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萬洋集團白銀供應鏈風險減緩管理辦法
日期:2022-3-31 9:33:16  作者:趙海霞  來源:

白銀供應鏈風險減緩管理辦法
Silver Supply Chain Risk MitigationManagement Measures


為了嚴格遵守國家關于職工權利、環境保護、公平交易等各項法律法規,積極參與白銀供應鏈盡職調查工作,以確保白銀來源的合法性。根據《倫敦貴金屬市場協會(LBMA)責任白銀指南》要求,特制定濟源市萬洋冶煉(集團)有限公司白銀供應鏈風險減緩管理辦法。

In order to strictly obey state laws and regulations in relation to employee’s rights,environment protection, fair trade, etc., actively take part in silver supply chain due diligence work to make sure the sources of silver are legal.According to the requirements ofLBMAResponsible Silver Guidance, wehavespecially formulated theSilver Supply Chain Risk Mitigation Management Measuresof Jiyuan Wanyang Smelting Group Co., Ltd.


1. 范圍

1. Scope

本辦法適用于濟源市萬洋冶煉(集團)有限公司(以下簡稱“公司”) 根據白銀供應鏈盡職調查政策已識別的所有風險。本辦法所涉及的白銀來源包括礦產銀、陽極泥、粗鉛及2018年1月1日后生產的各種形式的庫存白銀。

This measures applies to all identified risks according to Silver Supply Chain Due Diligence Policy by Jiyuan Wanyang Smelting (Group) Co., Ltd.(hereinafter referred to as“the Company”) . This measures applies to silver resourcesincluding mined silver, anode slime, lead bullion andall kinds of stockpiled silver produced after January 1,2018.

2. 術語和定義

2.Terms and Definitions

本辦法中涉及的術語和定義均采用《倫敦貴金屬市場協會(LBMA)責任白銀指南》所描述的內容。

Allterms and definitions are as same as the description ofLBMA Responsible Silver Guidance.

3. 風險減緩策略

3. Risk mitigation strategy

3.1所有盡職調查過程中收集的信息以及供應鏈風險評估內識別的實際以及潛在風險需上報合規組長,再由合規組長整理后上呈合規總監。由合規總監最終確定風險級別。

3.1All data and information collected through due diligence and identified and potential risks from supply chain assessment must be reported to compliance manager, and then reviewed andsubmitted to compliance director.Compliance director decide the risk level finally.

3.2若白銀供應鏈盡職調查結果得出以下結論,則需立即停止該白銀交易并上報至有關部門:

3.2 If the due diligence results draw the following conclusions, it is needed to stop the deal immediately and report it to relevant department:

1)存在有關白銀提取、運輸或貿易的系統性或廣泛人權侵犯行為,包括最嚴重 的使用童工、酷刑、非人道以及侮辱人格對待方式、廣泛的性暴力或其他嚴重反人權強迫勞動、戰爭罪、反人類罪或種族滅絕罪;

1) There are systematic or extensive human rights violations related to the extraction, transportation or trade of mined silver and recycledsilver, including the most seriously child labour employing, cruel torture, inhuman and degrading treatment, extensive sex violence, other forced labour  of serious anti human rights, war crimes, crimes against humanity or genocide;

2) 存在向非法的非政府武裝組織提供直接或間接支持;

2) Direct or indirect supports are provided to illegal non-governmental armed organizations;

3) 存在通過欺詐掩蓋白銀的原產地;

3)The origin of mined silver and recycled silver is concealed by cheating;

4) 存在洗錢或恐怖主義融資;

4) There is money laundering or terrorist financing;

5) 存在以上4種事項可能性較高的情況。

5) There are cases where the abovefour matters are of high possibility.

3.3若白銀供應鏈盡職調查結果得出以下結論,則需立即暫停該白銀的冶煉,直至供應商在6個月之內提供可證明其并不可能存在以下事項的額外數據或信息為 止。若在6個月之內仍未提供相關證據,則需立即停止該白銀交易并上報至有關部門:

3.3If the due diligence results draw the following conclusions, it is needed to suspend the smelting of silver immediately until suppliers provide additional data or information to provethat the following matters will not happen within 6 months. Ifrelevant evidences are not provided within 6 months, it is necessary to stop the deal immediately and report it torelevant department:

1) 可能存在有關白銀提取、運輸或貿易的系統性或廣泛人權侵犯行為,包括最嚴重的使用童工、酷刑、非人道以及侮辱人格對待方式、廣泛的性暴力或其他嚴重反人權強迫勞動、戰爭罪、反人類罪或種族滅絕罪;

1) There are systematic or extensive human rights violations related to the extraction, transportation or trade of minedsilver and recycledsilver, including the most seriously child labour employing, cruel torture, inhuman and degrading treatment, extensive sex violence, other forced labour of serious anti human rights, war crimes, crimes against humanity or genocide;

2) 可能存在向非法的非政府武裝組織提供直接或間接支持;

2) Direct or indirect supports are provided to illegal non-governmental armed organizations;

3) 可能存在通過欺詐掩蓋白銀的原產地;

3) The origin of mined silver and recycled silver is concealed by cheating;

4) 可能存在洗錢或恐怖主義融資;

4) There is money laundering or terrorist financing;

3.4可能存在以上4種事項可能若白銀供應鏈盡職調查的內容并未完全滿足,且被評估的供應商正在積極配合的情況下,該白銀供應鏈盡職調查結果得出以下結論,則可繼續該白銀的冶煉,并要求供應商在6個月之內提供可證明其并不存在以下事項的額外數據或信息。若在6個月之內仍未提供相關證據,則需立即停止該白銀交易并上報至有關部門:

3.4 If the content of supply chain due diligence is not fully satisfied and the evaluated supplier actively cooperates, with the supply chain due diligence results reaching the following conclusions, the smelting ofminedsilver and recycled silver can be continued, and the supplier is required to provide additional data or information to prove that the following matters will not happen within 6 months. If relevant evidences are not provided within 6 months, it is necessary to stop the deal immediately and report it to relevantdepartment:

1) 并未完成白銀供應鏈盡職調查全部內容;

1) All contents of supply chain due diligence are not completed;

2) 向非法的公共或私人安全部隊提供直接或間接支持;

2) Direct or indirect supports are provided to illegal public or private security forces

3) 賄賂或非欺詐原因而誤導礦產品的原產地;

3) The origin of mined silver is misled by bribery or non-cheating reasons.

4) 未向政府繳納應繳稅費。

4) The tax payable is not paid to the government.

4. 風險減緩策略具體步驟

4. Specific Steps of Risk Mitigation Strategy

4.1若白銀供應鏈盡職調查結果符合3.2條款所述,則合規總監需立即召集相關合規專員開立專項會議,通報與該被評估供應商解除合同關系,同時要求相關合規專員立即實施,并形成書面文件上報上層領導。再由公司辦公室上報相關政府部門。

4.1 If results of supply chain due diligence conform to what the Article3.2states, the Risk ComplianceDirectorshall immediately organize relevant compliance officers to convene a special meeting, notifying the termination of contract with the supplier. Moreover, relevant compliance officers are required to carry out it immediately and formulate a written document for reporting it to thesenior management. And then to be reported to relevant government departments by the office of the Company.

4.2若白銀供應鏈盡職調查結果符合3.3條款所述,則合規總監需立即召集相關合規專員開立專項會議,通報立即暫停使用該被評估供應商提供的礦產銀或回收銀,直至其在6個月之內提供可供證明的額外數據或信息為止:

4.2 If results of supply chain due diligence conform to what the Article3.3 states, the Risk ComplianceDirector shall immediately organize relevant compliance officers to convene a special meeting, notifying that it is needed to suspend the use of mineral silver andrecycled silver supplied by the supplier until the supplier provides additional data or information that can be used for proving within 6 months:

1) 提供證明不存在有關白銀提取、運輸或貿易的系統性或廣泛人權侵犯行為的政府性文件,如被評估供應商所在地相關公安或商務部門出具的合法性證明等;

1) Provide government documents to prove that there is no systematic or extensive human right violations related to the extraction, transportation or trade of mined silver and recycledsilver, such as a legitimate proof issued by the relevant public security or commerce department of location of the supplier;

2) 提供并未向非法武裝組織提供直接或間接支持的證明文件;

2)  Provide the documentary evidence to provethat direct or indirect supports are not provided to the illegal armed organizations;

3) 提供并未通過欺詐掩蓋白銀的原產地證明文件,如相關政府部門出具的原產地證明;

3) Provide the documentary evidence to prove that the origin of mined silver and recycledsilver is not concealed by cheating, such as the Certificate of Origin issued by relevant government departments;

4) 提供不存在洗錢或恐怖主義融資的證明文件。

4) Provide the documentary evidence to prove that there is no money laundering or terrorist financing;

由相關的合規專員負責收集以上所述額外數據或信息,并按時向合規組長匯報情況進展,合規組長制定監測報告上呈合規總監。若在6個月之內仍未提供相關證據,則需按4.1條款實施。

The relevant compliance officers are responsible for collecting the above additional data or information and reporting the progress to the compliance manager on time, compliance manager prepare and send monitoring report to compliance director. If relevant evidences are not provided within 6 months, it is needed to implement what states in Article 4.1.

4.3若白銀供應鏈盡職調查結果符合3.4條款所述,則合規總監需立即召集相關合規專員開立專項會議,通報可繼續使用該被評估供應商提供的礦產銀,陽極泥、粗鉛,直至其在6個月之內提供可供證明的額外數據或信息為止:

4.3 If results of supply chain due diligence conform to what the Article3.4 states, the ComplianceDirector shall immediately organize relevant compliance officers to convene a special meeting, notifying that the use of minedsilver and recycledsilver supplied by the supplier can be continued until the supplier provides additional data or information that can be used for proving within 6 months:

1) 配合完成白銀供應鏈盡職調查的內容;

1) Be cooperative to complete the silver supply chain due diligence;

2) 提供并未向非法的公共或私人安全部隊提供直接或間接支持的證明文件;

2) Provide the documentary evidence to prove that direct or indirect supports are not provided to the illegal public or private security forces;

3) 提供并未賄賂或非欺詐原因而誤導礦產品的原產地證明文件,如相關政府部門出具的原產地證明;

3) Provide the documentary evidence to prove that the origin of minedsilver and recycledsilver is not misled by bribery or non-cheating reasons, such as the Certificate of Origin issued by relevant government departments;

4) 提供已向政府繳納應繳稅費的證明文件,如付款憑證。

4) Provide the documentary evidence to prove that the tax payable is paid to the government, such as the payment receipt.

由相關的合規專員負責收集以上所述額外數據或信息,并按時向合規組長匯報情況進展,合規組長制定監測報告上呈合規總監。若在6個月之內仍未提供相關證據,則需按4.1條款實施。

The relevant compliance officers are responsible for collecting the above additional data or information and reporting the progress to the ComplianceManager on time. If relevant evidences are not provided within 6 months, it is needed to implement what states in Article 4.1.


5. 要求和征求意見

5.Requirements and Solicit opinions

要求公司員工、供應商和商業伙伴遵守上述政策,并采取必要措施來保障上述政策的貫徹落實。愿意接受客戶和相關組織的監督,并歡迎供應商和利益相關方對上述政策提供建議。

It is required that staff, suppliers and business partners of the Company shall comply with the above management measures and adopt necessary actions to ensure the implementation of above management measures.We would like to accept the supervising from customers and relevant organizations, also welcome advices and proposals from suppliers and stakeholders.

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