杭州國奧控股（集團）有限公司
2023年度供應鏈盡職管理合規報告
Shenzhen Zhonghenglong Industrial Co., Ltd
2023 Supply Chain Due Diligence Management Compliance Report
公司名稱：杭州國奧控股（集團）有限公司
Company Name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：深圳市龍華區民治街道北(běi)站社區民治股份商(shāng)業中(zhōng)心C座5701
Company Address: Rm.5701, Block C, Minzhi Gufen Commercial Center, Beizhan Community, Minzhi Sub-district, Longhua District, Shenzhen City
工(gōng)廠地址：廣東省東莞市鳳崗鎮五聯村(cūn)碧湖大(dà)道雨湖路9号
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
辦事處：深圳市羅湖區水貝二路特力珠寶大(dà)廈A座8樓
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年終報告：2023年度供應鏈盡職管理合規報告
Year-end report: 2023 Supply Chain Due Diligence Management Compliance Report
報告日期：2024年3月4日
Reporting date: March 4, 2024
報告負責人：曹健（公司副總經理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
Website: WWW.ZHLSY.COM
聯系電話(huà)：0755-29500999
Tel: 0755-29500999
一(yī)、公司概況
I. Company Profile
杭州國奧控股（集團）有限公司自1997年成立以來，以其穩健的步伐和卓越的表現，成爲了貴金屬加工(gōng)行業的佼佼者。主營業務是生(shēng)産和回收提純黃金、白(bái)銀、鉑金、钯金等各種貴重金屬以及銷售黃金、銀等貴金屬飾品工(gōng)藝品。
Shenzhen Zhonghenglong Industrial Co., Ltd. has been a prominent player in the precious metal processing industry since its establishment in 1997.Its main business includes production, recycling and purification of gold, silver, platinum, palladium and other precious metals, as well as marketing of precious metal jewelry and crafts.
衆恒隆公司以先進的技術和完善的管理制度爲基礎，憑借穩定的生(shēng)産流程和“下(xià)工(gōng)序即是客戶”的理念，嚴格執行每一(yī)道工(gōng)序的可控性和産品的質量要求。借助先進的監控系統，運行全封閉的生(shēng)産工(gōng)藝流程，以确保産品質量的穩定和客戶的滿意。多年的努力使公司先後通過了ISO14001和IS09001質量管理體(tǐ)系認證。
Based on advanced technology and a well-established management system, Zhonghenglong combines its stable production process with its philosophy of “Treat Process as Customer” and strictly executes the controllability of each process and quality of each product. With the auxiliary of advanced monitoring systems, the company operates a fully enclosed production process to ensure the stable quality of products and satisfaction from customers. For years, the company has successively acquired the certification of ISO14001 and ISO9001 quality management system.
同時，爲了科學環保地解決含貴金屬工(gōng)業廢料的利用問題，衆恒隆公司從歐洲引進了具有國際先進水平的回收提純化驗檢測設備與技術，嚴格按照國家規定的環保達标标準進行處理。工(gōng)業廢水經過處理後進行循環再用，以實現廢水零排放(fàng)的目标。經過檢測，其廢水、廢氣和噪聲都達到了達标排放(fàng)的标準。
Meanwhile, in order to address the issues of environmental waste, which containing precious metals in a sustainable manner scientifically, Zhonghenglong introduced advanced recovery and purification equipments and technologies from Europe for industrial waste treatment, strictly follow the national regulations in environmental protection. The wastewater after treated is then circulated for reuse to achieve the goal of zero wastewater discharge. All wastewater, waste gas and noise generated have met discharge standards.
杭州國奧控股（集團）有限公司是上海黃金交易所标準金錠、标準金條、标準銀錠提供企業。此外(wài)，衆恒隆公司在國内各大(dà)行業協會中(zhōng)擔任重要職務，如中(zhōng)國黃金協會常務理事、中(zhōng)國珠寶玉石首飾行業協會常務理事、廣東省黃金協會副會長、深圳市黃金珠寶首飾行業協會副會長等。
Zhonghenglong is recognized as a leading enterprise providing standard gold ingots, standard gold bars, and standard silver ingots for the Shanghai Gold Exchange. Additionally, Zhonghenglong plays important roles in major domestic industries associations, such as the executive member of China Gold Association, the executive member of the Gems and Jewelry Trade Association of China, Vice-Chairman of the Guangdong Gold Association, and Vice-Chairman of the Shenzhen Gold and Jewelry Association.
二、供應商(shāng)情況概述
II. Condition overview of supplier
公司原料主要來源是從社會中(zhōng)回收的合質金/銀以及小(xiǎo)部分(fēn)的國内的礦山金，且均爲國内供應商(shāng)，沒有識别出供應鏈相關聯的零容忍風險和高風險。
Main sources of raw materials of the Company are recycled gold/silver alloy purchased from society and small part from mined gold alloy from domestic mines. All suppliers are from China. No zero-tolerance and high risk have been identified from suppliers and supply chain.
三、合規情況概述
III. Overview of compliance conditions
第一(yī)步 建立強大(dà)的公司管理體(tǐ)系
Step 1: Establish strong company management systems
合規聲明：
Statement of Compliance :
我(wǒ)公司已經充分(fēn)遵守第1步驟：建立強大(dà)的管理體(tǐ)系。
We have fully complied with Step 1: Establish strong management systems.
1、已制定黃金/白(bái)銀負責任供應鏈盡職調查政策
衆恒隆根據《LBMA負責任黃金指南(nán)第9版》和《LBMA負責任白(bái)銀指南(nán)第1版》的要求，已正式發布了《黃金/白(bái)銀負責任供應鏈盡職調查政策》和《供應鏈盡職調查管理體(tǐ)系》。該政策符合《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》（第三版）中(zhōng)的規定，并擴展至環境和可持續性責任。
The Company has officially released Responsible Gold/Silver supply chain Due Dilligence policy and Responsible Supply Chain Due Diligence Management System which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Version 3) with extension to environmental and sustainable responsibility.
政策要求公司及其供應商(shāng)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，積極參與供應鏈盡職調查工(gōng)作，确保礦産金/銀、再生(shēng)金/銀來源符合要求，并作出承諾，拒絕來自侵犯人權、沖突地區、賄賂、洗錢、恐怖主義融資(zī)、非法開(kāi)采、世界遺産遺址、采用汞開(kāi)采等高風險地區的黃金、白(bái)銀。
According to policy requirements, the Company and its suppliers should strictly comply with various national laws and regulations on employee rights, environmental protection, fair dealing with active participation in supply chain due diligence to ensure that the sources of mined gold/silver and recycled gold/silver meet the requirements. In addition, commitments need to be made to reject gold and silver from high-risk areas such as human rights violations, conflict zones, bribery, money laundering, terrorist financing, illegal mining, World Heritage sites as well as mercury mining.
衆恒隆每年定期審查政策并按照要求進行更新，将政策在公司官網進行公布：info_17_itemid_96.html，公司通過網頁、洽談、合同附件、培訓和内部展闆等方式，已充分(fēn)将該政策傳達給所有的黃金白(bái)銀的交易方以及内部的各個職能部門，相關傳達記錄均已保留并存檔。
The Company regularly reviews the policy annually and update it as required, publish policies on the company’s official website at info_17_itemid_96.html，The policy has been sent to all gold and silver trading parties and each internal functional department through means of website, discussion, attachment to contract, training and internal display board with relevant communication records retained and archived.
2、已建立内部管理體(tǐ)系以支持供應鏈盡職調查
2. Internal management system has been established to support supply chain due diligence
衆恒隆按照《供應鏈盡職調查管理體(tǐ)系》建立内部管理制度，《風險減緩管理辦法》，設立盡職調查組織架構、明确職責和權限、供應鏈評估标準、調查處理程序、交易監控、文件保存、培訓以及内部審查和管理評審制度，确保供應鏈盡職調查工(gōng)作全面落地。
The company has established an internal management system in accordance with the Supply Chain Due Diligence Management System, Risk Mitigation Management Measures, and established an organizational structure for due diligence, clarifying responsibilities and authorities, supply chain evaluation standards, investigation and processing procedures, transaction monitoring, document retention, training, and internal review and management review system to ensure the comprehensive implementation of supply chain due diligence work
盡職調查組織架構由合規總監、合規風控官以及各部門的合規專員(yuán)組成。合規風控官協助總監全面負責供應鏈盡職調查事務，健全完善供應鏈盡職調查管理體(tǐ)系，監督調查流程，協調處理調查中(zhōng)的異常情況。根據LBMA負責任黃金／白(bái)銀指南(nán)文件，對相關員(yuán)工(gōng)進行培訓。合規總監負責制定年度培訓計劃，2023年合規部門組織各相關部門人員(yuán)進行了供應鏈盡職調查管理、采掘業透明度倡議EITI原則及标準、反洗錢、反恐怖主義融資(zī)以及反強制勞動的培訓共6次，使相關負責人明白(bái)自己在盡職調查政策實施中(zhōng)的職責，充分(fēn)保證了相關人員(yuán)的知(zhī)識儲備與能力。
The due diligence organizational structure consists of a compliance director, a compliance risk officer, and compliance specialists from various departments. The compliance and risk control officer assists the director in fully responsible for supply chain due diligence affairs, improving the supply chain due diligence management system, supervising the investigation process, and coordinating the handling of abnormal situations during the investigation. According to the LBMA Responsible Gold/Silver Guidelines document, provide training to relevant employees. The Compliance Director is responsible for formulating the annual training plan. In 2023, the Compliance Department organized personnel from various relevant departments to conduct 6 training sessions on supply chain due diligence management, EITI principles and standards for mining industry transparency, anti money laundering, counter-terrorism financing, and anti-forced labor, enabling relevant personnel to understand their responsibilities in implementing due diligence policies and fully ensuring their knowledge reserves and abilities
合規專員(yuán)由交割部、業務部、财務部、收發部、提純質檢中(zhōng)心、人事部指派，負責嚴格執行供應鏈盡職調查措施，零容忍和高風險供應鏈評判标準，收集并保存足夠的供應鏈證明文件。業務部負責向供應商(shāng)宣傳《供應鏈盡職調查政策》，并将承諾函、KYS等相關資(zī)料附在合同中(zhōng)，與供應商(shāng)書(shū)面确認遵守公司相關的規定，負責對供應商(shāng)進行擴大(dà)到環境和可持續性責任的盡職調查，完成供應商(shāng)風險評估和定期重複評價，提交合規風控官和總監審批。收發、質檢合規專員(yuán)負責往來重量的記錄、物(wù)料的标識和貯存，以及化驗結果的保存。财務部負責往來賬戶的管理，确保交易過程通過合規渠道進行賬務往來，禁止現金交易。
The compliance specialist is appointed by the delivery department, business department, finance department, shipping and receiving department, purification quality inspection center, and personnel department, responsible for strictly implementing supply chain due diligence measures, zero tolerance and high-risk supply chain evaluation standards, and collecting and preserving sufficient supply chain certification documents. The business department is responsible for promoting the Supply Chain Due Diligence Policy to suppliers, and attaching relevant materials such as commitment letters and KYS to the contract. They confirm in writing with suppliers that they comply with the company's relevant regulations, and are responsible for conducting due diligence on suppliers that extends to environmental and sustainability responsibilities. They complete supplier risk assessments and regular repeat evaluations, and submit them to the compliance risk officer and director for approval. The compliance specialist from shipping and receiving department and purification quality inspection center are responsible for recording the weight of transactions, labeling and storing materials, and preserving laboratory results. The finance department is responsible for managing current accounts, ensuring that transactions are conducted through compliant channels and prohibiting cash transactions.
人事部發布了關于禁止強迫勞動的政策聲明以及公示申訴渠道讓利益相關方報告有關強迫勞動的申訴，并于公司官網公示：list_17.html。衆恒隆與每名入職員(yuán)工(gōng)均簽訂了勞動合同，公司的工(gōng)會委員(yuán)會代表員(yuán)工(gōng)維護合法權益，協調勞資(zī)關系。2023年度由人力資(zī)源主管組織了内部審查以及對供應商(shāng)的盡職調查，均不存在任何強制勞動的行爲。
The Human Resources Department has issued a policy statement on the prohibition of forced labor and made public appeal channels for stakeholders to report appeals related to forced labor, and has made it public on the company's official website: list_17.html . The company has signed labor contracts with each employee, and the company's trade union committee represents employees to safeguard their legitimate rights and interests and coordinate labor management relations. In 2023, the human resources supervisor organized an internal review and due diligence on suppliers, and there were no instances of forced labor.
對外(wài)，公司制定了《關于遵守禁止強迫勞動政策的聲明》要求所有供應商(shāng)簽署，确保我(wǒ)們采購的原料不涉及到任何的強迫勞工(gōng)。
Externally, the company has formulated a statement on complying with the policy of prohibiting forced labor, which requires all suppliers to sign to ensure that the raw materials we purchase do not involve any forced labor.
公司獲得了 ISO 14001 的證書(shū)，并制定了環境管理手冊和計劃來管理公司生(shēng)産和運營中(zhōng)的環境風險，特别是對空，水和土地污染的管理。公司獲得了當地環保局發放(fàng)的《環境影響報告的批複》。公司建立了危險化學品的管理流程來對化學品的存儲、操作和處理進行管理。公司的運營和采購不涉及任何的破換世界遺産保護、影響土著人民等。
The company has obtained the ISO 14001 certificate and has developed an environmental management manual and plan to manage environmental risks in production and operation, especially in the management of air, water, and land pollution. The company has obtained the approval of the Environmental Impact Report issued by the local environmental protection bureau. The company has established a management process for hazardous chemicals to manage their storage, operation, and handling. The operation and procurement of the company do not involve any damage to World Heritage protection, impact on indigenous peoples, etc.
另外(wài)，公司制定了對合規人員(yuán)的問責機制，要求相關專員(yuán)定期向高級管理人員(yuán)彙報供應鏈盡職調查情況。通過監督與檢查，确保了供應鏈盡職調查工(gōng)作得到有效的實施，規避高風險供應鏈的交易。
In addition, the company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report supply chain due diligence to senior management. Through supervision and inspection, the effective implementation of supply chain due diligence work has been ensured to avoid high-risk supply chain transactions.
衆恒隆已于2023年12月27日由合規風控官組織進行了年度管理評審，并将管理評審結果彙報給了合規總監。
The company has conducted annual management review on December 27, 2023, organized by the compliance and risk control officer, and reported the results of the management review to the compliance director
3、已建立了強有力的供應鏈可追溯體(tǐ)系
3. Strong supply chain traceability system has been established
3.1供應鏈可追溯體(tǐ)系
3.1 Supply chain traceability system
在業務開(kāi)展中(zhōng)，通過收集盡職調查問卷（KYS）并審查供應商(shāng)資(zī)質、營業執照、身份驗證資(zī)料、業務運營、股東信息和物(wù)料來源等，供應商(shāng)資(zī)信調查通過後簽訂合同以及承諾書(shū)，承諾原料合法，符合LBMA負責任黃金/白(bái)銀采購政策；供應商(shāng)送的每一(yī)批來料，都有來料驗收單，表明産品類型、熔前熔後重量等，驗收人員(yuán)和供應商(shāng)簽字确認；熔煉取樣化驗，最後形成标準金銀錠，分(fēn)配編号，通過上海黃金交易所進行交易。
In the course of business development, by collecting due diligence questionnaires (KYS) and reviewing supplier qualifications, business licenses, identity verification materials, business operations, shareholder information, and material sources, the supplier's credit investigation is passed, and a contract and commitment letter are signed, promising that the raw materials are legal and comply with LBMA's responsible gold/silver sourcing policy; Each batch of incoming materials sent by the supplier has an incoming material acceptance form, indicating the product type, weight before and after melting, etc., which is signed and confirmed by the acceptance personnel and the supplier; Smelting, sampling and testing, finally forming standard gold and silver ingots, assigning numbers, and trading through the Shanghai Gold Exchange
公司對所有交易情況進行監督，确保交易與供應鏈調查一(yī)緻。使用在線管理系統以及電子台賬記錄黃金、白(bái)銀來料，确保物(wù)料可追溯。對于所有的原料入庫均保留完整的單據資(zī)料，對于入庫的金/銀料保存有入庫單、檢驗單、财務憑證等。明确各個部門應在日常工(gōng)作中(zhōng)收集保存的資(zī)料，由業務部、檢測中(zhōng)心、财務部對相關單據進行保存，并定期将相關資(zī)料送至檔案室進行存檔，保存期限均高于5年。
The company monitors all transactions to ensure consistency with supply chain investigations. Use an online management system and electronic ledger to record incoming gold and silver materials, ensuring their traceability. For all raw materials entering the warehouse, complete documentation should be retained. For gold/silver materials entering the warehouse, there should be storage receipts, inspection reports, financial vouchers, etc. Clearly define the information that each department should collect and store in their daily work. The business department, testing center, and finance department should store the relevant documents and regularly send them to the archive room for archiving, with a retention period of more than 5 years.
3.2通過官方銀行渠道收付款
3.2 Payment and receipt through official banking channels
公司所有業務均通過官方銀行渠道收付款，沒有任何現金交易。全部由業務部門發起資(zī)金事項聯簽程序，通過公司基本戶所在的銀行網上付款，并打印銀行回單作爲憑證附件保留。财務合規專員(yuán)負責交易監控工(gōng)作，對不符或以任何形式疑似不符的交易背景進行檢查，并報告合規總監。2023年度沒有發現不符及任何形式不符的情況。
All business transactions of the company are received and paid through official banking channels, without any cash transactions. All fund matters are initiated by the business department through a joint signing procedure, and payment is made online through the bank where the company's basic account is located. The bank receipt is printed as a voucher attachment and kept. The financial compliance specialist is responsible for transaction monitoring, checking the background of transactions that do not match or are suspected to be inconsistent in any form, and reporting to the compliance director. No discrepancies or any form of discrepancies were found in 2023
4、強化合作，協助黃金/白(bái)銀供應交易方建立盡職調查能力
4. Strengthen cooperation and assist gold/silver supply trading parties in establishing due diligence capabilities
公司将黃金、白(bái)銀供應鏈的政策與要求、電子培訓教材等通過電子郵件、短信、社交軟體(tǐ)等方式傳達給供應商(shāng)。2023年對供應商(shāng)進行了線上培訓和經驗分(fēn)享，以确保他們了解供應鏈政策要求你，協助供應商(shāng)更大(dà)程度地建立盡職調查能力, 遵守《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》并擴展至環境和可持續性責任。
The company communicates the policies and requirements of the gold and silver supply chain, as well as electronic training materials to suppliers through email, SMS, social media, and other means. In 2023, online training and experience sharing were conducted for suppliers to ensure they understand the requirements of supply chain policies, assist them in building due diligence capabilities to a greater extent, comply with the OECD Guidelines for Responsible Supply Chain Due Diligence of Mines from Conflict Affected and High Risk Regions, and extend to environmental and sustainability responsibilities.
公司2023年度簽約的所有供應商(shāng)均簽署了相關《承諾書(shū)》，承諾黃金、白(bái)銀來源合法合規，拒絕零容忍和高風險, 嚴格遵守合同和法律的規定，EITI相關原則以及反洗錢反恐怖融資(zī)、反強制勞動等。
All suppliers of the company in 2023 have signed relevant commitment letters, promising that the sources of gold and silver are legal and compliant, rejecting zero tolerance and high risk, strictly complying with the provisions of contracts and laws, EITI principles, anti-money laundering, anti-terrorism financing, and anti-forced labor.
合規總監每季度召集專題會議，各部門合規專員(yuán)參加，就當季供應鏈相關信息進行内部通報。溝通事項包括日常盡職調查管理工(gōng)作内容及原料采購部門對于當期合作供應商(shāng)盡職調查工(gōng)作文件，對于盡調工(gōng)作開(kāi)展不完善的供應商(shāng)進行二次盡調，必要時派遣人員(yuán)進行供應商(shāng)輔導，提高供應商(shāng)對其上下(xià)遊的盡職調查能力。
The Compliance Director convenes quarterly special meetings with the participation of compliance specialists from various departments to provide internal briefings on supply chain related information for the current quarter. The communication matters include the daily due diligence management work content and the due diligence work documents of the raw material procurement department for current cooperative suppliers. For suppliers whose due diligence work is not fully carried out, secondary due diligence will be carried out. If necessary, personnel will be dispatched to provide supplier guidance to improve the due diligence ability of suppliers for their upstream and downstream.
5、建立溝通申訴機制，促進相關方和員(yuán)工(gōng)的參與。
5. Establish a communication and appeal mechanism to promote the participation of relevant parties and employees
衆恒隆于官網平台公布申訴渠道，允許員(yuán)工(gōng)和外(wài)部利益相關者表達對供應鏈或任何新的識别風險的擔憂。公司已建立了完善的申訴機制并嚴格執行，在整個申訴過程中(zhōng)保護員(yuán)工(gōng)隐私，對舉報人信息保密，杜絕任何行爲的打擊報複。
The company has announced its appeal channels on its official website platform, allowing employees and external stakeholders to express concerns about the supply chain or any new identified risks. The company has established a sound appeal mechanism and strictly implements it, protecting employee privacy throughout the entire appeal process, keeping confidential the information of whistleblowers, and preventing any retaliatory actions
申訴渠道在官網公示：info_17_itemid_94.html
截至2023年底申訴小(xiǎo)組沒有收到内部員(yuán)工(gōng)或供應商(shāng)的風險申訴信息。
The appeal channel is publicly available on the official website: info_17_itemid_94.html
As of the end of 2023, the appeal team has not received any risk appeal information from internal employees or suppliers
第二步 供應鏈風險的識别與評估
Step 2: Identify and assess risk in the supply chain
合規聲明：
Statement of Compliance:
我(wǒ)公司已經充分(fēn)遵守第2步驟：對供應鏈中(zhōng)的風險進行識别和評估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
1、已制定識别供應鏈風險的程序
1. A procedure has been established to identify supply chain risks
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礦石的負責任供應鏈盡職調查指南(nán)》，黃金/白(bái)銀冶煉公司應識别相關風險包括密切關注來自侵犯人權、武裝沖突、非法開(kāi)采、開(kāi)采利用汞以及源于世界遺産遺址等地區的黃金和白(bái)銀，以及用于賄賂、洗錢、恐怖主義融資(zī)等行爲的黃金/白(bái)銀。公司爲每個供應商(shāng)建立供應商(shāng)檔案，根據風險狀況進行了調查，在與其簽合同之前完成供應商(shāng)檔案的建立工(gōng)作。
According to the OECD Guidelines for Responsible Supply Chain Due Diligence of Minerals from Conflict Affected and High Risk Regions, for gold/silver smelting companies should identify relevant risks, including closely monitoring gold and silver from areas such as human rights violations, armed conflicts, illegal mining, exploitation of mercury, and from World Heritage sites, as well as gold/silver used for bribery, money laundering, terrorist financing, and other activities. The company establishes supplier records for each supplier, conducts investigations based on risk conditions, and completes the establishment of supplier records before signing contracts with them.
公司制定了受沖突影響和高風險區域（CAHRA）定義流程與判定标準，并對識别出來的風險規定了處理程序，充分(fēn)對供應鏈中(zhōng)的風險進行識别、評估和緩解。2023年度，公司主要從國内供應商(shāng)采購當地金銀回收料，根據受沖突影響和高風險區域的識别程序判定，未識别出零容忍和高風險。
The company has established a process and criteria for defining conflict affected and high-risk areas (CAHRA), and has established procedures for handling identified risks, fully identifying, evaluating, and mitigating risks in the supply chain. In 2023, the company mainly purchased local gold and silver recycled materials from domestic suppliers. According to the identification procedures for conflict affected and high-risk areas, zero tolerance and high risk were not identified
2、評估供應鏈風險
2. Assess supply chain risks
2.1供應鏈調查
2.1 Supply Chain Investigation
公司通過以下(xià)措施對供應鏈進行盡職調查，并完成了盡職調查問卷：
The company conducted due diligence on the supply chain through the following measures and completed the due diligence questionnaire:
(1) 資(zī)質驗證。要求合作方提供相應的資(zī)質證明文件，營業執照，身份證明文件，礦山供應商(shāng)還需要提供采礦許可證、環評認證以及關注礦工(gōng)佩戴勞保、健康安全交易、職業病體(tǐ)檢等。
(1) Qualification verification. Require partners to provide corresponding qualification certificates, business licenses, and identity documents. Mining suppliers also need to provide mining permits, environmental impact assessments, and pay attention to miners wearing labor protection, health and safety transactions, occupational disease examinations, etc.
（2）建立供應商(shāng)檔案。對供應商(shāng)基本情況、股東信息、提供原料類型及産地、計劃精煉貴金屬類型、結算方式等信息進行詳細調查，并盡可能的将供應鏈調查向供應商(shāng)的上遊延伸，最終确定其風險等級。
(2) Establish supplier files. Conduct a detailed investigation on the basic information of suppliers, shareholder information, types and origins of raw materials provided, types of planned refined precious metals, and settlement methods, and extend the supply chain investigation to the upstream of suppliers as much as possible to ultimately determine their risk level.
（3）建立來料登記簿。對供應商(shāng)當批次來料的日期、重量、原料來源、主要上遊供應商(shāng)進行調查登記，判斷其來料風險等級。
(3) Establish an incoming material registration book. Conduct an investigation and registration of the date, weight, source of raw materials, and major upstream suppliers of the supplier's current batch of incoming materials to determine their risk level.
（4）建立供應商(shāng)年度調研報告工(gōng)作流程。對除銀行之外(wài)的全年黃金、白(bái)銀來料量前三名進行專項盡職調查，形成供應商(shāng)年度調查報告，内容包括：供應商(shāng)概況、資(zī)質信息、來料類型及所占比重、上遊供應商(shāng)概況及名單、原料産地及品種、是否存在國外(wài)黃金、白(bái)銀等。
(4) Establish a workflow for annual supplier research reports. Conduct a special due diligence on the top three gold and silver incoming materials for the whole year, excluding banks, to form an annual supplier investigation report, which includes: supplier overview, qualification information, incoming material types and proportion, upstream supplier overview and list, raw material origin and variety, whether there is foreign gold and silver, etc
（5）對産品的去(qù)向進行盡職調查。針對黃金、白(bái)銀銷售業務，對一(yī)次性購買黃金重量超過30公斤或累計購買超過100公斤的客戶，一(yī)次性購買白(bái)銀重量超過2000公斤或累計購買超過5000公斤的客戶，進行産品去(qù)向盡職調查工(gōng)作。
(5) Conduct due diligence on the flow of the product. For the sales of gold and silver, conduct due diligence on the whereabouts of products for customers who purchase gold weighing more than 30 kilograms at once or accumulated more than 100 kilograms, and for customers who purchase silver weighing more than 2000 kilograms at once or accumulated more than 5000 kilograms.
2.2 CAHRA的判定。公司制定了CHARA的定義流程。公司采用以下(xià)資(zī)源和标準判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
(1) 脆弱國家指數（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
(2) 全球沖突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
(3) 聯合國人類發展指數（UN Human Development Indicator）
(3) UN Human Development Indicator
(4) 多德-弗蘭克法案第 1502條列“指明國家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
(5) 歐盟根據 2017/821條例提供的CAHRA清單
(5) CAHRA List provided by the European Union under Regulation 2017/821
(6) 聯合國人權事務高級專員(yuán)辦事處或同等機構
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
(7) 金融行動特别工(gōng)作組 (FATF) 的報告(包括相關國家/地區報告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
(8) 關于高風險黃金中(zhōng)心/轉運中(zhōng)心和高洗錢風險國家/地區的可靠市場情報
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
2.3 零容忍和高風險供應鏈
2.3 Zero tolerance and high-risk supply chains
根據LBMA和OECD相關規定，結合公司實際情況，特規定如下(xià)零容忍和高風險供應鏈評判标準：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍風險：
Zero-tolerance risks:
（1）礦山金/銀來自被指定爲世界遺産地的地區。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
（2）以違反國際制裁(包括但不吸納與聯合國、歐盟、英國和美國制裁)的方式采購礦山金/銀、再生(shēng)金/銀。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
（3）礦山金/銀、再生(shēng)金/銀的供應對手方、其他已知(zhī)的上遊公司或其 UBO 是已知(zhī)的洗錢者、欺詐者或恐怖分(fēn)子，或曾嚴重侵犯人權，或直接或間接支持非法非國家武裝組織。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
高風險标準：
High-risk criteria：
Ø 高風險的位置
Ø High-risk locations
（1）黃金／白(bái)銀來自受沖突影響和高風險地區 (CAHRA) 或曾在該等地區過境或通過該等地區運輸。
(1) Gold/silver comes from conflict affected and high-risk areas (CAHRA) or has been transited or transported through such areas.
（2）黃金／白(bái)銀據稱來自已知(zhī)或合理懷疑來自 CAHRA 的黃金/白(bái)銀過境的國家/地。
(2) Gold/silver is said to have originated from countries/regions where it is known or reasonably suspected that gold/silver from CAHRA has passed through.
（3）黃金／白(bái)銀據稱來自已知(zhī)儲量、可能資(zī)源或預期産量有限的國家/地區。
(3) Gold/silver is said to come from countries/regions with known reserves, potential resources, or limited expected production.
Ø 高風險供應商(shāng)/交易方或其他已知(zhī)上遊公司：
Ø High risk suppliers/parties or other known upstream companies:
（1）在具有高洗錢風險的國家/地區運營
(1) Operating in countries/regions with high money laundering risk
（2）具有符合基于位置高風險标準的股東或最終收益方或其他黃金白(bái)銀供應權益
(2) Shareholders or ultimate beneficiaries or other gold and silver supply equity that meet location-based high-risk criteria
（3）具有身爲政治人物(wù)最終收益方
(3) As the ultimate beneficiary of being a political figure
（4）從事高風險商(shāng)業活動(如軍火(huǒ)、賭博和娛樂業、古董和藝術、教派及其領袖)
(4) Engaging in high-risk commercial activities (such as arms, gambling and entertainment, antiques and art, sects and their leaders)
(5) 已知(zhī)在過去(qù)12 個月曾從高風險國家/地區采購黃金/白(bái)銀
(5) Known to have purchased gold/silver from high-risk countries/regions in the past 12 months
（6）與供應鏈中(zhōng)的供應商(shāng)或對手方之間有重要且無法解釋的運輸路線。
(6) There are important and unexplainable transportation routes between suppliers or competitors in the supply chain
(7) 提供的文件有重大(dà)差異/不一(yī)緻，或拒絕提供所要求的文件。
(7) Significant differences/inconsistencies in the provided documents, or refusal to provide the requested documents
Ø 高風險物(wù)料：
Ø High-risk materials :
礦山金/銀:
Mined gold/silver
(1) 采購自ASM
(1)Purchased from ASM
(2)使用汞生(shēng)産
(2 )Produced with mercury
(3)造成災難性傷害或高度不利的ESG 因素(在公司盡可能能夠識别的範圍内)
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生(shēng)金/銀
(1)來自具有高風險供應鏈的中(zhōng)間精煉廠或交易商(shāng)或從具有高風險供應鏈的中(zhōng)間精煉廠采購的交易對手方
(1)Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
(2)無法證明其爲再生(shēng)金/再生(shēng)銀
(2)Unable to prove that to be recycled gold/silver
2.4 ESG因素
2.4 ESG factors
(1)遵守經營所在國/地區的環境、健康、安全和勞工(gōng)法規/政策；
(1) Comply with environmental, health, safety, and labor regulations/policies in the country/region where the business is located
(2)環境管理，包括
(2) Environmental management, including
a. 空氣、水、土地污染及事件管理計劃；
a. Air, water, land pollution and event management plan
b.水資(zī)源管理，特别是在缺水的地區
b. Water resource management, especially in areas with water scarcity
c.未經授權從世界遺産地和保護區采購
c. Unauthorized procurement from world heritage sites and protected areas
(3)危險化學品（包括汞和氰化物(wù)）的儲存、處理和處置;
(3) Storage, treatment, and disposal of hazardous chemicals (including mercury and cyanide)
(4)勞工(gōng)管理，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
(4) Labor management, including salary, working hours, collective bargaining, discrimination, diversity, disputes, and worker rights protection
(5)社區參與和管理方案（土地征用和社區重新安置、文化遺産和土著居民、關閉規劃和保護弱勢群體(tǐ)）
(5) Community Participation and Management Plan (Land Acquisition and Community Resettlement, Cultural Heritage and Indigenous Peoples, Closure Planning and Protection of Vulnerable Groups)
(6)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)
(6) Manage business integrity and ethical behavior, and support the implementation of relevant initiatives (such as the Extractive Industry Transparency Initiative (EITI)
2.5 關于強化盡職調查的說明
2.5 Explanation on enhanced Due Diligence
衆恒隆通過KYS對上遊原料供應商(shāng)進行盡職調查，主要包括供應商(shāng)基本信息、業務活動、供應商(shāng)股東和受益人信息、物(wù)料來源、負責任采購建立和實施情況、ESG基本情況、反洗錢、反賄賂和反恐怖主義融資(zī)的相關規定，強迫勞工(gōng)和物(wù)料運輸情況。結合制定的《風險評估表》對交易方進行了CAHRAs識别和風險識别。一(yī)旦供應鏈中(zhōng)有任何的高風險被識别出來，對涉及高風險的供應商(shāng)通過線上和現場拜訪的形式進行加強型盡職調查。
The company conducts due diligence on upstream raw material suppliers through KYS, mainly including supplier basic information, business activities, supplier’s shareholder and beneficiary information, material sources, establishment and implementation of responsible procurement, ESG basic information, relevant regulations on anti-money laundering, anti-bribery, and counter-terrorism financing, as well as forced labor and material transportation. Based on the established Risk Assessment Form, CAHRAs and risk identification were conducted on the trading parties. Once any high-risk issues in the supply chain are identified, enhanced due diligence will be conducted on high-risk suppliers through online and on-site visits.
2023年度，業務部門按《供應鏈盡職調查管理辦法》進行合規調查，合規總監負責審查盡職調查的真實性、有效性和完整性。2023年所有物(wù)料均來自于中(zhōng)國，且中(zhōng)國未被識别爲CAHRAs, 也未識别出供應商(shāng)和其供應鏈中(zhōng)有零容忍風險，高風險以及強迫勞工(gōng)的風險，所以未觸發強化盡職調查。
In 2023, the business department conducted compliance investigations in accordance with the Supply Chain Due Diligence Management Measures, and the Compliance Director was responsible for reviewing the authenticity, effectiveness, and completeness of the due diligence. In 2023, all materials were sourced from China, and China was not identified as CAHRAs, nor was there any zero tolerance risk, high risk, or forced labor risk in suppliers and their supply chains identified, so enhanced due diligence was not triggered.
第三步 設計并實施策略來應對已識别的風險
Step 3: Design and implement a management strategy to respond to identified risks
合規聲明與要求：
Statement of Compliance:
我(wǒ)公司已經充分(fēn)遵守第3步：設計和實施風險管理體(tǐ)系以應對識别的風險。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
1、制定風險管理策略
1. Develop risk management strategies
衆恒隆制訂了《供應鏈風險減緩管理辦法》，約定了在供應商(shāng)評估及日常業務開(kāi)展過程中(zhōng)發現的違規情況的處理方式；規範了發現供應商(shāng)存在高風險行爲的處理步驟；明确了盡職管理各級組織、人員(yuán)的責任，以及向高級管理人員(yuán)彙報實施進度等。
The company has formulated the Supply Chain Risk Mitigation Management Measures, which stipulate the handling methods for violations discovered during supplier evaluation and daily business operations; Standardized the handling steps for discovering high-risk behaviors from suppliers; Clear responsibilities for due diligence management of organizations and personnel at all levels, as well as reporting implementation progress to senior management
如果供應鏈中(zhōng)識别出零容忍的風險，不得與其建立業務關系，或必須立即終止現有的業務關系。
If zero tolerance risks are identified in the supply chain, business relationships must not be established or existing business relationships must be terminated immediately
當識别出以下(xià)問題，公司應立即停止與交易方的合作關系：
When the following issues are identified, the company should immediately stop cooperation with the trading counterparty
1. 洗錢
1. Money laundering
2. 恐怖主義融資(zī)
2. Terrorist financing
3. 嚴重侵犯人權
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報礦物(wù)産地
5. Misrepresentation of mineral origin
6、具有災難性的ESG影響
6. Catastrophic ESG effects
對評估爲高風險的供應商(shāng)采取以下(xià)措施：
Take the following measures for suppliers assessed as high-risk
（1）不與該供應商(shāng)建立業務關系
(1) Not establishing a business relationship with this supplier
（2）與已建立業務關系的供應商(shāng)暫停合作，如果在6個月内，供應商(shāng)提供反駁性證明和回應，且能再次符合公司對風險的評估要求，重新建立合作關系；
(2) Suspend cooperation with suppliers who have already established business relationships. If the supplier provides rebuttal evidence and response within 6 months and meets the company's risk assessment requirements again, re-establish the cooperation relationship
（3）與已建立業務關系的供應商(shāng)暫停業務，如果在6個月内，供應商(shāng)不能符合公司對風險的評估要求，将終止合作。
(3) Suspend business with established suppliers. If the supplier fails to meet the company's risk assessment requirements within 6 months, the cooperation will be terminated.
對任何識别出的風險，公司将會與交易方和利益相關方進行溝通并制定相應的風險緩解計劃。風險緩解計劃實施後，相關的風控專員(yuán)就供應商(shāng)提供材料證據與反饋的過程進行記錄，對供應商(shāng)所提交的材料進行核實與審查，确保風險緩解進展與實施的有效性。
For any identified risks, the company will communicate with trading parties and stakeholders and develop corresponding risk mitigation plans. After the implementation of the risk mitigation plan, relevant risk control specialists record the process of suppliers providing material evidence and feedback, verify and review the materials submitted by suppliers, and ensure the effectiveness of risk mitigation progress and implementation
衆恒隆嚴格遵守LBMA負責任黃金/白(bái)銀指南(nán)，設計并實施策略來應對已識别的風險。2023年未發現零容忍和高風險供應鏈，不需要做風險緩解措施。
The company strictly adheres to the LBMA Responsible Gold/Silver Guidelines, design and implement strategies to address identified risks. No zero tolerance and high-risk supply chains were found in 2023, and no risk mitigation measures are needed.
2、已建立風險評估報告制度
2. Risk assessment report system has been established
公司建立風險評估報告制度，每年合規專員(yuán)對部門盡職調查工(gōng)作上報合規總監。2023年度的風險識别和評估結果已彙報給合規總監并保留了相應的傳達記錄。
The company has established risk assessment report system, and the compliance officer reports the department's due diligence work to the compliance director every year. The risk identification and assessment results for the year 2023 have been reported to the Compliance Director and corresponding communication records have been retained.
第四步 獨立第三方審計
Step 4 Arrange for an independent third-party audit of the supply chain due diligence.
合規聲明：
Statement of Compliance :
我(wǒ)公司已經充分(fēn)遵守第4步：安排供應鏈盡職調查的獨立第三方審計。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司嚴格遵守對精煉商(shāng)的盡職調查實踐開(kāi)展獨立的第三方審計的要求。自2020年開(kāi)始，公司已委托RCS Global進行LBMA相關負責任合規審計并依照審計要求提供相關數據及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company since 2020.
第五步 供應鏈盡職調查年度報告
Step 5 Annual report on supply chain due diligence
合規聲明：
Statement of Compliance:
我(wǒ)公司已經充分(fēn)遵守第5步：有關供應鏈盡職調查的報告。
We have fully complied with Step 5: Report on supply chain due diligence.
衆恒隆嚴格遵守供應鏈盡職調查年度合規報告的要求，按時編制2023年度供應鏈盡職管理合規報告，并于公司官方網站進行公示:list_17.html
The company strictly comply with the requirements of the annual compliance report for supply chain due diligence, prepare the 2023 supply chain due diligence compliance report on time, and publish it on the company's official website at list_17.html
需要了解更多内容或者對本報告有任何反饋意見，可通過電話(huà)0755-25683238或電子郵件478152938@qq.com與我(wǒ)們聯系。
Need to learn more or have any feedback on this report, please contact us by call at 0755-25683238 or e-mail at 478152938@qq.com
四、管理結論
IV. Management conclusion
綜上所述，截至于2023年12月31日的報告年度内，杭州國奧控股（集團）有限公司完全遵守了《LBMA負責任黃金/白(bái)銀指南(nán)》，實施了有效的管理制度、程序、流程和實踐，完善了供應鏈管理體(tǐ)系，充分(fēn)進行了供應商(shāng)風險的識别和評估，并擴展至環境和可持續發展的影響，對供應鏈盡職調查進行獨立第三方審計。公司将持續改進完善管理體(tǐ)系，加強内部監測和管理，提升對風險的防範。
In conclusion, in the financial year ended December 31, 2023, Shenzhen Zhonghenglong Industrial Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold and Silver Guidance, improved the supply chain management system, fully identified and evaluated supplier risks and with extension to the impact of environment and sustainable development, have conducted independent third-party audits on supply chain due diligence. The company will continue to improve and perfect its management system, strengthen internal monitoring and management, and enhance risk prevention.
