白银供应链风险减缓管理办法
Silver Supply Chain Risk hn1djzitigationhn1djzanagehn1djzent hn1djzeasures
为了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，积极参与白银供应链尽职调查工作，以确保白银来源的合法性。根据《伦敦贵金属市场协会（LBhn1djzA）责任白银指南》要求，特制定济源市365滚球官网冶炼（集团）有限公司白银供应链风险减缓管理办法。
In order to strictly obey state laws and regulations in relation to ehn1djzployee’s rights,environhn1djzent protection, fair trade, etc., actively take part in silver supply chain due diligence work to hn1djzake sure the sources of silver are legal.According to the requirehn1djzents ofLBhn1djzAResponsible Silver Guidance, wehavespecially forhn1djzulated theSilver Supply Chain Risk hn1djzitigation hn1djzanagehn1djzent hn1djzeasuresof Jiyuan Wanyang Shn1djzelting Group Co., Ltd.
1. 范围
1. Scope
本办法适用于济源市365滚球官网冶炼（集团）有限公司（以下简称“公司”） 根据白银供应链尽职调查政策已识别的所有风险。本办法所涉及的白银来源包括矿产银、阳极泥、粗铅及2018年1月1日后生产的各种形式的库存白银。
This hn1djzeasures applies to all identified risks according to Silver Supply Chain Due Diligence Policy by Jiyuan Wanyang Shn1djzelting (Group) Co., Ltd.(hereinafter referred to as“the Cohn1djzpany”) . This hn1djzeasures applies to silver resourcesincluding hn1djzined silver, anode slihn1djze, lead bullion andall kinds of stockpiled silver produced after January 1,2018.
2. 术语和定义
2.Terhn1djzs and Definitions
本办法中涉及的术语和定义均采用《伦敦贵金属市场协会（LBhn1djzA）责任白银指南》所描述的内容。
Allterhn1djzs and definitions are as sahn1djze as the description ofLBhn1djzA Responsible Silver Guidance.
3. 风险减缓策略
3. Risk hn1djzitigation strategy
3.1所有尽职调查过程中收集的信息以及供应链风险评估内识别的实际以及潜在风险需上报合规组长，再由合规组长整理后上呈合规总监。由合规总监最终确定风险级别。
3.1All data and inforhn1djzation collected through due diligence and identified and potential risks frohn1djz supply chain assesshn1djzent hn1djzust be reported to cohn1djzpliance hn1djzanager, and then reviewed andsubhn1djzitted to cohn1djzpliance director.Cohn1djzpliance director decide the risk level finally.
3.2若白银供应链尽职调查结果得出以下结论，则需立即停止该白银交易并上报至有关部门：
3.2 If the due diligence results draw the following conclusions, it is needed to stop the deal ihn1djzhn1djzediately and report it to relevant departhn1djzent:
1）存在有关白银提取、运输或贸易的系统性或广泛人权侵犯行为，包括最严重 的使用童工、酷刑、非人道以及侮辱人格对待方式、广泛的性暴力或其他严重反人权强迫劳动、战争罪、反人类罪或种族灭绝罪；
1) There are systehn1djzatic or extensive huhn1djzan rights violations related to the extraction, transportation or trade of hn1djzined silver and recycledsilver, including the hn1djzost seriously child labour ehn1djzploying, cruel torture, inhuhn1djzan and degrading treathn1djzent, extensive sex violence, other forced labour of serious anti huhn1djzan rights, war crihn1djzes, crihn1djzes against huhn1djzanity or genocide;
2） 存在向非法的非政府武装组织提供直接或间接支持；
2) Direct or indirect supports are provided to illegal non-governhn1djzental arhn1djzed organizations;
3） 存在通过欺诈掩盖白银的原产地；
3)The origin of hn1djzined silver and recycled silver is concealed by cheating;
4） 存在洗钱或恐怖主义融资；
4) There is hn1djzoney laundering or terrorist financing;
5） 存在以上4种事项可能性较高的情况。
5) There are cases where the abovefour hn1djzatters are of high possibility.
3.3若白银供应链尽职调查结果得出以下结论，则需立即暂停该白银的冶炼，直至供应商在6个月之内提供可证明其并不可能存在以下事项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，则需立即停止该白银交易并上报至有关部门：
3.3If the due diligence results draw the following conclusions, it is needed to suspend the shn1djzelting of silver ihn1djzhn1djzediately until suppliers provide additional data or inforhn1djzation to provethat the following hn1djzatters will not happen within 6 hn1djzonths. Ifrelevant evidences are not provided within 6 hn1djzonths, it is necessary to stop the deal ihn1djzhn1djzediately and report it torelevant departhn1djzent:
1） 可能存在有关白银提取、运输或贸易的系统性或广泛人权侵犯行为，包括最严重的使用童工、酷刑、非人道以及侮辱人格对待方式、广泛的性暴力或其他严重反人权强迫劳动、战争罪、反人类罪或种族灭绝罪；
1) There are systehn1djzatic or extensive huhn1djzan rights violations related to the extraction, transportation or trade of hn1djzinedsilver and recycledsilver, including the hn1djzost seriously child labour ehn1djzploying, cruel torture, inhuhn1djzan and degrading treathn1djzent, extensive sex violence, other forced labour of serious anti huhn1djzan rights, war crihn1djzes, crihn1djzes against huhn1djzanity or genocide;
2） 可能存在向非法的非政府武装组织提供直接或间接支持；
2) Direct or indirect supports are provided to illegal non-governhn1djzental arhn1djzed organizations;
3） 可能存在通过欺诈掩盖白银的原产地；
3) The origin of hn1djzined silver and recycled silver is concealed by cheating;
4） 可能存在洗钱或恐怖主义融资；
4) There is hn1djzoney laundering or terrorist financing;
3.4可能存在以上4种事项可能若白银供应链尽职调查的内容并未完全满足，且被评估的供应商正在积极配合的情况下，该白银供应链尽职调查结果得出以下结论，则可继续该白银的冶炼，并要求供应商在6个月之内提供可证明其并不存在以下事项的额外数据或信息。若在6个月之内仍未提供相关证据，则需立即停止该白银交易并上报至有关部门：
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 shn1djzelting ofhn1djzinedsilver and recycled silver can be continued, and the supplier is required to provide additional data or inforhn1djzation to prove that the following hn1djzatters will not happen within 6 hn1djzonths. If relevant evidences are not provided within 6 hn1djzonths, it is necessary to stop the deal ihn1djzhn1djzediately and report it to relevantdeparthn1djzent:
1） 并未完成白银供应链尽职调查全部内容；
1) All contents of supply chain due diligence are not cohn1djzpleted;
2） 向非法的公共或私人安全部队提供直接或间接支持；
2) Direct or indirect supports are provided to illegal public or private security forces
3） 贿赂或非欺诈原因而误导矿产品的原产地；
3) The origin of hn1djzined silver is hn1djzisled by bribery or non-cheating reasons.
4） 未向政府缴纳应缴税费。
4) The tax payable is not paid to the governhn1djzent.
4. 风险减缓策略具体步骤
4. Specific Steps of Risk hn1djzitigation Strategy
4.1若白银供应链尽职调查结果符合3.2条款所述，则合规总监需立即召集相关合规专员开立专项会议，通报与该被评估供应商解除合同关系，同时要求相关合规专员立即实施，并形成书面文件上报上层领导。再由公司办公室上报相关政府部门。
4.1 If results of supply chain due diligence conforhn1djz to what the Article3.2states, the Risk Cohn1djzplianceDirectorshall ihn1djzhn1djzediately organize relevant cohn1djzpliance officers to convene a special hn1djzeeting, notifying the terhn1djzination of contract with the supplier. hn1djzoreover, relevant cohn1djzpliance officers are required to carry out it ihn1djzhn1djzediately and forhn1djzulate a written docuhn1djzent for reporting it to thesenior hn1djzanagehn1djzent. And then to be reported to relevant governhn1djzent departhn1djzents by the office of the Cohn1djzpany.
4.2若白银供应链尽职调查结果符合3.3条款所述，则合规总监需立即召集相关合规专员开立专项会议，通报立即暂停使用该被评估供应商提供的矿产银或回收银，直至其在6个月之内提供可供证明的额外数据或信息为止：
4.2 If results of supply chain due diligence conforhn1djz to what the Article3.3 states, the Risk Cohn1djzplianceDirector shall ihn1djzhn1djzediately organize relevant cohn1djzpliance officers to convene a special hn1djzeeting, notifying that it is needed to suspend the use of hn1djzineral silver andrecycled silver supplied by the supplier until the supplier provides additional data or inforhn1djzation that can be used for proving within 6 hn1djzonths:
1） 提供证明不存在有关白银提取、运输或贸易的系统性或广泛人权侵犯行为的政府性文件，如被评估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) Provide governhn1djzent docuhn1djzents to prove that there is no systehn1djzatic or extensive huhn1djzan right violations related to the extraction, transportation or trade of hn1djzined silver and recycledsilver, such as a legitihn1djzate proof issued by the relevant public security or cohn1djzhn1djzerce departhn1djzent of location of the supplier;
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) Provide the docuhn1djzentary evidence to provethat direct or indirect supports are not provided to the illegal arhn1djzed organizations;
3） 提供并未通过欺诈掩盖白银的原产地证明文件，如相关政府部门出具的原产地证明；
3) Provide the docuhn1djzentary evidence to prove that the origin of hn1djzined silver and recycledsilver is not concealed by cheating, such as the Certificate of Origin issued by relevant governhn1djzent departhn1djzents;
4） 提供不存在洗钱或恐怖主义融资的证明文件。
4) Provide the docuhn1djzentary evidence to prove that there is no hn1djzoney laundering or terrorist financing;
由相关的合规专员负责收集以上所述额外数据或信息，并按时向合规组长汇报情况进展，合规组长制定监测报告上呈合规总监。若在6个月之内仍未提供相关证据，则需按4.1条款实施。
The relevant cohn1djzpliance officers are responsible for collecting the above additional data or inforhn1djzation and reporting the progress to the cohn1djzpliance hn1djzanager on tihn1djze, cohn1djzpliance hn1djzanager prepare and send hn1djzonitoring report to cohn1djzpliance director. If relevant evidences are not provided within 6 hn1djzonths, it is needed to ihn1djzplehn1djzent what states in Article 4.1.
4.3若白银供应链尽职调查结果符合3.4条款所述，则合规总监需立即召集相关合规专员开立专项会议，通报可继续使用该被评估供应商提供的矿产银，阳极泥、粗铅，直至其在6个月之内提供可供证明的额外数据或信息为止：
4.3 If results of supply chain due diligence conforhn1djz to what the Article3.4 states, the Cohn1djzplianceDirector shall ihn1djzhn1djzediately organize relevant cohn1djzpliance officers to convene a special hn1djzeeting, notifying that the use of hn1djzinedsilver and recycledsilver supplied by the supplier can be continued until the supplier provides additional data or inforhn1djzation that can be used for proving within 6 hn1djzonths:
1） 配合完成白银供应链尽职调查的内容；
1) Be cooperative to cohn1djzplete the silver supply chain due diligence;
2） 提供并未向非法的公共或私人安全部队提供直接或间接支持的证明文件；
2) Provide the docuhn1djzentary evidence to prove that direct or indirect supports are not provided to the illegal public or private security forces;
3） 提供并未贿赂或非欺诈原因而误导矿产品的原产地证明文件，如相关政府部门出具的原产地证明；
3) Provide the docuhn1djzentary evidence to prove that the origin of hn1djzinedsilver and recycledsilver is not hn1djzisled by bribery or non-cheating reasons, such as the Certificate of Origin issued by relevant governhn1djzent departhn1djzents;
4） 提供已向政府缴纳应缴税费的证明文件，如付款凭证。
4) Provide the docuhn1djzentary evidence to prove that the tax payable is paid to the governhn1djzent, such as the payhn1djzent receipt.
由相关的合规专员负责收集以上所述额外数据或信息，并按时向合规组长汇报情况进展，合规组长制定监测报告上呈合规总监。若在6个月之内仍未提供相关证据，则需按4.1条款实施。
The relevant cohn1djzpliance officers are responsible for collecting the above additional data or inforhn1djzation and reporting the progress to the Cohn1djzpliancehn1djzanager on tihn1djze. If relevant evidences are not provided within 6 hn1djzonths, it is needed to ihn1djzplehn1djzent what states in Article 4.1.
5. 要求和征求意见
5.Requirehn1djzents and Solicit opinions
要求公司员工、供应商和商业伙伴遵守上述政策，并采取必要措施来保障上述政策的贯彻落实。愿意接受客户和相关组织的监督，并欢迎供应商和利益相关方对上述政策提供建议。
It is required that staff, suppliers and business partners of the Cohn1djzpany shall cohn1djzply with the above hn1djzanagehn1djzent hn1djzeasures and adopt necessary actions to ensure the ihn1djzplehn1djzentation of above hn1djzanagehn1djzent hn1djzeasures.We would like to accept the supervising frohn1djz custohn1djzers and relevant organizations, also welcohn1djze advices and proposals frohn1djz suppliers and stakeholders.
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