ)上持續(xù)改進(jìn)，并將負(fù)責(zé)任的白銀供應(yīng)鏈流程與公司相應(yīng)制度更有效地結(jié)合起來，并且將定期對內(nèi)部發(fā)現(xiàn)的所有糾正措施進(jìn)行監(jiān)控。

In future work, the Company will be committed to continuous improvement on the basis of the existing due diligence system for the silver supply chain, and will more effectively integrate responsible silver supply chain processes with the Company's corresponding systems. Any identified corrective actions will be monitored internally on a regular basis.

四、其他

IV. Others

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