此報告是內蒙古乾坤金銀精煉股份有限公司按照ISAE3000業(yè)務(wù)要求，對精煉廠(chǎng)2022年1月1日至2022年12月31日內黃金（白銀）供應鏈盡職調查情況進(jìn)行的匯總。2021年內蒙古乾坤金銀精煉股份有限公司完成遷址進(jìn)行生產(chǎn)。此次審核為完成遷址后的第一次完整年度審核。本年度按照《倫敦金銀市場(chǎng)協(xié)會(huì )（LBMA）可靠黃金（白銀）指導原則》要求，內蒙古乾坤公司作為L(cháng)BMA良好交割精煉企業(yè)，在遵守經(jīng)合組織盡職調查、多德-弗蘭克華爾街改革和消費者保護法案等相關(guān)法案要求內，建立并完善運行管理體系多年，建立系統完善的供應鏈盡職調查體系，在控制打擊系統的侵犯人權行為，避免引發(fā)及助長(cháng)沖突，遵守反洗錢(qián)標準要求，并打擊恐怖主義的融資、可持續發(fā)展、等行為方面，完全符合LBMA的基本要求。
This report is a summary of the due diligence of the gold (silver) supply chain of the refinery from January 1, 2022 to December 31, 2022 by Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. in accordance with ISAE3000 business requirements. In 2021, Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. completed the relocation and production. This audit is the first full annual audit after the relocation. In accordance with the requirements of the London Gold and Silver Market Association (LBMA) Guidelines for Reliable Gold (Silver), Inner Mongolia Qiankun Company, as a LBMA good delivery and refining enterprise, has established and improved the operation management system for many years and established a systematic and complete supply chain due diligence system within the scope of compliance with the requirements of the OECD due diligence, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the European Union Conflict Minerals Regulations and other relevant laws, It fully meets the basic requirements of LBMA in controlling and combating systematic human rights violations, avoiding and fuelling conflicts, complying with the requirements of anti-money laundering standards, and combating terrorist financing, sustainable development, etc.
內蒙古乾坤金銀精煉股份有限公司（以下簡(jiǎn)稱(chēng)乾坤公司）是在1999年3月，經(jīng)中國人民銀行總行和內蒙古自治區分行同意，并由內蒙古自治區人民政府體改委批準，在原內蒙古貴金屬冶煉廠(chǎng)、內蒙古金店的基礎上，通過(guò)資產(chǎn)重組和全員入股的形式完成了公司股份制改革。
乾坤公司成立后，始終堅持管理創(chuàng )新、技術(shù)創(chuàng )新的經(jīng)營(yíng)理念，使公司的生產(chǎn)能力和技術(shù)水平長(cháng)足發(fā)展。形成了具有年精煉提純黃金150噸、白銀300噸、加工金銀飾品和民族工藝品8噸的能力。累計完成中國人民銀行總行國庫金銀精煉任務(wù)黃金500余噸，白銀1000余噸。在國內、國際黃金白銀市場(chǎng)樹(shù)立了“乾坤”品牌的良好形象，公司一度被列入內蒙古自治區重點(diǎn)培育和發(fā)展的二十家企業(yè)之一，“乾坤”品牌被自治區工商局評為著(zhù)名商標，被自治區科技廳授予“自治區高新技術(shù)企業(yè)”等榮譽(yù)稱(chēng)號。
多年來(lái)，經(jīng)過(guò)公司管理人員、技術(shù)人員及全體員工的共同努力，乾坤公司在生產(chǎn)和技術(shù)資質(zhì)方面取得很好的成績(jì)。公司自行研制的“乾坤”牌400盎司金錠和1000盎司銀錠于1999年10月27日和2000年6月6日分別獲得英國倫敦黃金市場(chǎng)協(xié)會(huì )優(yōu)質(zhì)交易錠資格，成為國際通用免檢產(chǎn)品，成為國內率先通過(guò)國際金銀雙認證的精煉企業(yè)。2000年7月公司順利通過(guò)了ISO9001質(zhì)量管理體系認證，2002年6月又通過(guò)了ISO14001環(huán)境管理體系認證；2001年隨著(zhù)中國金銀市場(chǎng)的改革，乾坤公司憑行業(yè)良好信譽(yù)和優(yōu)質(zhì)產(chǎn)品成為了上海黃金交易所批會(huì )員單位，并被指定為“上交所”批合格精煉廠(chǎng)；2000年1月公司實(shí)驗室通過(guò)了國家實(shí)驗室認可委員會(huì )的認可，公司化驗室的化驗報告在行業(yè)內具有高度權威性；2002年公司化驗室研發(fā)的“光譜金銀標樣”被國家技術(shù)監督局定為一級標準物質(zhì)，為公司開(kāi)辟了生產(chǎn)金銀標準業(yè)務(wù)的基礎。
所有這些成績(jì)的取得，也為公司貴金屬行業(yè)內爭得良好信譽(yù)，公司于2000年和2002年度被中國黃金協(xié)會(huì )評為“中國黃金行業(yè)之”，2004年“乾坤”品牌被世界品牌實(shí)驗室，世界經(jīng)濟論壇和世界經(jīng)理人聯(lián)合會(huì )評為“2004年中國500強具價(jià)值品牌”，品牌價(jià)值達6.08億元。同時(shí)，公司還是國家外經(jīng)貿部批準擁有白銀自營(yíng)進(jìn)出口經(jīng)營(yíng)權的企業(yè)，“乾坤”牌馬頭標識的銀產(chǎn)品曾遠銷(xiāo)歐、美以及東南亞的日本、韓國、香港等國家和地區，成為呼和浩特市出口創(chuàng )匯的大戶(hù)。
本公司的主要原材料來(lái)源分為從國內、國外獲得的再生金和內蒙古本地礦山生產(chǎn)的礦產(chǎn)金。共有 37 家黃金供應商，8家白銀供應商，均為國內低風(fēng)險供應商。本公司對所有交易對手方都進(jìn)行了盡職和供應鏈審查或相關(guān)情況的補充審查。
本報告概述了我公司如何遵守《倫敦金銀市場(chǎng)協(xié)會(huì )（LBMA）可靠黃金（白銀）指導原則》的要求，保持體系正常運轉的匯總情況。
Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. (hereinafter referred to as Qiankun Company) completed the company's joint-stock reform in March 1999, with the consent of the People's Bank of China Head Office and Inner Mongolia Autonomous Region Branch, and with the approval of the Inner Mongolia Autonomous Region Government Reform Commission. Based on the original Inner Mongolia Precious Metal Smelter and Inner Mongolia Gujin Dian, it completed the company's joint-stock reform through asset restructuring and full employee shareholding.
After the establishment of Qiankun Company, it has always adhered to the business philosophy of management innovation and technological innovation, enabling the company's production capacity and technological level to develop significantly. Formed the ability to refine and purify 150 tons of gold, 300 tons of silver, and process 8 tons of gold and silver jewelry and ethnic handicrafts annually. We have completed the task of refining gold and silver from the treasury of the People's Bank of China, totaling over 500 tons of gold and over 1000 tons of silver. We have established a good image of the "Qiankun" brand in the domestic and international gold and silver markets. The company was once listed as one of the 20 key enterprises cultivated and developed in Inner Mongolia Autonomous Region. The "Qiankun" brand was recognized as a famous trademark by the Autonomous Region Administration for Industry and Commerce, and was awarded honorary titles such as "Autonomous Region High tech Enterprise" by the Autonomous Region Science and Technology Department.
Over the years, with the joint efforts of the company's management, technical personnel, and all employees, Qiankun Company has achieved good results in production and technical qualifications. The company's self-developed "Qiankun" brand 400 ounce gold ingots and 1000 ounce silver ingots were qualified for high-quality trading ingots by the London Gold Market Association on October 27, 1999 and June 6, 2000, respectively, becoming an international universal inspection free product and the first refining enterprise in China to pass the international gold and silver dual certification. In July 2000, the company successfully passed the ISO9001 quality management system certification, and in June 2002, it also passed the ISO14001 environmental management system certification; In 2001, with the reform of China's gold and silver market, Qiankun Company became a member of the Shanghai Gold Exchange with good reputation and high-quality products in the industry, and was designated as a qualified refinery of the "Shanghai Stock Exchange"; In January 2000, the company's laboratory was recognized by the National Laboratory Accreditation Committee, and the laboratory test reports of the company have high authority in the industry; In 2002, the "Spectral Gold and Silver Standard Sample" developed by the company's laboratory was designated as a first-class standard substance by the National Technical Supervision Bureau, laying the foundation for the company's production of gold and silver standard business.
All these achievements have also earned the company a good reputation in the precious metal industry. In 2000 and 2002, the company was awarded the title of "One of China's Gold Industry" by the China Gold Association, and in 2004, the "Qiankun" brand was awarded the title of "2004 China's Top 500 Valuable Brands" by the World Brand Laboratory, the World Economic Forum, and the World Federation of Managers, with a brand value of 608 million yuan. At the same time, the company is also an enterprise approved by the Ministry of Foreign Trade and Economic Cooperation of the People's Republic of China to have the right to self operate import and export of silver. The silver products with the "Qiankun" brand logo have been exported to Europe, the United States, as well as countries and regions in Southeast Asia such as Japan, South Korea, and Hong Kong, becoming a major exporter of foreign exchange in Hohhot.
The main sources of raw materials for our company are recycled gold obtained from domestic and foreign sources, and mineral gold produced by local mines in Inner Mongolia. There are a total of 37 gold suppliers and 8 silver suppliers, all of which are domestic low-risk suppliers. Our company has conducted due diligence and supply chain reviews or supplementary reviews of relevant situations on all counterparties.
This report provides an overview of our company’s following requirements of the LBMA Responsible Gold (Silver) Guidance and keeping normal operation of the system.
表1.精煉企業(yè)詳細介紹：
Table 1. Detailed Introduction to the Refiner:
表2.證明合規而開(kāi)展的活動(dòng)匯總
Table 2. Summary of Activities Implemented for Proving Compliance
第一步：建立完善的公司管理體系
Step 1: Establish a sound company management system
1.采納并致力實(shí)施黃金供應鏈盡職調查政策
1. Adoption and commitment to the implementation of the gold supply chain due diligence policy
公司根據本指南第九版的要求，修訂了《供應鏈盡職調查管理辦法》我公司于2022年發(fā)布了《黃金（白銀）供應鏈盡職調查政策》(QKSF/LBMA/WJ-01),該政策符合經(jīng)合組織《來(lái)自受沖突影響和高風(fēng)險地區礦石負責人供應鏈盡職調查指南》附錄Ⅱ中列出的模式一致，并擴展至解決精煉商原生金供應鏈中不利于ESG因素的黃金供應鏈政策。包括但不限于人權、支持沖突、賄賂、洗錢(qián)、恐怖主義、環(huán)境污染防治及可持續發(fā)展、等方面。供應鏈盡職調查政策中規定了我們的政策、責任、流程，并開(kāi)展以風(fēng)險為基礎的盡職調查，篩選和識別供應商并監督交易，確定了管理機構。
According to the requirements of the ninth edition of this guideline, the company has revised the "Supply Chain Due Diligence Management Measures". In 2022, our company issued the "Gold (Silver) Supply Chain Due Diligence Policy" (QKSF/LBMA/WJ-01), which is consistent with the model listed in Appendix II of the OECD "Supply Chain Due Diligence Guidelines for Ore Principals from Conflict Affected and High Risk Areas", And expand to address the gold supply chain policies that are not conducive to ESG factors in the primary gold supply chain of refiners. Including but not limited to human rights, conflict support, bribery, money laundering, terrorism, environmental pollution prevention and sustainable development, etc. Our supply chain due diligence policy specifies our policies, responsibilities, and processes, and conducts risk based due diligence to screen and identify suppliers and supervise transactions, and identifies management agencies.
2.建立管理架構以支持供應鏈盡職調查
2.Establish management structure to support supply chain due diligence
政策要求公司及其供應商嚴格遵守國家關(guān)于職工權利、環(huán)境保護、可持續發(fā)展、公平交易等各項法律法規，積極參與供應鏈盡職調查工作，按照公司供應鏈盡職調查政策，建立了內部管理制度，規定了各環(huán)節的職責和分工、內部審計要求、溝通機制等明確劃分，并開(kāi)展高級管理層評審。公司董事會(huì )定期對公司業(yè)務(wù)合規性進(jìn)行審查，定期評估供應鏈盡職調查政策和流程的有效性，推進(jìn)持續改進(jìn)。成立了合規小組，確定了一名高級管理者擔任合規總監，設立三名合規專(zhuān)員，分別為營(yíng)銷(xiāo)專(zhuān)員、庫房專(zhuān)員和財務(wù)專(zhuān)員。因遷址原因合規小組現有人員與遷址審計有如下改變（原合規總監由包飛變更為吳振、原營(yíng)銷(xiāo)專(zhuān)員由鄔浩楠變更為郝巴根、原財務(wù)專(zhuān)員由黃玲玲變更為熊婷婷，庫房專(zhuān)員由宋麗變更為鄔浩楠）變更后定期召開(kāi)專(zhuān)題會(huì )議，定期組織相關(guān)部門(mén)人員進(jìn)行培訓。合規總監職位由公司深圳分公司總經(jīng)理吳振擔任，負責主持公司日常供應鏈盡 職調查工作，建立和完善供應鏈盡職調查管理體系，監督供應鏈盡職 調查流程，協(xié)調供應鏈盡職調查異常處理，審核合規報告。吳振先生曾擔任其他黃金公司的合規總監，現任一家黃金公司的總經(jīng)理。他在 財務(wù)管理、供應鏈管理、市場(chǎng)開(kāi)發(fā)和黃金收購等方面具有豐富的經(jīng)驗。
各合規專(zhuān)員具體管理這一過(guò)程，并且直接向合規總監吳振和公司高管層進(jìn)行匯報。對新增的供應商，在合同評審時(shí)，也要合規總監和高管參加專(zhuān)門(mén)審核客戶(hù)的合規資質(zhì)。我司嚴格遵守資金監管與合作方審核制度保證通過(guò)官方銀行渠道進(jìn)行業(yè)務(wù)性付款，每年與政府及相應合規企業(yè)進(jìn)行合作與業(yè)務(wù)對接同時(shí)保留相關(guān)記錄。2022年，公司嚴格執行《供應鏈盡職調查管理措施》，^按要求開(kāi)展供應鏈盡職調查工作，調查所有供應商資質(zhì)，監控所有交易，未與零容忍供應鏈和高風(fēng)險供應鏈建立關(guān)系。此外，嚴格按照公司規定的批準流程，對所有原材料采購業(yè)務(wù)（作為合同附件）簽訂了供應商合同和供應商承諾書(shū)。所有的供應商都承諾，原材料的來(lái)源符合金銀指導方針的要求。公司今年未因調查工作不佳或材料誤報而出現任何評估和處罰問(wèn)題。
The policy requires the company and its suppliers to strictly comply with various national laws and regulations on employee rights, environmental protection, sustainable development, fair trade, and actively participate in supply chain due diligence work. In accordance with the company's supply chain due diligence policy, an internal management system has been established, specifying the responsibilities and division of labor, internal audit requirements, communication mechanisms, and other clear divisions of each link, and conducting senior management reviews. The company's board of directors regularly reviews the compliance of the company's business, evaluates the effectiveness of supply chain due diligence policies and processes, and promotes continuous improvement. A compliance team was established, and a senior manager was appointed as the compliance director. Three compliance officers were established, namely the marketing officer, warehouse officer, and finance officer. Due to relocation reasons, the existing personnel of the compliance team and the relocation audit have undergone the following changes (the former compliance director has been changed from Bao Fei to Wu Zhen, the former marketing specialist has been changed from Wu Haonan to Hao Bagen, theformer financial specialist has been changed from Huang Lingling to Xiong Tingting, and the warehouse specialist has been changed from Song Li to Wu Haonan). After the change, regular special meetings have been held to organize training for relevant department personnel. The position of Compliance Director is held by Wu Zhen, the General Manager of the Shenzhen Branch of the company. He is responsible for overseeing the daily supply chain due diligence work of the company, establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process, coordinating the handling of supply chain due diligence anomalies, and reviewing compliance reports. Mr. Wu Zhen has served as the Compliance Director of other gold companies and is currently the General Manager of a gold company. He has extensive experience in financial management, supply chain management, market development, and gold acquisition.
Each compliance specialist specifically manages this process and reports directly to the compliance director, Wu Zhen, and the company's senior management. For newly added suppliers, the compliance director and senior management should also participate in the specialized review of customer compliance qualifications during contract review. Our company strictly adheres to the fund supervision and partner review system to ensure that business payments are made through official banking channels. We cooperate and connect with the government and corresponding compliant enterprises every year while retaining relevant records. In 2022, the company strictly implemented the "Supply Chain Due Diligence Management Measures", conducted supply chain due diligence work as required, investigated all supplier qualifications, monitored all transactions, and did not establish relationships with zero tolerance supply chains and high-risk supply chains. In addition, in strict accordance with the approval process stipulated by the company, supplier contracts and supplier commitment letters have been signed for all raw material procurement businesses (as contract attachments). All suppliers promise that the source of raw materials meets the requirements of the gold and silver guidelines. The company has not encountered any evaluation or punishment issues due to poor investigation work or material misstatement this year.
3.建立黃金可追溯性系統
3. Establish gold traceability system
公司建有完善的金銀原料接收處理程序，在處理每批次金銀原料之前，必須按照《黃金（白銀）供應鏈盡職調查政策》(QKSF/LBMA/WJ-01)和《黃金（白銀）交易過(guò)程風(fēng)險控制流程》(QKSF/LBMA/WJ-02)進(jìn)行。合規專(zhuān)員對每批次金銀原料供應商均按照KYC 調查問(wèn)卷中包含的供應鏈盡職調查管理系統，在簽署合同前對供應鏈進(jìn)行了調查。供應商在詢(xún)價(jià)完成時(shí)簽署供應商承諾書(shū)作為合同附件，保證原材料是合法的、符合并滿(mǎn)足負責的金（銀）指南的要求
盡職調查和結果審查，由分管副總經(jīng)理批準。公司對每一批次合規原料都予以記錄，并附以唯一的編號，該編號從原料進(jìn)廠(chǎng)到生產(chǎn)過(guò)程和出廠(chǎng)一直保持不變，以便追溯。公司會(huì )完整保留黃金（白銀）原料客戶(hù)檔案及相關(guān)過(guò)程記錄（此記錄保存5年以上）。
The company has a comprehensive process for receiving and processing gold and silver raw materials. Before processing each batch of gold and silver raw materials, it must follow the "Gold (Silver) Supply Chain Due Diligence Policy" (QKSF/LBMA/WJ-01) and "Gold (Silver) Trading Process Risk Control Process" (QKSF/LBMA/WJ-02). The compliance officer conducted a supply chain due diligence management system investigation on each batch of gold and silver raw material suppliers in accordance with the KYC survey questionnaire before signing the contract. The supplier signs a supplier commitment letter as an attachment to the contract upon completion of the inquiry, ensuring that the raw materials are legal, comply with, and meet the requirements of the responsible gold (silver) guidelines
Due diligence and result review shall be approved by the Deputy General Manager in charge. The company records each batch of compliant raw materials and attaches a unique number, which remains unchanged from the time the raw materials enter the factory to the production process and factory for easy traceability. The company will maintain a complete customer record of gold (silver) raw materials and relevant process records (this record will be kept for more than 5 years).
4.加強公司與黃金供應對手方的聯(lián)系
4. Strengthen the contact between the company and the gold supply counterparty
公司建立有完整的黃金（白銀）供應商溝通機制，與供應商簽訂了書(shū)面形式的承諾書(shū)，并盡力協(xié)助黃金白銀供應商建立他們的盡職調查體系。對于每批次業(yè)務(wù)、每個(gè)供應商（包括交易代理客戶(hù)）均提前向其告知我公司的供應鏈盡職調查政策，并進(jìn)行盡職調查。對于不符合盡職調查政策的業(yè)務(wù)，公司不與其簽訂合同。要求供應商既要符合上海黃金交易所的條件，也符合LBMA規則要求。對于業(yè)務(wù)量較大的供應商，要有公司高管參加的專(zhuān)門(mén)會(huì )議審核其合規性。除完善自身機制還應盡力協(xié)助黃金供應交易對方或潛在客戶(hù)改進(jìn)其負責任供應鏈實(shí)踐，鼓勵生產(chǎn)商將對生物多樣性的不利影響減至最低限度，并盡可能保護自然棲息地。應協(xié)助手工或小規模采礦這在安全和環(huán)保的前提下少使用或不使用汞。應倡導實(shí)施相關(guān)倡議。
The Company has established an intact communication mechanism for gold (silver) suppliers, concluded the letter of commitment in written form and endeavored to assist the gold and silver suppliers to establish their due diligence system. As for the business of each batch, each supplier (including the transaction agent client) would be informed our company’s supply chain due diligence policy in advance. As for the business that does not conform to the due diligence policy, the Company would not conclude a contract with it. The suppliers were required to not only conform to the conditions of Shanghai Gold Exchange but also the LBMA rules requirements. As for the suppliers of large business volume, a special
meeting attended by the senior management of the Company to review its compliance was required.In addition to improving their own mechanisms, they should also try their best to assist gold supply counterparties or potential customers to improve their responsible supply chain practices, encourage producers to minimize adverse impacts on biodiversity and protect natural habitats as much as possible. Manual or small-scale mining should be assisted, which uses less or no mercury in the context of safety and environmental protection. Relevant initiatives should be advocated.
在公司建立管理體系期間，先后進(jìn)行了十二次關(guān)于黃金白銀供應鏈盡職調查體系的專(zhuān)項培訓，培訓人員包括分公司高管人員、業(yè)務(wù)人員、財務(wù)人員、檢測人員、生產(chǎn)加工車(chē)間人員及各合規專(zhuān)員，對公司的供應鏈盡職調查政策和流程進(jìn)行了詳解。針對第九版準則，對環(huán)境保護和可持續發(fā)展、原料來(lái)源追蹤等方面進(jìn)行了強調和重點(diǎn)關(guān)注。
During the establishment of the company's management system, 12 special trainings on the due diligence system of the gold and silver supply chain have been carried out successively. The trainers include the branch's senior management, business personnel, financial personnel, testing personnel, production and processing workshop personnel and various compliance specialists, who have explained the company's supply chain due diligence policies and procedures in detail. For the ninth edition of the guidelines, environmental protection and sustainable development, raw material source tracking and other aspects were emphasized and focused on.
5.建立保密申訴機制
5. Establishment of anonymous complaint & reporting mechanism
公司建立完善的信息溝通機制《黃金（白銀）供應鏈風(fēng)險信息溝通控制程序》(QKSF/LBMA/WJ-03)，允許員工和外部利益相關(guān)者對供應鏈的風(fēng)險識別、環(huán)境問(wèn)題和可持續發(fā)展問(wèn)題匿名表達不同意見(jiàn)，并設有專(zhuān)門(mén)的舉報箱和舉報電話(huà)0755-25600550，所有人員都可以通過(guò)電話(huà)或網(wǎng)站留言就公司的供應鏈問(wèn)題進(jìn)行溝通，由專(zhuān)人負責管理，合規專(zhuān)員進(jìn)行審查。必要時(shí)可直接上報合規總監或企業(yè)高管層。2022年度我公司沒(méi)有相應原料與業(yè)務(wù)的投訴與申訴發(fā)生。
The Company established a perfect information communication mechanism of the Gold (Silver) Supply Chain Risk Information Communication Control Procedures (QKSF/LBMA/WJ-03), which allows the employees and external interested parties to express different suggestions concerning the risk identification, environmental problems and sustainable development problems anonymously. Besides, special report boxes and report phone of 0755-25600550 were set. All personnel could communicate the supply chain problems of the Company through phone or website message, of which specially-assigned person was responsible for the management and the Compliance Officers carried out audits. As necessary, it was acceptable to report to the superior Compliance Director or the senior management of the enterprise directly.In 2022, our company had no complaints or grievances about corresponding raw materials and business.
第二步：對供應鏈中的風(fēng)險進(jìn)行識別與評估
Step 2: Identify and evaluate risks in the supply chain
1.開(kāi)展供應鏈盡職調查，識別和評估潛在風(fēng)險。
1. Conduct supply chain due diligence to identify and assess potential risks.
根據經(jīng)合組織《沖突影響和高風(fēng)險地區礦產(chǎn)供應鏈盡職調查指南》附件二，黃金冶煉公司密切關(guān)注不遵守環(huán)境和可持續發(fā)展法律要求、侵犯人權、武裝沖突、非法開(kāi)采、汞開(kāi)采和利用，以及洗錢(qián)、恐怖主義融資的外匯賄賂等領(lǐng)域。公司建立供應商文件，每個(gè)供應商文件填寫(xiě) KYC 問(wèn)卷，在與其簽訂合同前完成供應商文件的建立，并對其進(jìn)行風(fēng)險評級。
在合作前，本公司對所有供應商進(jìn)行了供應鏈盡職調查，包括位置、供應鏈、原材料類(lèi)型三個(gè)維度。本公司填寫(xiě)了 KYC 調查問(wèn)卷，并要求合作伙伴在進(jìn)行合作前提供符合供應鏈盡職調查管理體系要求的相關(guān)資格證書(shū)。公司提供了供應商、股東信息、原材料類(lèi)型及來(lái)源、貴金屬類(lèi)型等基本信息、結算方式等調查信息，并將供應鏈調查盡可能擴展到供應商的上游。他們拒絕與涉及零容忍供應鏈和高風(fēng)險供應鏈的供應商進(jìn)行合作。
在合作過(guò)程中，通過(guò)不斷跟蹤和調查供應商信息，了解和評估供應商業(yè)務(wù)活動(dòng)的動(dòng)態(tài)。公司充分利用網(wǎng)絡(luò )，通過(guò)天眼查、中國審判信息網(wǎng)、等網(wǎng)站查詢(xún)供應商資質(zhì)、違反信任、訴訟、處罰等信息。
上述調查和評估都由合規團隊的成員參加，他們對各自職責領(lǐng)域的供應商進(jìn)行了評估。合規總監總結并報告給董事會(huì )進(jìn)行全面審查。審查結果已由合規總監報告給合規委員會(huì )
According to Annex 2 of the OECD's Due Diligence Guidelines for Mineral Supply Chains in Conflict Affected and High Risk Areas, gold smelting companies closely monitor areas such as non-compliance with environmental and sustainable development legal requirements, human rights violations, armed conflicts, illegal mining, mercury mining and utilization, as well as foreign exchange bribery in money laundering and terrorist financing. The company establishes supplier documents, fills out KYC questionnaires for each supplier document, completes the establishment of supplier documents before signing contracts with them, and conducts risk ratings on them.
Before cooperation, our company conducted supply chain due diligence on all suppliers, including three dimensions: location, supply chain, and raw material type. Our company has filled out the KYC survey questionnaire and requested partners to provide relevant qualification certificates that meet the requirements of the supply chain due diligence management system before engaging in cooperation. The company provides basic information such as suppliers, shareholder information, raw material types and sources, precious metal types, and settlement methods, and extends supply chain investigations to the upstream of suppliers as much as possible. They refuse to cooperate with suppliers involved in zerotolerance supply chains and high-risk supply chains.
During the cooperation process, by continuously tracking and investigating supplier information, understand and evaluate the dynamics of supplier business activities. The company fully utilizes the internet to search for supplier qualifications, trust violations, litigation, penalties, and other information through websites such as Tianyancha and China Judicial Information Network.
The above investigations and evaluations were conducted by members of the compliance team, who evaluated suppliers in their respective areas of responsibility. The Compliance Director summarizes and reports to the Board of Directors for comprehensive review. The review results have been reported by the Compliance Director to the Compliance Committee.
2.識別零容忍供應鏈和高風(fēng)險供應鏈
2.Identify zero tolerance supply chains and high-risk supply chains
根據第九版的負責黃金（銀）指南和盡職調查指南負責礦產(chǎn)供應鏈來(lái)自沖突影響和高風(fēng)險地區，公司制定了零容忍供應鏈和高風(fēng)險供應鏈的評估標準，擴展到供應鏈中的不利 ESG 因素。風(fēng)險評估規則包括三個(gè)維度：位置、供應鏈和材料類(lèi)型。
關(guān)于位置風(fēng)險，請參考中國政府批準的國際制裁清單、多德弗蘭克法案第 1502 條、歐盟 CAHRA 清單、海德堡晴雨表、脆弱國家指數或 類(lèi)似指標、聯(lián)合國高級專(zhuān)員辦事處人權辦公室或同等機構的報告、金融行動(dòng)工作組（FATF）(包括相關(guān)國家/地區高風(fēng)險黃金中心/轉運中心和洗錢(qián)風(fēng)險高國家/地區的可靠市場(chǎng)
情報。供應鏈風(fēng)險可以通過(guò)工具包中的 KYC 問(wèn)卷來(lái)識別。原材料分為大規模開(kāi)采、手工開(kāi)采和小規模開(kāi)采、原材料類(lèi)型風(fēng)險回收金銀，并根據各類(lèi)型的風(fēng)險識別要求進(jìn)行識別。
根據供應鏈盡職調查管理體系中規定的零公差供應鏈評價(jià)標準，進(jìn)行了供應商識別。2022年，公司購買(mǎi)的原材料并非來(lái)自世界遺產(chǎn)地區或保護區，不來(lái)自違反國際制裁的國家（經(jīng)中國政府認可），沒(méi)有供應對手、其他已知上游公司或其最終受益者是已知的洗錢(qián)者。沒(méi)有直接或間接支持非法活動(dòng)以及欺詐性歪曲礦物來(lái)源的非國家武裝組織，就沒(méi)有欺詐性或恐怖主義分子涉嫌嚴重侵犯人權的個(gè)人。
綜上所述，2022 年沒(méi)有發(fā)現零容忍供應鏈和高風(fēng)險供應鏈，所有采購都是有序、合規的。
According to the ninth edition of the Responsible Gold (Silver) Guidelines and Due Diligence Guidelines, the company has developed evaluation criteria for zero tolerance supply chains and high-risk supply chains, which extend to adverse ESG factors in the supply chain. The risk assessment rules include three dimensions: location, supply chain, and material type.
Regarding location risk, please refer to the international sanctions list approved by the Chinese government, Article 1502 of the Dodd FrankAct, the EU CAHRA list, the Heidelberg Barometer, the Vulnerable Countries Index or similar indicators, reports from the Office of the United Nations High Commissioner for Human Rights or equivalent institutions, the Financial Action Task Force (FATF) (including reliable markets for high-risk gold centers/transit centers in relevant countries/regions and countries/regions with high money laundering risk)
cutting-edge news Supply chain risks can be identified through the KYC questionnaire in the toolkit. Raw materials are divided into large-scale mining, manual mining, and small-scale mining, and the risk recovery of gold and silver is based on the risk identification requirements of each type of raw material.
According to the zero tolerance supply chain evaluation criteria specified in the supply chain due diligence management system, supplier identification was conducted. In 2022, the raw materials purchased by the company did not come from World Heritage sites or protected areas, did not come from countries that violate international sanctions (recognized by the Chinese government), did not supply competitors, other known upstream companies, or their ultimate beneficiaries were known money launderers. Without non State armed organizations that directly or indirectly support illegal activities and fraudulently distort mineral sources, there are no individuals suspected of committing serious human rights violations by fraudulent or terrorist elements.
In summary, zero tolerance supply chains and high-risk supply chains were not discovered in 2022, and all procurement was orderly and compliant.
3.對高風(fēng)險供應鏈采取加強型盡職調查措施
3. Take enhanced due diligence measures for high-risk supply chain
我公司按照《黃金（白銀）供應鏈盡職調查政策》和《黃金（白銀）供應商風(fēng)險辨別及評估程序》對所有與公司簽訂合同的供應商進(jìn)行評估。
Our company evaluated all suppliers that have signed contracts with us in accordance with Gold (Silver) Supply Chain Due Diligence Policy and Gold (Silver) Supply Chain Risk Identification and Evaluation Procedures.
如果存在上述風(fēng)險，我公司將該供應商標注為高風(fēng)險供應商，且不與之簽訂合同。如果懷疑供應商有發(fā)生上述行為的可能性，先定為暫緩合作，待補充相關(guān)材料，直到消除風(fēng)險后，定位低風(fēng)險供應商，方可簽訂合同，同時(shí)加強隨時(shí)的監督。
In case of above risks, our company would regard them as high-risk suppliers and would not sign a contract with them. In case of any suspicion concerning the supplier for the possibility of the above-mentioned illegality, the cooperation would be suspended and relevant materials would be added. The contract would not be signed before that the risk was eliminated and the supplier was positioned as a low-risk supplier. Meanwhile, supervision at any time would be strengthened.
在對幾家供應商評估中，對每批次的進(jìn)貨記錄、化驗單、運輸憑證等均要保留，并按客戶(hù)檔案做好登記，并通過(guò)財務(wù)合規專(zhuān)員控制資金往來(lái)。
It is required to keep the purchase records, laboratory inspections, transportation vouchers, etc. of each batch, complete registration according to the customer file, and control the capital transaction by the Financial Compliance Officer.
合規專(zhuān)員在與供應商簽訂合同時(shí)，都會(huì )向合規總監和公司高管層報告相關(guān)情況，避免可能存在的風(fēng)險。公司合規總監和公司高管層對供應商的最終結果具有決定權。
The Compliance Officer will report the relevant information to the Compliance Director and the Company’s senior management when signing a contract with a supplier to avoid possible risks. The Company’s Compliance Director and the Company’s senior management are entitled to decide on the supplier’s final results.
4、交易監測
4、Transaction monitoring
我司已于交易關(guān)系建立之前，針對該供應商的風(fēng)險執行供應商盡職調查。如發(fā)現高風(fēng)險定義中的風(fēng)險事件，當即被列為高風(fēng)險客戶(hù)，且不會(huì )建立任何業(yè)務(wù)關(guān)系。如無(wú)相關(guān)風(fēng)險事項才會(huì )建立正常合作關(guān)系。
We have conducted supplier due diligence on the risks of the supplier before the transaction relationship is established. If a risk event in the definition of high risk is found, it will be listed as a high-risk customer immediately and no business relationship will be established. If there are no relevant risk matters, a normal cooperative relationship will be established.
交易過(guò)程中會(huì )對風(fēng)險進(jìn)行實(shí)時(shí)監控與評估，我方根據交易類(lèi)型、交易時(shí)間、交易區域收集供應商信息。如果正常合作期間設計洗錢(qián)、恐怖主義融資、戰爭等高風(fēng)險領(lǐng)域與人權侵犯等事宜，我方將立即終止此業(yè)務(wù)關(guān)系。
The risk will be monitored and evaluated in real time during the transaction. We collect supplier information according to the transaction type, transaction time and transaction area. If we design money laundering, terrorist financing, war and other high-risk areas and human rights violations during normal cooperation, we will immediately terminate this business relationship.
2022年我司黃金、白銀原料全部來(lái)源于上海黃金交易所、國內礦山、國內其他精煉企業(yè)及其香港機構。通過(guò)公司內部管控對檢測報告、貨運單據、發(fā)票等信息進(jìn)行核對、合規專(zhuān)員負責對以上信息進(jìn)行檢查與交易監控。以上交易全部采用銀行渠道進(jìn)行收付款，同時(shí)根據資金監管要求對超過(guò) 10000 美元的交易，精煉廠(chǎng)必須通過(guò)官方銀行渠道支付和接收黃金價(jià)款進(jìn)行核實(shí)與查驗。我方交易沒(méi)有任何現金交易。
In 2022, all of our gold and silver raw materials come from the ShanghaiGold Exchange, domestic mines, other domestic refining enterprises, and Hong Kong institutions. Verify inspection reports, shipping documents, invoices, and other information through internal control of the company, and the compliance specialist is responsible for inspecting and monitoring the above information. All the above transactions are collected and paid through the bank channel. At the same time, according to the capital supervision requirements, for transactions over 10000 dollars, the refinery must verify and check the gold price paid and received through the official bank channel. Our transaction does not involve any cash transactions.
5. 向指定高級管理層報告高風(fēng)險并評估
5. Report of high risks and evaluations towards designated senior management
公司建立了高風(fēng)險評估和報告機制，遇到黃金白銀供應鏈存在高風(fēng)險情況，立即向合規總監包飛和高級管理層匯報，并組織專(zhuān)門(mén)會(huì )議審核討論。
The Company has established a high-risk assessment and reporting mechanism. As a result, it is required to immediately report to the Compliance Director Bao Fei as well as senior management, and organize a special conference for review and discussion in case of high-risk in the gold and silver supply chain.
在2022.1.1-2022.12.31期間我公司沒(méi)有發(fā)現高風(fēng)險供應鏈。
During the period from January 1, 2022 to December 31, 2022, our company did not identify high-risk supply chains.
第三步：設計和實(shí)施管理策略，以應對識別的風(fēng)險
Step 3: Design and implement management strategies to address identified risks
1.參與風(fēng)險管理策略來(lái)識別風(fēng)險:公司嚴格按照《黃金（白銀）供應鏈風(fēng)險辨別及評估程序》(QKSF/LBMA/WJ-06)對每個(gè)供應商進(jìn)行風(fēng)險識別評估與控制，如果黃金供應鏈盡職調查得出結論是可能存在洗錢(qián)、嚴重侵犯人權或支持恐怖主義地區或團體的原料，公司會(huì )拒絕來(lái)自該產(chǎn)地的來(lái)料，根據進(jìn)一步識別與評估情況，確定是繼續交易還是暫緩交易，防止高風(fēng)險的發(fā)生。在整個(gè)風(fēng)險管理實(shí)施過(guò)程中，按公司相關(guān)標準，判斷是否保持、暫時(shí)中止或中斷與供應商的合作，并隨時(shí)向合規總監和公司高管層匯報。
1、Participate in risk management strategies to identify risks: The company strictly follows the "Gold (Silver) Supply Chain Risk Identification and Assessment Procedure" (QKSF/LBMA/WJ-06) to conduct risk identification, assessment, and control for each supplier. If the due diligence of the gold supply chain concludes that there may be money laundering, serious human rights violations, or support for terrorist areas or groups of raw materials, the company will refuse incoming materials from that origin, Based on further identification and evaluation of the situation, determine whether to continue trading or suspend trading to prevent high-risk occurrences. Throughout the entire risk management implementation process, determine whether to maintain, temporarily suspend or interrupt cooperation with suppliers according to the company's relevant standards, and report to the Compliance Director and the company's senior management at any time.
2.風(fēng)險管理策略:公司依據《黃金（白銀）供應鏈風(fēng)險減緩策(QKSF/LBMA/WJ-04)，旨在誠意努力地與供應商對供應鏈進(jìn)行改進(jìn)。公司對每一個(gè)供應商根據評估表內容進(jìn)行風(fēng)險識別和評估，對于可能存在的高風(fēng)險供應鏈進(jìn)行暫停交易，要求并協(xié)助對方進(jìn)行為期六個(gè)月的整改來(lái)消除風(fēng)險因素，經(jīng)驗證供應商做出合理和誠意的努力并采取的措施有效時(shí)，可繼續接受該供應商提供的黃金白銀，但是仍要加強監控頻次，在整改期內進(jìn)行評估，并將結果報告給公司管理層；如果在六個(gè)月內無(wú)法監測到其改進(jìn)，則應中止與供應商的合作。在本報告期內，我公司的供應鏈不存在強迫勞動(dòng)、侵犯人權、使用童工、民族歧視、支持黑社會(huì )組織、洗錢(qián)和賄賂等違法行為。所有供應商收集的相關(guān)信息與資料齊全，均為低風(fēng)險。新增供應商有更加嚴格的審核措施，保證體系應對所有風(fēng)險。公司建立了風(fēng)險評估和報告制度每月向合規總監報告本部門(mén)的盡職調查工作。當在供應鏈中發(fā)現來(lái)自高風(fēng)險地區的連鎖調查被評估為高風(fēng)險供應鏈時(shí)，該交易被停止并報合規總監批準，然后上報董事會(huì )及相關(guān)政府部門(mén)。2022年，公司對所有供應商進(jìn)行了風(fēng)險評估，合規總監總結了評估結果，并向董事會(huì )提交了報告。在審查后，該報告被提交給合規委員會(huì )批準
2. The company follows the "Risk Mitigation Policy for Gold (Silver) Supply Chain" (QKSF/LBMA/WJ-04) The aim is to make sincere efforts to improve the supply chain with suppliers. The company conducts risk identification and evaluation for each supplier based on the evaluation form. For potential high-risk supply chains, the company suspends transactions and requests and assists the other party in conducting a six-month rectification to eliminate risk factors. After verification, if the supplier makes reasonable and sincere efforts and takes effective measures, they can continue to accept the gold and silver provided by the supplier, but monitoring frequency should still be strengthened, Evaluate during the rectification period and report the results to the company management; If the improvement cannot be monitored within six months, cooperation with the supplier should be suspended. During this reporting period, our company's supply chain did not engage in illegal activities such as forced labor, human rights violations, use of child labor, ethnic discrimination, support for triad organizations, money laundering, and bribery. All relevant information and materials collected by suppliers are complete and low risk. New suppliers have stricter audit measures to ensure that the system responds to all risks. The company has established a risk assessment and reporting system to report the due diligence work of its department to the Compliance Director on a monthly basis. When a chain investigation from high-risk areas is found in the supply chain and assessed as high-risk, the transaction is stopped and reported to the compliance director for approval, then reported to the board of directors and relevant government departments. In 2022, the company conducted a risk assessment of all suppliers, and the compliance director summarized the assessment results and submitted a report to the board of directors. After review, the report is submitted for approval by the Compliance Committee.
第四步：安排供應鏈盡職調查的獨立第三方審計
Step 4:Arrange for an independent third-party audit of the supply chain due diligence
2023年3月8日委托了必維國際檢驗集團進(jìn)行2022年度獨立的第三方審計。
On March 8, 2023, Bureau Veritas International Inspection Group was commissioned to conduct an independent third-party audit for the year 2022.
第五步：有關(guān)供應鏈盡職調查的報告
Step 5: Report related to supply chain due diligence
1.我公司的黃金（白銀）供應鏈政策中已規定了精煉企業(yè)的系統、程序、流程和控制措施，及如何去符合《倫敦金銀市場(chǎng)協(xié)會(huì )（LBMA）可靠黃金（白銀）指導原則》的具體要求。更多信息與具體細節，可在我公司的網(wǎng)站查閱（qk9999.com）。
1. Our company's gold (silver) supply chain policy has specified the systems, procedures, processes and control measures of refining enterprises, and how to comply with the specific requirements of the LBMA Guidelines for Reliable Gold (Silver). For more information and details, please refer to our website (qk9999. com)
2.我公司于2022年12月31日對黃金（白銀）供應鏈盡職調查體系進(jìn)行了評審，對工作中不符合政策的內容進(jìn)行了及時(shí)的糾正和整改。按照計劃，對內深分所有高管人員及相關(guān)業(yè)務(wù)人員對供應鏈盡職調查體系進(jìn)行了內部培訓。
2. Our company reviewed the due diligence system of the gold (silver) supply chain on December 31, 2022, and promptly corrected and rectified the contents that did not comply with the policy. According to the plan, all senior executives and relevant business personnel of Shenzhen Branch have been internally trained on the supply chain due diligence system.
表3.管理結論
Table 3: Management conclusion:
綜上所述，本報告年度截止于2022年12月31日，根據《倫敦金銀市場(chǎng)協(xié)會(huì )（LBMA）可靠黃金（白銀）指導原則》的要求，內蒙古乾坤金銀精煉股份有限公司深圳分公司實(shí)施了有效的管理制度、程序、流程和操作。建立了完整的盡職調查和風(fēng)險防控系統，能夠達到LBMA的相關(guān)要求。
In conclusion, with the report year ended on December 31, 2022, Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd. has implemented effective management systems, procedures, processes and operations in accordance with the LBMA Responsible Gold (Silver) Guidance. The Company has established a complete due diligence and risk prevention system, which can meet the relevant requirements of LBMA.
內蒙古乾坤金銀精煉股份有限公司及其深圳分公司致力于不斷的改進(jìn)與提升，更有效的將可靠性黃金供應鏈流程與現有的供應鏈管理結合起來(lái)。所有的糾正預防措施將在內部進(jìn)行定期監測。
Inner Mongolia Qiankun gold and silver refining Co., Ltd. and its Shenzhen Branch are committed to continuous improvement and upgrading, and more effectively combine the reliable gold supply chain process with the existing supply chain management. All corrective and preventive measures will be regularly monitored internally.
表4.其它報告評注
Table 4: Other report comments
如果相關(guān)方對內蒙古乾坤金銀精煉股份有限公司深圳分公司“合規報告”有疑義及反饋，可通過(guò)電子郵件714151083@qq.COM聯(lián)系我們。
If the relevant parties have any doubts and feedback on the “Compliance Report” of Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd., they can contact us by E-mail 714151083@qq.com.
內蒙古乾坤金銀精煉股份有限公司深圳分公司
Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd.
2023年3月7日
March 7, 2023