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萬洋集團2021年度LBMA白銀合規報告
日期:2022-3-31 9:04:06  作者:趙海霞  來源:


JIYUAN WANYANG SMELTERY GROUP CO., LTD.
LBMA RSG
2021 Refiner’s Compliance Report
(Published in January 2022)
濟源市萬洋冶煉(集團)有限公司
2021年度精煉廠合規報告

(2021/01/01-2021/12/31)


為了符合《倫敦金銀市場協會負責任的白銀指南》的要求,我司通過建立強大的管理體系,采用供應鏈盡職調查方法對所有供應商進行風險識別和評估,制定了高風險供應鏈的管理策略,確保供應鏈風險在可接受范圍內,并通過獨立的第三方審計的方式,確保本公司的白銀供應鏈完全符合LBMA負責任白銀指南的要求。

In order to meet the requirements of the London Bullion Market Association's Responsible Silver Guide, our company has established a strong management system and using supply chain due diligence methods to identify and evaluate risks for all suppliers, established a high-risk supply chain management strategy to ensure that supply chain risks are within acceptable limits, and through independent third-party audits, make sure that the company’s silver supply chain fully meets the requirements of the LBMA Responsible Silver Guidelines.


本報告總結了濟源市萬洋冶煉(集團)有限公司2021年內(2021年1月1日-2021年12月31日)對《倫敦金銀市場協會負責任的白銀指南》要求的遵守情況。

This report summarizes the compliance of JIYUAN WANYANG SMELTERY GROUP CO., LTD. in the fiscal year 2019 (January 1, 2019-December 31, 2019) with the requirements of the < London Bullion Market Association Responsible Silver Guide >.

Company Name:

濟源市萬洋冶煉(集團)有限公司

JIYUAN WANYANG SMELTERY GROUP CO., LTD.

Location:


Reporting year-end:

December 31th, 2021

Date of Report

JANAUARY 31th , 2022

Senior management responsible for this report

Mr. Liwenzhong/Compliance Director


公司概況

Company Overview

濟源市萬洋冶煉(集團)有限公司,始建于1995年,位于思禮鎮萬洋大道,注冊資金2.8億元,總資產60億元,涉及有色冶煉、新能源、綜合回收、金銀制品、珠寶首飾、健康產業、化工、物流運輸等領域。2011年至今榮膺“中國民營企業500強”,2021年實現銷售收入310億元。

公司致力于發展綠色經濟、循環經濟。建立了省級科研中心,培養了專業研發團隊,獲得國家專利20余項!暗状等蹮-熔融還原-富氧揮發連續煉鉛新技術及產業化應用”項目獲國家科技進步獎二等獎;硒產品應用與研究實驗室獲得“河南省新型研發機構”稱號;“萬洋”牌鉛酸電池以其過硬的產品質量和良好的口碑被譽為動力電池行業的一匹“黑馬”,獲得了客戶的一致認可。

公司形成了4條循環經濟產業鏈條:以電解鉛為依托發展合金鉛、蓄電池等產品;以貴金屬回收為依托發展金銀首飾等產品;以硫酸為依托發展復合肥、石膏板等產品;以有機硒為依托發展保健、美妝、醫療產品。

Jiyuan Wanyang Smelting Group Co., Ltd., founded in 1995, located in Wanyang Avenue, Sili Town, with a registered capital of 280 million yuan and total assets of 6 billion yuan. Wehave the business of metal refining, new energy, Jewelry, health industry, chemical industry, logistics and transportation. Since 2011, it has been honored as one of the "Top 500 Private Enterprises in China", and achieved sales revenue of3.1 billion yuan in 2021.

The company is committed to the development of green economy and circular economy. We have established a provincial scientific research center, trained a professional R & D team, and obtained more than 20 national patents.

"Bottom blowing smelting-smelting reduction-oxygen-rich volatile continuous lead smelting new technology and industrial application" project won the second prize of National Science and Technology Progress Award; Selenium product application and research laboratory won the title of "Henan Province's new research and development institution"; "Wang Yang" brand lead-acid battery is known as a "dark horse" in the power battery industry for its excellent product quality and good reputation, and has been recognized by customers.

The company has formed 4 circular economy industrial chains: based on electrolytic lead to develop alloy lead, battery and other products; based on precious metal recycling to develop gold and silver jewelry and other products; based on sulfuric acid to develop compound fertilizer, gypsum board and other products; Selenium is based on the development of health care, beauty and medical products.

第一步:建立強大的公司管理體系

Step 1: Establish strong company management systems

合規聲明

我們完全符合第一步:建立強大的管理體系

Compliance Statement with Requirement:

We have fully with Step 1: Establish strong management systems.

公司政策Company Policy

合規陳述:

公司于2019年3月3日發布了《LBMA負責任白銀供應鏈盡職調查管理體系》,該政策符合經合組織《來自受沖突影響和高風險地區的礦石負責任供應鏈盡職調查指南》附件II 中規定,更新于2020年12月5日。體系中規定了白銀供應鏈盡職調查政策、內部的組織構架及責任、盡職調查流程、白銀供應鏈的風險識別方法、評判標準以及管理策略,此外還規定了白銀供應鏈盡職調查培訓培訓、供應鏈追溯系統、記錄的保存期限、交易監控等事宜。根據體系要求,制定了《風險評估方法和評價表》、《緩解策略》等文件。

2021年度,我司嚴格按照體系要求完成所有白銀供應商盡職調查,并進行風險識別和評估,有效的管控了白銀供應鏈的風險。

我司的白銀供應鏈盡職調查政策嚴格禁止白銀供應商有如下行為:

1.人權侵犯行為,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重反人權強迫勞動、戰爭罪、反人類罪或種族滅絕罪;

2.向非法武裝組織或向通過供應鏈非法控制礦區、交易商、其他中介機構、運輸線路的公共或私人安全部隊提供直接或間接支持,或在整個供應鏈內非法征稅或敲詐錢財或礦產品(“非法武裝組織、公共或私人安全部隊”);

3.通過賄賂或欺詐掩蓋白銀原產地;

4.為遵照政府有關來自受沖突及高風險區域的礦產品的提取、貿易及出口稅費要求;

5.洗錢或恐怖主義融資;

6.資助沖突;

7.從事高風險經營業務,例如武器、賭博、古董和藝術品、教派和其領導人;

8.受益人是政治敏感人物或通緝人員;

同時,公司也將該政策發布在官方網站上,網址為http://www.missingthemovie.com/content/?438.html

Compliance statement:

The company has established the "LBMA Responsible Silver Supply Chain Due Diligence Management System" on March 3rd, 2019, updated on December 5th, 2019,which is consistent with the model set out in Annex II ofOECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. The system included the silver supply chain due diligence policy, internal organizational structure and responsibilities, due diligence process, and silver supply chain risks Identification methods, evaluation criteria, and management strategies. In addition, it also stipulates the silver supply chain due diligence training, supply chain traceability system, record retention period, transaction monitoring and other matters.

According to the system requirements, documents were generated such as "Risk Assessment Method and Evaluation Form" and "Action Strategy".

In 2021, our company completed the due diligence of all silver suppliers in strict accordance with the requirements of the system, and conducted risk identification and evaluation to effectively control the risks of the silver supply chain.

Our silver supply chain due diligence policy strictly prohibits silver suppliers from doing the following:

All Silver-bearing minerals provided to your company are legitimate (the silver bars purchased from your company are used for legal purposes), which does not involve the following situations:

1. Systematic or widespread human rights abuses associated with the extraction, transport or trade of silver, including worst forms of child labor, any forms of torture, inhuman and degrading treatments, widespread sexual violence or other gross human rights violation forced or compulsory labor, war crimes, crimes against humanity or genocide;

2. Direct or indirect support to illegitimate non-state armed groups, public or private security forces which illegally control mines sites, traders, others intermediaries, transport routes through the supply chains or illegally tax or extort money or minerals through the supply chains;

3. Bribery and fraudulent misrepresentation of the origin of silver;

4. Non-compliance with taxes, fees and royalties due to Governments related to mineral extraction, trade and export from conflict affected and high-risk areas;

5. Money laundering or terrorism financing;

6. Contribution to conflict;

7. Higher-risk business activity such as arms, gaming and casino industry, antiques and art, sects and their leaders;

8. Upstream companies or their beneficial owners with significant influence are PEPs;

At the same time, the company also posted the policy on the official website athttp://www.missingthemovie.com/content/?438.html

管理架構Internal management structure

合規陳述:

根據體系要求,我們設立了專門的管理團隊,包括一名合規總監、兩名合規經理以及若干名合規組成員,并明確了所有人的職責。

合規總監:公司授權的高級管理者副總經理李文中,李文中副總自我公司建廠以來一直為我公司重要董事,且負責公司經營管理工作,對經營管理有著豐富的理論知識和實操經驗。對外根據我公司原料采購政策和公司的生產、財務以及銷售情況等實際情況需要負責審批與供應商合作合同的簽訂(包括是否與高風險供應商合作的合同簽訂),并負責對供應商進行審查相關事宜。對內高級管理者根據LBMA負責任的白銀指南文件,對相關員工進行培訓,使相關負責人清楚的理解這一體系的目的和意義,明白自己在盡職調查政策實施中的職責,并半年組織培訓重溫相關內容。

合規經理(盧冬冬、胡丹丹):協助高級管理人員全面負責白銀供應鏈盡職調查事務,對白銀供應鏈上的所有事情負責,確保在高風險供應鏈或交易時采取了恰當的措施,提交風險評估報告。并有義務就責任供應鏈方面進行培訓,起草和更新白銀供應鏈政策,為高級管理者履責提供準確的信息。

原材料采購中心、國際業務中心,確保礦粉、原材料供應的長期性、穩定性、安全性,并拒絕與高風險地區的相關企業、組織或國家合作。

質檢中心對采購含銀原料進行過磅稱重,化驗;生產處負責原料的出入庫記錄;貴金屬事業部負責對產出銀錠進行稱重、打標記錄,車間組織投料生產并做好投料記錄和產出銀錠記錄,在生產過程中采用封閉式流程,確保白銀生產加工的安全性與可追溯性。

生產運營部負責與原料采購中心結合,保證含銀原料接收的準確性,貴金屬事業部負責對白銀銷售前的數量的統計,保證白銀實物出廠的安全性。

營銷中心需對交貨人身份信息進行確認,并在交易過程中,采用監督機制確保交易的安全性,保證公司不參與恐怖主義融資。

2021年度,管理團隊嚴格按照體系文件要求對所有白銀供應商進行了盡職調查,合規經理對所有調查結果進行了監督和審核,確保所有含銀物料供應商在合作前都滿足LBMA要求并得到合規總監的批準。

Compliance statement:

According to the system requirements, we have set up a special management team, including a compliance director, a compliance specialist, and several compliance team members,their responsibilities were defined.

Compliance Director: LiWenzhong, the deputy general manager of the company, authorized as compliance director, is responsible for approving the signing of the cooperation contract with the supplier (including whether it is with high risk) and is responsible for reviewing related matters of the supplier due diligence. Internal senior managers train relevant employees in accordance with the LBMA responsible silver guide document, so that relevant responsible persons clearly understand the purpose and significance of this system, understand their responsibilities in the implementation of due diligence policy, and organize training for half a year for review the requirement. Mr. Li Wenzhong is director of the company since the establishment and is responsible for the business management of the company, he isrich in professional knowledge of business management with solid foundation and practicalexperience. 

ComplianceManager (Mr. Lu Dongdong, Ms. Hu Dandan): Assist senior management personnel to be fully responsible for the due diligence of the silver supply chain, to be responsible for all matters in the silver supply chain, to ensure that appropriate measures are taken in high-risk supply chains or transactions, and to submit risk assessment reports. It is also obliged to train responsible supply chains, draft and update silver supply chain policies, and provide accurate information for senior managers to perform their duties.

The Raw Materials procurement center (domestic & overseas) are responsible for purchasing raw materials, ensuring the long-term, stability, and safety of the supply of mineral powder and raw materials, and refusing to cooperate with relevant companies, organizations, or countries in high-risk areas.

The quality inspection center weighs and tests the purchased silver-bearing raw materials; the Precious metals department is responsible for the storage and entry records of the raw materials; and the weighing and marking records of the output silver ingots, and the workshop organizes the input production and makes the input records and the output of silver ingot records adopts a closed process in the production process to ensure the safety and traceability of silver production and processing.

The production department is responsible for combining with the raw materials department to ensure the accuracy of receiving silver-bearing raw materials. the Precious metals department is responsible for the statistics of the amount of silver before sales to ensure the safety of the physical delivery of silver.

The sales center needs to confirm the identity information of the delivery person, and in the transaction process, use a monitoring mechanism to ensure the security of the transaction and ensure that the company does not participate in terrorist financing.

In 2021, the management team conducted due diligence on all silver suppliers in strict accordance with the requirements of the system. The compliance officer and the compliance director supervised and reviewed all the investigation results to ensure that all silver-bearing suppliers met the LBMA before cooperation and obtained the approval by the compliance director.

可追溯系統和其他供應鏈參與者的識別Traceability and identification of other supply chain actors

合規陳述:

公司根據管理體系要求,確定了供應鏈追溯體系,在業務過程中,收集和保存所有供應商提供的信息,包括合同評審表、合同文本、結算方式、運輸過程、重量和檢驗報告、生產日期、入庫時間等。

根據保留的所有記錄,可以完成從成品追溯到原料、從原料追溯到成品,并能追溯每個供應商每批產品的采購合同,根據合同內容可以追溯包括貴金屬類型、采購重量、分析報告以及相關盡職調查文件等信息。

Compliance statement:

The company has developed a supply chain traceability system in accordance with the requirements of management system. During the business process, it collects and saves all information provided by suppliers, including contract review forms, contract texts, settlement methods, transportation processes, weight and analysis report, production date, storage time, etc.

According to all the records kept, traceability can be completed from finished product to raw materials, from raw materials to finished products, and can be traced to the purchase contract of each supplier and each batch of products. According to the content of the contract, the traceability includes the type of precious metal, purchase weight, analysis report and related information such as due diligence documents.

培訓Training

合規陳述:

公司定期組織所有關于白銀相關部門進行培訓,2021年度共計進行了兩次培訓。

1. 2021年3月12日,LBMA負責任白銀供應鏈盡職調查表

2. 2021年10月25日,白銀供應鏈風險減緩管理辦法

培訓后進行了效果評價,并且保留培訓記錄。

Compliance statement:

The company regularly organizes silver relevant departments to carry out the training, and twice training was performed in 2021.

1.May 12th , 2021, Supply ChainDueDiligenceForm inLBMA Responsible Silver Supply Chain Due Diligence Management System

2.October  25rd, 2021, Silver supply chain risk mitigation management measures;

After the training, the effectiveness evaluation was carried out and the training records were kept.

記錄保留Recordskeeping

合規陳述:

根據公司<白銀供應鏈盡職調查管理體系>要求,所有供應商相關文檔,包括盡職調查文件、風險評估表、合規文件、合同文本、檢驗記錄以及出入庫記錄等均至少保存五年。

Compliance statement:

According to the managementsystemrequirements, all supplier-related documents, including due diligence documents, risk assessment forms, compliance documents, contract texts, inspection records, and warehouse records are kept for at least five years.

交易付款和交易監控TransactionPayment & Monitoring

合規陳述:

公司所有業務均通過官方銀行渠道收款和付款,沒有任何現金交易。國外進口產品結算是通過信用證付款,國內是通過銀行轉賬付款。

根據管理體系要求,我們對每批白銀產品都進行交易監督,保留相關付款憑證。合規專員負責交易監控工作,對不符或以任何形式疑似不符的交易背景進行檢查,并書面確認調查結果,報告給合規總監。此外,我們與當地政府建立了反洗錢合作關系,任何洗錢行為我們都會第一時間通知政府,并配合政府進行洗錢調查。2021年度的交易全部采用銀行轉帳方式,未出現異,F象。

Compliance statement:

All the company's businesses receive and pay through official bank channels without any cash transactions. Foreign imported products is paid by letter of credit, and domestic payment is made by bank transfer.

According to the requirements of the management system, we conduct transaction supervision on each batch of silver products and retain the relevant payment vouchers. The Compliance Specialist is responsible for transaction monitoring, checks the background of transactions that do not match or is suspected of being inconsistent in any form, confirms the investigation results in writing, and reports to the Compliance Director. In addition, we have established an anti-money laundering cooperation relationship with the local government. We will notify the government of any money laundering actions as soon as possible and cooperate with the government in conducting money laundering investigations. All transactions in 2021 were conducted by bank transfer, no abnormalities occurred.

交易方互動,并協助交易方建立盡職調查能力Engagement with silver supplying counterparties, and where possible, assisted silver supplying counterparties in building due diligence capabilities

合規陳述:

根據管理體系的要求,在對供應商風險評估時,與供應商簽訂合同前,我司業務人員依據公司的合規要求,與所有白銀供應商簽署《LBMA合規承諾書》,以確保他們了解公司LBMA管理的要求和供應鏈政策。在承諾書中,白銀供應商應以書面形式承諾并承認,不存在與礦產開采、運輸或貿易有關的嚴重侵犯人權行為,沒有直接或間接支持非國家武裝組織,沒有直接或間接支持公共或私人安全部隊,沒有賄賂或虛假誤報礦產來源,沒有洗錢。此外,還向政府支付與受沖突影響地區和高風險地區的礦產開采、貿易和出口有關的稅費和特許權使用費。

2021年度簽約的所有供應商均簽署了相關的承諾書。

Compliance statement:

According to the requirements of the management system, during the supplier risk assessment, before signing the contract with the supplier, our business personnel has signed the "LBMA Compliance Commitment" with all silver suppliers according to the company's compliance requirements to ensure that they understand our company’s LBMA management requirements and supply chain management policies. In the commitment, the silver supplier shall commit in writing documents with signature and stamp that there are no serious human rights violations related to mineral extraction, transportation or trade, no direct or indirect support for non-state armed organizations, and no direct or indirect support for public or private security forces, no bribe or falsely misreport mineral sources, and no launder money. In addition, the government is also paid taxes and royalties related to mineral extraction, trade and export in conflict-affected areas and high-risk areas.

All suppliers signed in 2021 signed relevant commitments.

溝通和申訴機制Communication&Complaint mechanism

合規陳述:

公司建立了申訴機制,并且申訴機制在含銀物料采購過程中均向供應商進行了必要的溝通,內外部利益相關方可以匿名舉報有關白銀交易過程中的違規行為。工廠設立了意見箱,作為內部員工的舉報途徑,并由相關人員定期開箱檢查匯總舉報內容。2021年度沒有舉報事件發生。

此外,公司也制定了保護舉報人制度,防止對舉報人進行打擊報復,有效保護舉報人的權益。

The company has established a grievance mechanism, and the grievance mechanism is carried out with suppliers during the procurement of silver-bearing materials, internal and external stakeholders can anonymously report violations in the silver transaction process. The factory has set up a suggestion box as a way for internal employees to report, and related personnel regularly open the box to check and summarize the content of the report. There was no reporting in the year of 2021.

In addition, the company has also established a whistleblower protection system to prevent retaliation against whistleblowers and effectively protect the rights of whistleblowers.

第二步:識別和評估供應鏈風險

Step 2: Identify and assess risks in the supply chain

合規聲明

我們完全符合第二步:識別和評估供應鏈風險

Compliance Statement with Requirement:

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

供應鏈風險識別Identify risks in the supply chain

合規陳述:

對于開采白銀和回收白銀,精煉商應根據經合組織《受沖突影響和高風險地區礦產負責任供應鏈盡職調查指南》附件II,識別從產地到精煉廠的以下供應鏈相關風險,包括:

•與白銀的開采、運輸或貿易相關的系統性或廣泛性的侵犯人權行為,包括最惡劣形式的童工、

任何形式的酷刑、不人道和有辱人格的對待、廣泛的性暴力或其他嚴重侵犯人權的強迫或強制

勞動、戰爭犯罪、危害人類罪和種族滅絕罪;

•直接或間接支持非法非國家武裝團體、非法控制礦場的公共或私人安全部隊、貿易商、其他中

間人、通過供應鏈的運輸路線或通過供應鏈非法征稅或敲詐金錢或礦物(“非法非國家武裝團

體、公共或私人安全部隊”);

•白銀資源賄賂和欺詐性誤報

•在受沖突影響和高風險地區的礦產開采、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;

•洗錢或恐怖組織融資;

•助長沖突

Compliance statement:

Whether for mined silver or recovered silver, the Company identifiesbelow supply chainrisks from the origin to the refinery instrictaccordance with the regulations of Appendix IItoOECD Guidelines on Due Diligence in the Supply Chain of Minerals Liability in Conflict-Affected Areas and High-Risk Areas, include:

- Systematic or widespread human rights abuses associated with the extraction, transport or trade ofsilver, including worst forms of child labor, any forms of torture, inhuman and degrading treatments, widespread sexual violence or other gross human rights violation forced or compulsory labor, war crimes, crimes against humanity or genocide;

- Direct or indirect support to illegitimate non-state armed groups, public or private security forces which illegally control mines sites, traders, others intermediaries, transport routes through the supply chains or illegally tax or extort money or minerals through the supply chains;

- Bribery and fraudulent misrepresentation of the origin ofsilver;

- Non-compliance with taxes, fees and royalties due to Governments related to mineral extraction, trade and export from conflict affected and high-risk areas;

- Money laundering or terrorism financing;

- Contribution to conflict;

供應鏈風險評估 Risk assessment in the supply chain

合規陳述:

管理體系中規定了供應商風險識別方法,涵蓋了含銀物料從原產地到精煉廠的所有風險,通過《供應商盡職調查表》進行風險識別,識別方法包括,建立供應鏈客戶檔案,包括:企業名稱、法定代表人、地址、聯系方式、營運方式、生產方式、交易合同等;對既有供應鏈客戶需定期進行核查,如有新建或變更的客戶,需及時對其進行檔案資料檢查,保持檔案資料庫處于最新狀態;識別每一客戶、企業和企業收益所有人,使用可靠的獨立來源文件、數據或者信息來驗證其身份;確定供應鏈中每一客戶、企業和企業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;定期獲取供應鏈客戶商業和財務方面的詳細情況、從事白銀交易目的及商業運作情況。

Compliance statement:

The management system specifies the supplier risk identification method, covering all risks of silver-bearing materials from the origin to the refinery. Risks are identified through the "Supplier Due Diligence Form", identification method including, Establishing supply chain customer files, including: company name, legal representative, address, contact information, operation method, production method, transaction contract, etc.; Existing supply chain customers need to be checked regularly. If there are new or any changed, we need to check their archives in time to keep the archives database up to date. Identify each customer, business and business owner, and use reliable independent source documents, data or information to verify their identity. Make sure that every customer, business and business owner in the supply chain is not on any government money laundering, fraud or terrorism wanted list. Regularly obtain the commercial and financial details of customers in the supply chain, the purpose of engaging in silver transactions, and the status of commercial operations.

1風險評估結果分為兩種,高風險和非高風險。

在與供應商業務關系建成之前,業務部門需要填寫《白銀供應鏈盡職調查表》,依據管理體系要求針對所有含銀原料新客戶和老客戶進行評估,我司全部含銀原料均為礦產銀和陽極板:礦產銀供應商需要提供營業執照、采礦許可證、承諾書、盡職調查表、運輸方式以及受益人相關調查內容;陽極板供應商需要提供營業執照、含銀物料原產地證明、承諾書、盡職調查表、運輸方式以及受益人相關調查內容。

對于高風險礦產供應商,我們將暫停交易,封存該供應商所有產品并立即進行強化盡職調查,因疫情原因,我們委托供應鏈上的白銀交易商進行盡職調查。對于大規模開采的白銀:使用可信的獨立來源的文件、數據和信息來核實情況,從礦山到精煉廠,供應鏈中的每一家企業(包括白銀生產商、中間商、白銀交易商、出口商和運輸商)的收益所有人和政府監控名單信息都要求要核實。對于手工或小型礦開采的白銀(ASM):使用可靠的獨立來源的文件、數據和信息來核實情況,從白銀出口商到精煉廠,供應鏈中的每一家企業(包括國際白銀交易商和運輸商)的收益所有人和政府監控名單信息都要求要核實。

最后,根據搜集的信息和供應鏈風險識別的結果,對每個供應商進行單獨的風險評估,填寫風險評估表,由負責評估的合規總監簽字,并填寫最終評估日期。

2021年我們共計完成了50家礦產白銀供應商的盡職調查,其中40家供應商來自于國內(湖南省、河南省、新疆、甘肅省、拉薩市、成都市、浙江省、江西省、安徽省、貴州省、湖北省等),10家來自于國外(秘魯、墨西哥、俄羅斯、澳大利亞等);根據風險評估結果,有48家為非高風險地區供應商,2家為高風險供應商。

(原產地均為墨西哥,根據審計要求,已完成盡職調查,一是委托白銀交易商了解該礦山的生產經營情況、經營方針。二是收集企業的相關材料、道德與商業行為的規范、礦山生產概況、社會責任和環境保護等相關制度,通過整改該項已關閉。)

Compliance statement:

There are two types of risk assessment results, high-risk and non-high-risk.

Before the business relationship with the supplier is established, the business department needs to fill out the "Silver Supply Chain Due Diligence Form" and evaluate all new and old customers’ silver-bearing raw materials according to the requirements of the management system.Our silver-bearing raw materials are mineral silver and Anode plates: Mineral silver suppliers are required to provide business licenses, mining licenses, commitments, due diligence forms, transportation methods, and beneficiary-related investigations; anode plate suppliers are required to provide business licenses, certificates of origin for silver-containing materials, and commitment, due diligence questionnaires, transportation methods, and beneficiary-related investigations.

For high-risk mining suppliers, we will suspend trading, seal all products of this supplier and immediately conduct enhanced due diligence, as follows: On-site inspections or visits to high-risk supply chains to verify whether the documents and records of the due diligence results of the supply chain are true.Because of the epidemic situation, we commissioned the silver dealers in the supply chain to conduct investigation.For large-scale mining of silver and : use credible independent sources of documents, data and information to verify the situation, from mines to refineries, every company in the supply chain (including  and silver producers, middlemen, &Silver traders, exporters, and transporters) are required to verify the information of their owners and government watch list. For artisanal or small-scale mining of  and silver (ASM): use reliable independent source files, data and information to verify the situation, from  and silver exporters to refineries, every company in the supply chain (including international &Silver dealers and transporters) are required to verify the information of their owners and government watch list.

Finally, based on the collected information and the results of supply chain risk identification, a separate risk assessment is performed for each supplier, a risk assessment form is filled out, signed by the compliance director responsible for the assessment, and record the assessment date.

In  2021, we completed a due diligence survey on50 mineral silver suppliers. Among them, the40 suppliers are from China(Include Hunan Province, Henan Province, Xinjiang, Gansu Province, Lasa City, Chengdu City, Zhejiang Province, Jiangxi Province, Anhui Province, Guizhou Province and Hubei Province) and the10 suppliers are from abroad (Peru, Mexico, Russia, Australia, etc).The48 suppliers are non-high-risk suppliers,2suppliers are high-risk suppliers. (Origin is from Mexico,according to the audit requirements,due diligence has been conduct oncustomer. First ,the silver dealer is entrusted to understand the mine's production and operation . Second, collect the company’s relevant materials , ethics and business conduct regulations, social responsibility and environmental protection and other related systems, and to rectify the closed.)

交易監測Transaction monitoring

合規陳述:

精煉廠應對在建立關系的過程中所作的交易開展適當的審查和監測,以確保交易與精煉商對供應鏈和風

險狀況的了解一致。交易監測應采用基于風險的方法進行。

關于此點,精煉廠應接收并記錄收到的每批次的以下信息:

開采白銀:

• 估計重量和分析結果(來自交易對方);

•裝運/運輸文件(貨運單/空運單、形式發票(如可行));

•高風險交易的進出口表格(如可行);

•參考供應鏈盡職調查文件。

精煉商應基于盡職調查結果驗證文件和材料是否相互一致,以及是否了解供應鏈。精煉商需驗證收到的裝貨與裝運/運輸文件是否相符。應檢查不一致或檢查在任何方面可疑的交易背景,并以書面形式確定調查結果以及向合規部報告。在不一致的問題得到解決前,白銀應按照本指南第3步的要求接受物理隔離和保護。應向有關當局報告這些調查結果(如可行)。

Compliance statement:

The situation of all trades is under the supervision of the Company to ensure that the trade is consistent with supply chain investigation. Trade monitoring is based on risks methods.

The refinery should collect and record below information for each batch of silver-bearing materials:

For mined silver:

- Estimated weight and assay( from trade counterpart)

- Shipping/transportation documents(transportation bill/Airway bill,proforma invoice(ifapplicable);

- Import/export form of high risk trade( if applicable)

- Supply chain due diligent documents.

Refinery should verify documents and materials are the same base on due diligence and know the supply chain. Refinery should verify if the received material is consistent with transportation documents.Any inconsistent or suspicious trade should be identified in written theinvestigation outcome and report to compliance department.Before resolved, the material should be isolated and protected as per the Step 3 of LBMA RSG.Should report to relative authorities the investigation outcome(if applicable).

風險評估結果的匯報Report risk assessment to the designated manager

合規陳述:

合規經理每年代表高級管理團隊向合規總監和最高管理層提供一份評論報告。高級管理層保留對白銀供應鏈的最終控制權和責任。如果高風險供應商,必須得到最高管理層的批準,并立即停止合作。

Compliance statement:

The ComplianceManager provides a commentary report to compliance director and senior management on ayearly basis, Senior management retains the ultimate control and responsibility for the silver supply chain, if any high risk suppliers, it must be approved by senior management and stop the business immediately.

第三步:對已識別的風險實施管理策略

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

合規聲明:

我們完全符合第三步:設計和實施一項管理策略應對已識別的風險

Compliance Statement with Requirement:

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

針對已識別的風險實施一項風險管理策略a strategy for risk management of an identified risk

合規陳述:

我司建立了文件化的《風險緩解策略》,合規官負責緩解策略的落實工作,主要通過以下方式進行風險管理:

高風險供應商:如果供應鏈盡職調查結果得出的結論是,存在洗錢、恐怖主義融資、嚴重的侵犯人權、直接或間接支持非法的政府武裝組織或通過欺詐誤導礦產品的原產地,我們將立即停止與該供應商交易,對已交易的貴金屬數量進行核實并封存,并上報至最高管理層。如果供應鏈盡職調查結果得出的結論是,可能存在洗錢、恐怖主義融資、嚴重的侵犯人權、直接或間接支持非法的政府武裝組織或通過欺詐誤導礦產品的原產地,我們將立即暫停與該供應商交易,對已交易的貴金屬數量進行核實并封存,對該供應商進行強化盡職調查,通過實地考察、委托有能力的第三方或有資質的人員對該供應商進行現場審核,出具審核報告,若現場審核的結果為高風險供應商,則停止交易并上報有關部門;若該供應商無重大風險且愿意配合整改,則監督該供應商在六個月內整改至滿足LBMA準則的要求,可以繼續進行交易。若在六個月內無法整改至滿足要求,則停止交易。如果盡職調查的結果無法充分滿足要求,不能為風險評估提供有效的證據,缺少相關資質證明,如營業執照、采礦許可證、進出口相關單據、貴金屬原產地、運輸方式等,則暫停與該供應商的交易,直至提供完整的資料并通過了風險評估。

非高風險供應商:不存在洗錢、恐怖主義融資、嚴重的侵犯人權、直接或間接支持非法的政府武裝組織或通過欺詐誤導礦產品的原產地等零容忍問題,并且提供了所有的相關盡職調查的資料,通過風險評估,結論為非高風險供應商,則繼續進行交易,并定期對其進行風險監控。

Compliance statement:

High-risk and non-high-risk supplier, If the results of the silver supply chain due diligence conclude that there is money laundering, terrorist financing, serious human rights violations, direct or indirect support to illegal government armed organizations, or misleading the origin of mineral products through fraud, we will immediately stop trading with this supplier, verify the amount of precious metals and sealing up them that have been traded, and report to the relevant departments. If the results of the supply chain due diligence conclude that there may be money laundering, terrorist financing, serious human rights violations, direct or indirect support to illegal government armed organizations, or misleading the origin of mineral products through fraud, we will immediately suspend with The supplier trades, verify the amount of precious metals and sealing up them that have been traded, strengthens the due diligence of the supplier, conducts an on-site audit of the supplier through on-site audit, authorize capable third parties or qualified personnel, issues an audit Report. If the result of the on-site audit is a high-risk supplier, stop trading and report to the relevant department; if the supplier has no critical risks and is willing to cooperate with the action, supervise the supplier to rectify within six months until to meet the requirements of the LBMA Code , then can continue the trading. If it cannot be verified to meet the requirements after six months, the trading will be stopped. If the results of the due diligence cannot fully meet the requirements and cannot provide valid evidence for risk assessment, lacking of relevant qualification certificates, such as business licenses, mining permits, import and export related documents, origin of precious metals, transportation methods, etc. Supplier trading will be suspended until complete documents are provided and a risk assessment is passed.

Non-high-risk suppliers: There are no zero tolerance issues such as money laundering, terrorist financing, serious human rights violations, direct or indirect support to illegal government armed organizations, or misleading the origin of mineral products through fraud and provide all relevant documents for due diligence and risk assessment, concluded as non-high-risk suppliers through risk assessment, will continue the trading and regularly monitor their risks.

量化措施,績效監督,重新評估以及定期匯報Measureable steps, monitoring of performance, periodic reassessment, regular reporting to designated senior management.

合規陳述:

量化手段和績效評估:根據《LBMA風險緩解策略》,如果盡職調查的結果處于低風險,但仍存在輕微不符合時,只要該公司在規定的時間范圍內采取了明確績效目標的改進策略,我們將繼續從其處獲取白銀原材料。如果白銀供應鏈盡職調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,直到其他信息或數據能證實其低風險。

根據2021年的盡職調查結果,盡管有2家高風險,但進行了風險緩解的管理策略。

定期重新評估與持續監控:1、每年,原料采購部門的合規專員組織人員收集供應商信息的所有變更情況,持續監控交易結果并進行年度供應鏈盡職調查重新評估,以決定是否繼續合作。2、采購的每一批次的白銀原料在運輸、出入庫、生產、付款過程都有合規專員的監控,其中出入庫必須有押運LBMA合規專員的簽字,付款必須有財務的LBMA合規專員的批準。

定期報告:每季度合規專員根據LBMA管理的實際情況,向合規總監和最高管理層提交匯報。報告本季度LBMA管理體系運行情況進行總結,提出不足及改進措施。

2021年,我司采取了量化的手段對供應商進行評分管理,對除新供應商外的所有供應商進行年度補充風險評估。合規總監已對評估結果進行審核。并且每季度向最高管理層提交了報告。

Compliance statement:

Measures steps and performance monitoring: According to the "LBMA Risk Mitigation Strategy", if the result of due diligence is at a low risk, but there is still a minor non-compliance, as long as the company adopts an improvement strategy with clear performance targets within the specified time frame, we will continue to obtain silver raw materials from them. If the due diligence information submitted by the silver supply chain is incomplete or unwilling to cooperate, it means that there is a high possibility of money laundering, terrorist financing, conflict promotion, and human rights violations. We will immediately stop obtaining silver raw materials from them. Until other information or data can confirm they have low risk status.

According to the results of the due diligence in 2021,although there are two high risks, the management strategy of risk mitigation has been carried out.

Regular re-evaluation and continuous monitoring: 1. Every year, the Compliance officer of the raw material procurement department organizes personnel to collect all changes in supplier information, continuously monitor the transaction results and conduct an annual supply chain due diligence re-evaluation to decide whether to continue cooperation. 2. Each batch of purchased silver raw materials is monitored by a compliance officer during the transportation, storage, production, and payment process. Among them, the deposit and withdrawal must be signed by the escort LBMA compliance officer, and the payment must have financial LBMA compliance officer's approval.

Periodic report: Every quarter, the compliance officer submits reports to the compliance director and top management according to the actual situation of LBMA management. The report summarizes the quarterly operation of the LBMA management system, proposes deficiencies and improvement measures.

In 2021, our company took a quantitative approach to score management of suppliers, and conducted an annual supplementary risk assessment of all suppliers except new ones. The compliance director has reviewed the evaluation results. And every quarter to submit a report to the top management.

第四步:安排獨立的第三方審計

Step 4: Arrange for an independent third-party audit of the supply chain due diligence

合規聲明:

我們完全符合第四步:安排獨立的第三方審計

Compliance Statement with Requirement:

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

合規陳述:

上一次審計時間為2021年4月,審核報告已經上傳至我司官方網站http://www.missingthemovie.com/content/?502.html。本年度我司按時編寫了截至2021年12月31日的合規報告,請必維認證(北京)有限公司進行合理鑒證。

Compliance statement:

The last audit was performed inApril 2021, and the audit report has been uploaded to our official website http://www.missingthemovie.com/content/?502.html.This year, our company prepared the annual compliance report before December 31, 2021. And request Bureau Veritas (Beijing) Co., Ltd. for reasonable verification.

第五步:供應鏈盡職調查報告

Step 5: Report on supply chain due diligence

合規聲明:

我們部分符合第五步:供應鏈盡職調查報告,后續通過采取措施,并關閉了不符合項內容。

Compliance Statement with Requirement:

Wepartially complied with Step 5: Report on supply chain due diligence,subsequently adopted measures to close the discrepancies.

合規陳述:

我們的白銀供應鏈政策中列出了有關如何實施供應鏈盡職調查政策,程序,過程和控制以符合LBMA負責任白銀指南中特定要求的更多信息和具體細節,該政策可在公司網站http://www.missingthemovie.com/content/?502.html上找到。

Compliance statement:

Further information and specific details of how to perform due diligence systems for supplier chains, procedures, processes and controls have been implemented to align to the specific requirements in the LBMA Responsible Silver Guidance have been set out in our silver supply chain policy, which is available on our company websitehttp://www.missingthemovie.com/content/?502.html.

結論Conclusion

管理層結論Management conclusion

我司在截至2021年12月31日的年度報告中,實施了有效的管理系統,程序,流程和實踐,以符合LBMA負責任白銀指南的要求。

我司致力于持續改進,并且將定期對內部發現的所有糾正措施進行監控。持續滿足LBMA負責任白銀指南的要求。


The company implemented effective management systems, procedures, processes and practices to conform to the requirements of the LBMA Responsible Silver Guidance, as explained above in Table 2, for the reporting year ended 31 December 2020.

The company is committed to continuous improvement, and any corrective actions identified will be monitored internally on a regular basis. Ensure that the management system continue meeting the requirements of the LBMA Responsible Siler Guidance.

其他Other report comments

如果本報告的使用者希望就本報告向我方提供任何反饋,請隨時撥打電話+86-03916768388或發送電子郵件至970867851@qq.com與我們聯系。


If users of this report wish to provide any feedback to our company with respect to this report, Please contact 03916768388 or send email to 970867851@qq.com.





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