深圳市傲風實業有限公司

深圳市傲風實業有限公司

SHENZHEN ZHONGHENGLONG INDUSTRIAL CO.,LTD.

規範文件

Specification Document

文件名稱:黃金／白(bái)銀負責任采購供應鏈盡職調查政策

Document name: Due Diligence Policy of Gold/Silver Responsible Sourcing Supply Chain

文件編号：ZHL/H-003-2022

DocumentNo.: ZHL/H-003-2022

版本：A1.0

Version: A10

編制：魏聖坤

Prepared by: Wei Shengkun

審核：陳俊宇

Reviewed by: Chen Junyu

批準：劉敬旭

Approved by: Liu Jingxu

生(shēng)效日期:2022-1-5

Effective date:January 5, 2022

我(wǒ)(wǒ)公司清楚地認識到從沖突區域和高風險區域開(kāi)采、處理和進出口金屬産品可能會産生(shēng)的不利影響，也清楚地認識到我(wǒ)(wǒ)們有尊重人權、不支持沖突的責任。公司将嚴格遵守國家關于職工(gōng)權利、環境保護、公平交易等各項法律法規，确保黃金白(bái)銀的來源是合法的。爲此，我(wǒ)(wǒ)們根據《經濟合作與發展組織關于來自受沖突影響和高風險區域的礦石的負責任供應鏈盡職調查指南(nán)》（第三版）對黃金白(bái)銀供應鏈中(zhōng)識别出的以下(xià)風險進行風險識别、評估和管理：

With the clear understanding of the possible adverse effects of mining, processing, importing and exporting metal products from conflict-affected areas and high-risk areas, as well as our responsibility to respect human rights and not support conflicts, our company will strictly abide by the national laws and regulations on the rights of employees, environmental protection, fair trade and other laws and regulations to ensure the legal source of gold and silver. For this purpose, we will carry out risk identification, assessment and management of the following risks identified in the gold and silver supply chain in accordance with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas(3rd edition):

一(yī)、對開(kāi)采、運輸或交易而引起的大(dà)規模濫用人權：

I.On mass abuse of human rights arising from mining, transportation or trading:

1.任何形式的酷刑和其他殘忍、不人道或有辱人格的待遇；

1. Any form of torture and other cruel, inhuman or degrading treatment;

2.任何形式的強制勞動，即以威脅的方式強迫任何人進行工(gōng)作或提供服務，而非此人自願；

2.Any form of forced labor, namely, forced any person to work or provide service in a threatening manner in the case that he is not voluntary;

3.最惡劣形式的童工(gōng)；

3. The worst form of child labour;

4.其他嚴重侵犯和踐踏人權的行爲，如性暴力等違背人權、濫用人權的罪行；

4. Other behaviors seriously violating and trampling on human rights, such as sexual violence and other crimes against and abuse of human rights;

5.戰争罪行，或其他嚴重違背國際人道主義法、反人道、造成種族滅絕的罪行。

5. War crimes, or other crimes seriously violating international humanitarian law, against humanity and causing genocide.

如果我(wǒ)(wǒ)們确定上遊供應商(shāng)觸犯上述任何一(yī)條，我(wǒ)(wǒ)們将立即中(zhōng)斷或中(zhōng)止與該供應商(shāng)的合作。

In case of violation against any of the above items of the upstream supplier, we will immediately interrupt or suspend the cooperation with the supplier.

二、直接或間接支持非政府武裝團體(tǐ)或公共或私人安全部隊：

II. On direct or indirect support to non-governmental armed groups or public or private security forces:

（包括但不限于做出下(xià)列行爲的非政府武裝團體(tǐ)、公共或私人安全部隊或其附屬機構）：

(including but not limited to, non-governmental armed groups, public or private security forces or their affiliates that commit the following acts):

1.非法控制礦點或非法控制運輸路線、金屬交易點及供應鏈的上遊供應商(shāng)；

1. Illegal control of mining sites or transport routes, metal trading places and supply chains by upstream suppliers;

2.在礦點入口點、運輸沿線或金屬交易點進行非法敲詐勒索；

2. Illegal extortion at the entry point of the mining site, along the transportation routes or at the metal trading places;

3.非法敲詐中(zhōng)間商(shāng)、出口公司或國際貿易商(shāng)，爲恐怖組織融資(zī)，助長沖突等。

3. Illegal extortion of middlemen, export companies or international traders, financing for terrorist organizations, fuelling conflicts, etc.

如果我(wǒ)(wǒ)們确定上遊供應商(shāng)從向非國家武裝團體(tǐ)，公共或私人安全部隊提供直接或間接支持的任何一(yī)方進行采購或與之存在關系或上遊供應商(shāng)觸犯上述任何一(yī)條，我(wǒ)(wǒ)們将立即暫時停止或中(zhōng)斷與該供應商(shāng)的合作。

In case of provision of or relation to direct or indirect support to non-national armed groups, public or private security forces from the upstream suppliers, or violation against any above items of the upstream suppliers,we will immediately suspend or interrupt the cooperation with the supplier.

三、關于行賄受賄洗錢及礦産原産地的欺詐性失實陳述

III. On fraudulent misrepresentation of bribery, money laundering and mineral origin

1.行賄受賄、欺詐性誤報：提出、承諾、進行或索要任何賄賂，掩蓋或僞造礦産原産地，虛報礦産開(kāi)采、貿易、處理、運輸、出口等活動應向政府繳納的稅收、費(fèi)用和特許開(kāi)采費(fèi)而行賄等行爲。

1. Bribery offering and accepting, and fraudulent misrepresentation: behaviors such as putting forward, promising, offering and demanding any bribe, covering up or forging the origin of minerals, and bribery offering due to false statements on taxes, fees and royalties payable to the government for mineral mining, trade, processing, transportation, export and other activities.

2. 如果我(wǒ)(wǒ)們确定上遊供應商(shāng)存在行賄、受賄、或欺詐性誤報或上遊供應商(shāng)觸犯上述任何一(yī)條，我(wǒ)(wǒ)們将立即暫時停止或中(zhōng)斷與該供應商(shāng)的合作。

2. In case of bribery offering, bribery accepting, or fraudulent misrepresentation of the upstream suppliers, or violation against any above items of the upstream supplier, we will immediately suspend or interrupt the cooperation with the supplier.

四、關于洗錢、反恐怖主義融資(zī)

IV. On money laundering and anti-terrorist financing

1. 洗錢、反恐怖主義融資(zī)：存在因開(kāi)采、貿易、處理、運輸或出口在礦址入口、運輸路線沿線、或上遊供應商(shāng)礦産交易地進行非法征稅或勒索而得的礦産所引起或與之相關的洗錢風險貨恐怖主義融資(zī)。

1. Money laundering and anti-terrorist financing: money laundering risks and terrorist financing arising from or related to the mining, trade, processing, transportation or export of minerals obtained from illegal taxation or extortion at the entrance of the mining site, along the transportation routes, or at the mineral trading placesof the upstream supplier.

2. 如果我(wǒ)(wǒ)們确定上遊供應商(shāng)存在洗錢、反恐怖主義融資(zī)的風險，我(wǒ)(wǒ)們将立即終止與該供應商(shāng)的合作。

2. In case of any risks of money laundering and anti-terrorist financing of the upstream suppliers, we will immediately terminate the cooperation with the supplier.

五、在受沖突影響和高風險地區的礦産開(kāi)采、貿易和出口方面，不遵守應向政府繳納的稅收、特許權使用管理費(fèi)

V. On incompliance with taxes and royalties and management fees payable to the government in terms of mining, trade and export of minerals in conflict-affected and high-risk areas

1.上遊供應商(shāng)或礦區未向政府支付所有與受沖突影響和高風險區域礦石開(kāi)采、貿易、出口相關的合法稅收、費(fèi)用和特許費(fèi)，并且沒有根據上遊供應商(shāng)在供應鏈上所處位置依照《采掘行業透明度行動計劃》（EITI）中(zhōng)的各項原則對此類支付進行有效披露。

1. The upstream supplier or mining area has not paid all the legal taxes, fees and royalties related to the mining, trade and export of minerals in the conflict-affected and high-risk areas to the government, and has not effectively disclosed such payments according to the principles of the Extractive Industries Transparency Initiative (EITI) based on the location of the upstream supplier in the supply chain.

2.如果我(wǒ)(wǒ)們确定上遊供應商(shāng)沒有繳納在受沖突影響和高風險區域想的合法稅收、費(fèi)用和特續費(fèi)并且沒有根據《采掘業行業透明度行動計劃》（EITI)中(zhōng)的各項原則對此類支付進行披露的，我(wǒ)(wǒ)們将立即暫時停止或中(zhōng)斷與該上遊供應商(shāng)的合作（本公司會定期（季度）更新關于EITI相關國家的名單内容，确保相關國家名單無誤）。

2. If we determine that the upstream supplier has not paid the legal taxes, fees and royalties in the conflict-affected and high-risk areas and has not disclosed such payments in accordance with the principles of the Extractive Industries Transparency Initiative (EITI), we will immediately suspend or discontinue the cooperation with the upstream supplier (the Company will regularly (quarterly) update the list of EITI related countries to ensure that the list of relevant countries is correct).

六、對于開(kāi)采金和銀供應鏈中(zhōng)的環境、社會責任和治理的風險：

VI. On risks of environment, social responsibility and governance in gold and silver mining supply chain:

1.環境：對空氣、水、土地污染、開(kāi)采黃和銀開(kāi)采黃金源于世界遺産遺址或國内自然生(shēng)态保護區、危險化學品（包括汞和氰化物(wù)）

1. Environment: pollution of air, water and land, gold and silver mining from world heritage sites or domestic natural ecological preservation area, and hazardous chemicals (including mercury and cyanide)

2.勞工(gōng)：包括薪酬、工(gōng)作時間、集體(tǐ)談判、歧視、多樣性、糾紛和工(gōng)人權益保障。

2. Labor: including compensation, working hours, collective bargaining, discrimination, diversity, disputes and protection of workers’ rights and interests.

3. 社區參與和管理方案(土地征用和社區重新安置、文化遺産地和土著人民、關閉規劃和保護弱勢群體(tǐ))。

3. Community participation and management scheme (land acquisition and community resettlement, cultural heritage sites and indigenous peoples, closure planning and protection of vulnerable groups).

4. 管理商(shāng)業誠信和道德行爲，并支持實施相關倡議(如采掘業透明度倡議(EITI))

4. Management of business integrity and ethical behavior, and support for the implementation of relevant initiatives (such as the Extractive Industries Transparency Initiative (EITI))

如果我(wǒ)(wǒ)們确定上遊供應商(shāng)觸犯上述任何一(yī)條，我(wǒ)(wǒ)們将立即暫停或中(zhōng)止與此供應商(shāng)的交易和接洽。

If we determine that the upstream supplier violates any of the above, we will immediately suspend or discontinue the transaction and connection with such supplier.

七、不以任何方式向個人，包括政府官員(yuán)、客戶、和供應商(shāng)或任何其他組織提出、承諾、給予或要求賄賂或回扣。

VII. It is forbidden to offer, promise, give or request bribes or kickbacks to individuals, including government officials, customers, suppliers or any other organizations in any way.

八、要求我(wǒ)(wǒ)們的員(yuán)工(gōng)、供應商(shāng)和商(shāng)業夥伴遵守上述政策，并采取必要措施來保障上述政策的貫徹落實。

VIII. Our employees, suppliers and business partners are required to comply with the above policies and take necessary measures to ensure the implementation of the above policies.

爲了支持并确保風險的評估和識别，公司設立了合規總監、合規風險官、合規專員(yuán)并明确定義了各個部門的職責。定義給員(yuán)工(gōng)提供了培訓以确保工(gōng)作的正常開(kāi)展。同時，建立了供應商(shāng)調查程序了解供應鏈和供應商(shāng)，以進行充分(fēn)的風險識别和評估，相關的程序和執行文件均被有效保存。

In order to support and ensure the risk assessment and identification, the Company has set up the compliance director, compliance risk officer and compliance specialist, and clearly defined the responsibilities of each department. The implementation of definition provides training for employees to ensure that work is carried out properly. In addition, the supplier investigation procedure has been established to understand the supply chain and suppliers, so as to conduct sufficient risk identification and assessment, and relevant procedures and execution documents have been effectively kept.

Our company is open to the supervision of customers and relevant organizations, and welcomes suggestions from suppliers and the interested party on the above policies.

聯系電(diàn)話(huà)：0755-25683238/0755-29500999

Contact phone number: 0755-25683238/0755-29500999

聯系郵箱：478152938@qq.com

Contact email: 478152938@qq.com

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