杭州國奧控股（集團）有限公司
Shenzhen Zhonghenglong Industrial Co., Ltd
2020年度供應鏈盡職管理合規報告
2020 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
位置：廣東省深圳市龍華區民康路1970科技小(xiǎo)鎮1棟401
Address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
年終報告：2020年度供應鏈盡職管理合規報告
Year-end report: 2020 Supply Chain Due Diligence Management Compliance Report
報告日期：2021年1月10日
Reporting date: January 10, 2021
報告負責人：曹健（公司副總經理）網址：WWW.ZHLSY.COM
Report principal: Cao Jian (Deputy General Manager of the company) Website: WWW.ZHLSY.COM
一(yī)、公司概況
I. Company profile
杭州國奧控股（集團）有限公司（簡稱公司），地處廣東省深圳市境内。以“做全國工(gōng)藝技術水平最優、安全環保最佳、盈利能力最強”的黃金冶煉企業爲目标，公司緻力于推進各項管理與技術創新，具有黃金産品的高端高效、節能環保的完整産業鏈。
Shenzhen Zhonghenglong Industrial Co., Ltd (hereinafter referred to as the Company) is located in Shenzhen City, Guangdong Province. The Company takes “becoming the gold smelting enterprise with the highest process and technology level, the most safety and environmental protection and the strongest profitability in China” as its objective and is committed to promoting all management and technical innovations. It has a high-end, high-efficiency, energy-saving and environmentally-friendly complete industry chain of gold products.
公司始于1997年03月18日成立，存續至今，獨立法人企。依托我(wǒ)國礦物(wù)加工(gōng)工(gōng)藝技術的優勢，采用先進的工(gōng)藝設備和自動化技術，有針對性的解決生(shēng)産節能環保、礦産資(zī)源綜合回收、生(shēng)産廢水零排放(fàng)三大(dà)技術難題，形成黃金産業的循環經濟發展模式，建設成爲節能減排、低碳環保的綠色産業，。
Founded on March 18, 1997, the Company has existed till now and is an independent corporate enterprise. Relying on advantages of mineral processing process and technology of China, the Company adopts advanced process equipment and automated technology to specifically solve three technical problems, namely production energy conservation and environmental protection, comprehensive recovery of mineral resources, zero discharge of production wastewater, thus forming the recycling economy development mode of gold industry and building energy-saving, emission-reduction, low-carbon and environmentally-friendly green industry.
杭州國奧控股（集團）有限公司是華南(nán)地區最大(dà)的貴金屬精煉企業，是上海黃金交易所标準金錠、标準金條、标準銀錠提供企業，高效的生(shēng)産工(gōng)藝,高品質的貴金屬産品,以及環保和安全的三廢處理系統的現代化國際标準的提純精煉企業。現有年生(shēng)産的銀 (Ag)200噸、黃金 (Au)300噸、鉑金 (Pt)、钯金 (Pd)20噸以及處理各種貴金屬廢料 400 噸的生(shēng)産設備和能力,而且各類産品均達到國家和行業規定的标準;環保和廢水、廢氣的排放(fàng)也達到國家法律規定的标準。
Shenzhen Zhonghenglong Industrial Co., Ltd is the largest precious metal refining enterprise in South China and the approved enterprise of standard gold ingots, standard gold bars and standard silver ingots of Shanghai Gold Exchange. With efficient production process, high-quality precious metal products, environmentally-friendly and safe three-waste treatment system, it is a purification and refinement enterprise following modern international standards. At present, it has production equipment and capacity to annually produce 200 tons of silvers (Ag), 300 tons of golds (Au), platinum (Pt), 20 tons of porpezite(Pd) and process 400 tons of precious metal wastes. Besides, all products have reached national and industrial standards and environmental protection, waste water and waste gas discharge also reaches standards specified by national laws.
2019年當選“廣東省黃金協會，副會長單位”“中(zhōng)國珠寶玉石首飾行業協會常務理事單位”
In 2019, the Company was selected as “Vice-Chairman of Gold Association of Guangdong Province” and “Standing Director of GEMS & Jewelry Trade Association of China”
2020年獲得上海黃金交易所頒發的“最佳可提供标準金錠、銀錠企業”“最佳風控會員(yuán)”“綜合類年度優秀會員(yuán)”“最佳競價交易自營會員(yuán)”。
In 2020, the Company won titles of “Best Enterprise of Standard Gold Ingots and Silver Ingots”, “Best Risk Control Member”, “Comprehensive Annual Excellent Member”, “Best Self-Operated Competitive Price Transaction Member” awarded by Shanghai Gold Exchange.
二、供應商(shāng)情況概述
II. Condition overview of supplier
公司主要原料來源爲分(fēn)爲各大(dà)礦山自産金精礦和從社會中(zhōng)收購的合質金，所有供應商(shāng)均爲低風險供應商(shāng)。
Main sources of raw materials of the Company are self-produced gold concentrates of all mines and alloyed golds purchased from society and all suppliers are low-risk suppliers.
三、合規情況概述
III. Overview of compliance conditions
公司對所有供應商(shāng)進行盡職的供應鏈調查，要求所有供應商(shāng)提供的來源合法、合規。
The Company has carried out supply chain investigation of due diligence for all suppliers and required that resources provided by all suppliers are legal and compliant.
第一(yī)步建立強大(dà)的公司管理體(tǐ)系
Step 1: Establish strong company management systems
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)公司已經充分(fēn)遵守第1步驟：建立強大(dà)的公司管理體(tǐ)系。
We have fully complied with Step 1: Establish strong company management systems.
公司已經嚴格建立了強大(dà)的管理體(tǐ)系，确保供應鏈盡職調查工(gōng)作全面落地。
The Company has strictly established strong management systems to ensure comprehensive implementation of supply chain due diligence work.
1.政策方面
1. Policy
公司通過并出台了一(yī)項供應鏈負責任采購政策，該政策符合經合組織《來自受沖突影響和高風險地區礦石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，該政策在官網上進行公布。
The Company has passed and introduced a supply chain responsible procurement policy which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areaswith extension to environmental and sustainable responsibility. Such policy has been published on the official website.
我(wǒ)公司已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、再生(shēng)金來源符合要求，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、采用汞和氰化物(wù)不符合LBMA的規定開(kāi)采等高風險地區的黃金、白(bái)銀，我(wǒ)公司已将此政策向供應商(shāng)傳閱并揭示風險，要求供應商(shāng)簽章并承諾嚴格執行。
The Company has strictly followed national laws and regulations on staff’s rights, environmental protection and fair trade and actively participated in supply chain due diligence work to ensure that sources of mineral golds and recycled golds conform to requirements. In addition, the Company has made commitments to refuse golds and silvers from high-risk areas subject to infringement upon human rights, conflict areas, bribery, money laundering, terrorism financing, illegal mining, world heritage site, adoption of mercury and cyanide not conforming to provisions of LBMA. The Company has circulated such policy to suppliers and revealed risks to require all supplier to affix seals and sign names and make commitments to strictly execute it.
2.管理架構
2. Management structure
公司已經建立了内部管理制度，按照出台的政策對管理、作用和職責、内部審計、溝通進行界定、并開(kāi)展高級管理層評審。
The Company has established internal management systems and defined management, functions and duties, internal audit and communication according to introduced policies. In addition, senior management review has been carried out.
2.1規章制度方面
2.1 Rules and regulations
公司依照政策制訂了《供應鏈盡職調查管理體(tǐ)系》《供應鏈政策》《供應鏈風險減緩管理辦法》，主要明确供應鏈盡職調查組織架構、職責、高風險地區定義，制定高風險供應鏈評估标準、調查處理程序、交易監控、文件保存等内容。上述制度通過總經理辦公會審批後以紅頭文的形式下(xià)發，作爲文控處理。
The Company has formulated Supply Chain Due Diligence Management System, Supply Chain Policy, Supply Chain Risk Mitigation Management Measures according to the policy, mainly clarifying organization structure of supply chain due diligence, duties and definitions of high-risk areas. In addition, the Company has formulated high-risk supply chain evaluation standard, investigation handling procedure, transaction monitoring, document retention and other contents. Above systems are issued in the form of read-head documents upon approval by General Manager Office Meeting and under document control.
2.2職責與權限
2.2 Duties and authorities
公司設置合規總監、合規風控官、合規專員(yuán)。
The Company has set up Compliance Director, Compliance Risk Control Officer and Compliance Officer.
合規總監由公司副總經理鄒家浩擔任，負責公司供應鏈盡職調查工(gōng)作，建立健全供應鏈盡職調查管理體(tǐ)系，監督供應鏈盡職調查流程，協調處理供應鏈盡職調查中(zhōng)的異常情況，審批合規報告。
The post of Compliance Director is held by Zou Jiahao, Deputy General Manager of the Company. He is responsible for supply chain due diligence work of the Company, establishing and improving whole supply chain due diligence management system, supervising supply chain due diligence process, cooperating in handling abnormal conditions in supply chain due diligence and approving compliance reports.
合規風控官由曹健副總經理擔任，負責制定并更新供應鏈盡職調查政策、制度，負責制定高風險供應鏈評判标準和執行供應鏈盡職調查措施，指導、協調、報告公司風險評估、應對和實施等情況，監督、檢查各部門的落實情況并考核，彙報供應鏈盡職調查中(zhōng)的異常情況，組織培訓等工(gōng)作。
The post of Compliance Risk Control Officer is held by Cao Jian, Deputy General Manager of the Company. He is responsible for formulating and updating supply chain due diligence policies and systems, formulating high-risk supply chain evaluation standards and executing supply chain due diligence measures, guiding, coordinating and reporting company risk evaluation, response and implementation conditions, supervising, checking and assessing implementation of all departments, reporting abnormal conditions in supply chain due diligence and organizing training.
合規專員(yuán)分(fēn)别爲收發部經理甘武德、财務部經理朱景斌、業務部經理甘維榮、交割部經理劉存勇、提純部經理蘇泉、熔金部經理伍偉聰、檢測中(zhōng)心經理鄒仕信，負責嚴格執行供應鏈盡職調查措施和高風險供應鏈評判标準，收集并保存了足夠的供應鏈證明文件，建立了供應商(shāng)盡職調查檔案，并定期對重要供應商(shāng)進行現場調查。
Compliance Officers are respectively GanWude, Manager of Receiving and Dispatching Department, Zhu Jingbin, Manager of Financial Department, GanWeirong, Manager of Business Department, Liu Cunyong, Manager of Delivery Department, Su Quan, Manager of Purification Department, Wu Weicong, Manager of Smelting Department, ZouShixin, Manager of Detection Center. They are responsible for strictly executing supply chain due diligence measures and high-risk supply chain evaluation standards, collecting and keeping documentary evidence of sufficient supply chain, establishing supplier due diligence archives and carrying out field investigation for important suppliers regularly.
3.強有力的内部追溯體(tǐ)系
3. Strong internal traceability system
公司建立了一(yī)套供應鏈可追溯體(tǐ)系，收集和維護每一(yī)批産品的供應鏈信息，爲每一(yī)批産品分(fēn)配唯一(yī)編号。
The Company has established a set of supply chain traceability system to collect and maintain supply chain information of each batch of products and allocate unique numbers to each batch of products.
3.1供應鏈可追溯體(tǐ)系
3.1 Supply chain traceability system
我(wǒ)司已對所有的供應商(shāng)進行資(zī)信調查，資(zī)信調查通過後簽訂合同以及供應商(shāng)社會承諾書(shū)，承諾原料合法，符合盡職調查政策；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、預計品位，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，分(fēn)配唯一(yī)編号，通過上海黃金交易所進行交易。
The Company has carried out credit inquiry for all suppliers. After passing credit inquiry, suppliers should sign contracts and social commitment letters of suppliers to undertake that raw materials are legal and conform to due diligence policies; each batch of materials sent by suppliers is provided with incoming acceptance sheets to indicate product type, weight before and after smelting, estimated grade, acceptance personnel and supplier signature and confirmation. After smelting and sampling test, standard golds are formed with unique numbers allocated for transaction via Shanghai Gold Exchange.
3.2維護資(zī)料
3.2 Data maintenance
在業務開(kāi)展前身份證、身份驗證資(zī)料、營業執照、資(zī)質驗證資(zī)料、供應商(shāng)盡職調查表、每一(yī)批次的驗收單、化驗單、結算單等相關記錄保存5年以上。
Before businesses are conducted, ID cards, authentication data, business licenses, qualification verification data, supplier due diligence forms, acceptance sheets, laboratory sheets, final statements of each batch as well as other related records should be kept for over 5 years.
3.3培訓
3.3 Training
公司已将供應鏈盡職調查管理培訓納入公司年度培訓計劃當中(zhōng)，組織公司重點崗位以及合規員(yuán)對供應鏈盡職調查管理的要求、内容進行培訓，确保供應鏈盡職調查管理工(gōng)作落到實處。
The Company has included supply chain due diligence management training to the annual training plan of the Company and organized training for personnel at important posts and compliance officers of the Company about requirements and contents of supply chain due diligence management, thus ensuring actual implementation of supply chain due diligence management.
3.4合規專員(yuán)
3.4 Compliance officer
公司指定各部門負責人爲合規專員(yuán)，負責有關供應鏈盡職調查管理的所有事項。特别是，對供應鏈盡職調查進行審核，并評估盡職調查是否充分(fēn)，必要時收集額外(wài)文件或信息。确保在高風險供應鏈或交易内實施相應從事。負責有關責任供應鏈的員(yuán)工(gōng)培訓，編制并更新供應鏈政策，并向高級管理人員(yuán)提供用于履行職責的适當信息。
The Company has designated all department heads to be compliance officers to take charge of all matters about supply chain due diligence management. Particularly, compliance officers review supply chain due diligence and evaluate whether supply chain due diligence is sufficient. If necessary, they will collect additional documents or information to ensure compliant implementation in high-risk supply chain or transaction. In addition, compliance officers are responsible for employee training of responsible supply chain, preparing and updating supply chain policies and providing senior management with appropriate information for fulfilling duties.
3.5通過官方銀行渠道付款
3.5 Payment via official bank channels
公司在支付貨款時，由業務部門發起資(zī)金事項聯簽程序，通過公司賬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。
When goods payments are made, Business Department of the Company will initiate joint signature procedure for fund matters and make payment via online banking related to the corporate account. In addition, Business Department will print bank slips and keep them as voucher attachments.
4.強化合作，協助黃金供應交易方建立盡職調查能力
4. Strengthen cooperation and help the gold supply trading party to establish due diligence capacity
公司與供應商(shāng)建立基于信任和互認的長期關系，要求供應商(shāng)必須嚴格執行經合組織《來自受沖突影響和高風險地區礦石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 has established a long-term relationship based on trust and mutual recognition with suppliers to require that all suppliers must strictly execute OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas with extension to environmental and sustainable responsibility.
公司在與供應商(shāng)簽訂采購合同的同時，要求供應商(shāng)簽署《供應鏈負責任承諾書(shū)》，承諾黃金來源合法合規，拒絕來自規定的高風險區域。所有礦山類型的供應商(shāng)需提供采礦許可證，對于公司銷售的大(dà)客戶已要求其備案下(xià)遊客戶的發票，規避套票風險。
While signing procurement contracts with suppliers, the Company requires suppliers to sign Supply Chain Responsible Commitment Letter to undertake that gold sources are legal and compliant and refuse minerals from specified high-risk areas. Suppliers of all mine types need provide mining licenses. Big clients to which the Company sells golds or silvers are required to file invoices of downstream clients to evade risk of false tickets.
5.建立機密申訴機制
5. Establish confidential grievance mechanism
公司利用官網平台，公布電話(huà)和郵箱，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已識别風險的擔憂，并在整個申訴過程中(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 published telephones and emails on the platform of official website and allows employees and external stakeholders to express concern over supply chain or any new identified risk. During the whole process of grievance, the Company will protect employees’ privacy and keep information of informers confidential to eliminate any retaliation.
第二步供應鏈風險的識别與評估
Step 2: Identify and assess risk in the supply chain
合規聲明與要求：
Compliance Statement with Requirement:
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.
公司制定了高風險供應鏈的判定标準，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)的風險進行識别和評估。截止到目前，未發現高風險供應鏈。
The Company has formulated high-risk supply chain evaluation standards and specified handling procedure for identified risks to sufficiently identify and evaluate risks in the supply chain. Up to now, no high-risk supply chain is found.
1.識别供應鏈風險
1. Identify risk of supply chain
根據經合組織《來自受沖突影響和高風險地區礦石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，黃金冶煉公司識别相關風險，密切關注來自侵犯人權、武裝沖突、非法開(kāi)采、開(kāi)采利用汞和氰化物(wù)不符合LBMA的規定，以及源于世界遺産遺址等地區的黃金，以及用于賄賂、洗錢、恐怖主義融資(zī)等行爲的黃金。公司爲每個供應商(shāng)建立供應商(shāng)檔案，根據公司的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 OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas with extension to environmental and sustainable responsibility, gold smelting companies should identify related risks and pay close attention to golds from areas subject to infringement upon human rights, armed conflicts, illegal mining, mining and utilization of mercury and cyanide not conforming to LBMA provisions and originating from world heritage sites and golds used for bribery, money laundering, terrorism financing. The Company has established supplier archives for all suppliers and investigated risk conditions of companies. Supplier archives have been established before signing contracts.
2.評估供應鏈風險
2. Evaluate risk of supply chain
2.1供應鏈調查
2.1 Supply chain due diligence
公司通過以下(xià)措施對供應鏈進行盡職調查：
The Company has carried out supply chain due diligence with the following measures:
（1）資(zī)質驗證。黃金冶煉公司對于所有供應商(shāng)均進行供應鏈的盡職管理調查，在進行合作前要求合作方提供相應的資(zī)質證明文件，法人客戶提供營業執照，個人客戶提供身份證複印件，礦山客戶還需要提供采礦許可證。
(1) Qualification verification. All gold smelting companies carry out supply chain due diligence management for all suppliers. Before cooperation, cooperation partners are required to provide corresponding qualification verification documents, with business licenses provided for corporate clients, ID card copies provided for individual clients, mining licenses provided for mine clients.
（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、與其供應商(shāng)結算方式、其供應商(shāng)概況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，對于涉及高風險标準的供應商(shāng)終止合作。
(2) Establishment of supplier archives. The Company has made detailed investigation about basic conditions of suppliers, shareholder information, raw material types and producing areas, types of planned refined precious metals, mode of settlement with suppliers, overview of supplier and other information and extended supply chain investigation to upstream as far as possible, thus determining risk level finally. The Company will terminate cooperation with suppliers involving high-risk standards.
（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) Establishment of incoming register. The Company has investigated and registered dates, weights, sources of raw materials and main upstream suppliers for current batch of incoming materials from suppliers and judged risk level of incoming materials.
（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)黃金等。
(4) Establishment of work process of annual investigation report of suppliers. The Company has carried out special due diligence for top three suppliers in annual incoming materials of golds and silver except banks to formulate an annual investigation report of suppliers, covering overview of supplier, qualification information, type and weight of incoming materials, overview and list of upstream suppliers, producing areas and types of raw materials, existence of foreign golds, etc.
（5）建立客戶專項調研報告工(gōng)作流程。在走訪客戶時，對原料來源進行追溯，向供應商(shāng)傳達黃金冶煉公司盡職管理政策，并要求其在政策上簽字。
(5) Establishment of work process of special investigation report of clients. While visiting clients, the Company has traced sources of raw materials and conveyed due diligence management policies of gold smelting companies to suppliers. In addition, the Company has required them to sign names on policy document.
（6）同時協助委外(wài)加工(gōng)廠進行盡職管理工(gōng)作。對委外(wài)加工(gōng)廠的原料來源進行追溯，幫助其建立供應商(shāng)盡職管理體(tǐ)系。
(6) Cooperation with entrusted processing plants in due diligence management. The Company has traced sources of raw materials of entrusted processing plants and helped them to establish supplier due diligence management systems.
（7）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，充分(fēn)發揮網絡作用，利用天眼查、中(zhōng)國審判信息網等網站對供應商(shāng)資(zī)質情況、失信情況、訴訟情況、處罰情況進行查詢，對涉及高風險行爲的供應商(shāng)終止合作。
(7) Due diligence for product whereabouts. The Company has carried out due diligence of product whereabouts for clients purchasing golds weighing over 30kg at one time or 100kg in total and clients purchasing silvers weighing 2000kg at one time or 5000kg in total during gold and silver sales. With role of network fully played, the Company has inquired information about supplier qualification condition, noncompliance, litigation, penalty by using Tianyancha, China Trial Information Network and other websites and will terminate cooperation with suppliers having high-risk behaviors.
2.2高風險供應鏈
2.2 High-risk supply chain
根據OECD相關規定，結合公司實際情況，特規定如下(xià)高風險供應鏈評判标準：
According to related provisions of OECD, the following high risk supply chain evaluation standard is made in combination with actual conditions of the Company:
（1）礦産金或再生(shēng)金來源于、中(zhōng)轉或者運經沖突影響或侵犯人權高風險地區；
(1) Mineral golds or recycled golds are from, transited via or transported via high-risk areas subject to conflicts or infringement upon human rights;
（2）礦産金聲稱來源于一(yī)個已知(zhī)儲量有限、資(zī)源有限或預計産量有限的國家；
(2) It is asserted that mineral golds are from a country with limited known reserves, limited resources or estimated output;
（3）再生(shēng)金來源于已知(zhī)的沖突影響和侵犯人權的高風險地區，或者有理由懷疑經此地區中(zhōng)轉的；
(3) Recycled golds are from knownhigh-risk areas subject to conflicts or infringement upon human rights or there are reasons to doubt that recycled golds are transited via this area;
（4）在供應鏈中(zhōng)的公司或者其他已知(zhī)的上遊公司位于一(yī)個有着洗錢、犯罪和貪污高風險的國家；
(4) Companies in the supply chain or other known upstream companies are located in a high-risk country with money laundering, crime and corruption;
（5）在供應鏈中(zhōng)的公司或其他已知(zhī)的上遊公司的收益所有人是政治敏感人物(wù)；
(5) Beneficiary owners of companies in the supply chain or other known upstream companies are politically sensitive persons;
（6）在供應鏈中(zhōng)的公司或其他已知(zhī)的上遊公司積極參與高風險商(shāng)業活動，例如武器、賭博、賭業、古董和藝術品、鑽石，宗教和宗教領袖；
(6) Companies in the supply chain or other known upstream companies actively participate in high-risk business activities, such as weapons, gambling, gambling industry, antique and artwork, diamond, religion and religious leaders;
（7）礦産金來源于國内手續不全、非法開(kāi)采的小(xiǎo)型礦山，以及開(kāi)采黃金源于手工(gōng)開(kāi)采；
(7) Mineral golds are from small mines with incomplete formalities and illegal mining in the country and golds are manually mined;
（8）礦産金或再生(shēng)金利用汞或氰化物(wù)生(shēng)産而得，不符合LBMA的規定；
(8) Mineral golds or recycled golds are produced with mercury or cyanide, which does not conform to LBMA provisions;
（9）不遵守環境和可持續發展法律要求，礦産金或再生(shēng)金源于世界遺産遺址或國内自然生(shēng)态保護區；
(9) Mineral golds or recycled golds are from world heritage sites or domestic natural ecology protection zones, which does not conform to requirements of environment and sustainable development laws;
（10）其他高風險情況。
(10) Other high-risk conditions.
當上述評判标準任何一(yī)條客觀存在時，則該供應鏈被判定爲高風險供應鏈。合規專員(yuán)立即準備材料上報合規風控官，由合規風控官上報合規總監，由合規總監批準采取應對措施，停止交易，消除風險。截至發稿時間，發現共99名客戶未及時更新資(zī)料，其中(zhōng)公司客戶33名、個人客戶63名，目前已暫停與其合作關系并凍結其賬戶，直至其資(zī)料補充完整再進行風險評估，由合規部決定是否恢複合作關系并解凍其賬戶。
When any one of above evaluation standards objectively exists, the supply chain is judged as high-risk supply chain. Compliance officers should immediately prepare materials to be reported to Compliance Risk Control Officer who will report to Compliance Director. The Compliance Director will approve to take countermeasures to stop transaction and eliminate risks. As of the time of document issue, 99 clients fail to promptly update data, including 33 corporate clients and 63 individual clients. At present, the cooperation relationship has been suspended and the account has been frozen. After their data are supplemented, risk evaluation will be conducted. The Compliance Department will decide whether to restore the cooperation relationship and unfreeze the account.
2.3高風險類别
2.3 High-risk category
公司制定了《供應鏈風險減緩管理辦法》，當供應鏈調查發現來自高風險區域時，停止該交易并上報合規總監審批後報政府部門；當供應鏈盡職調查發現可能來自高風險區域，則需立即暫停該礦産金、再生(shēng)金的冶煉，直至供應商(shāng)在6個月之内提供可證明其并不可能存在的額外(wài)數據或信息爲止。若在6個月之内仍未提供相關證據，則需立即停止該交易并上報至有關人員(yuán)。
The Company has formulated Supply Chain Risk Mitigation Management Measures. When golds or silvers are found to come from high-risk areas in supply chain due diligence, such transaction should be stopped and reported to Compliance Director for approval and reporting to government authorities; when golds or silvers are found to come from high-risk areas in supply chain due diligence, smelting of mineral golds and recycled golds should be suspended immediately until the supplier provides additional data or information proving that such condition does not exist within 6 months. In case related evidence is still not provided within 6 months, such transaction should be stopped immediately and reported to related personnel.
提供的資(zī)料包括：
Data provided include:
（1）提供證明不存在有關礦産金、再生(shēng)金提取、運輸或貿易的系統性或廣泛人權侵犯行爲的政府性文件，如供應商(shāng)所在地相關公安或商(shāng)務部門出具的合法性證明等；
(1) Government documents proving that there are no behaviors related to systematic or extensive human right infringements during purification, transportation or trading of mineral golds and recycled golds, such as legal certificates issued by related public security or commercial departments in places where suppliers are located;
（2）提供并未向非法武裝組織提供直接或間接支持的證明文件；
(2) Supporting documents proving that suppliers do not provide illegal armed organizations with direct or indirect supports;
（3）提供并未通過欺詐掩蓋礦産金或再生(shēng)金的原産地證明文件，如相關政府部門出具的原産地證明；
(3) Supporting documents proving that suppliers do not cover up country of origin of mineral golds or recycled golds through fraud, such as certificate of origin issued by related government authorities;
（4）提供不存在洗錢或恐怖主義融資(zī)的證明文件；
(4) Supporting documents proving that there is no money laundering or terrorism financing;
（5）提供國内小(xiǎo)型礦山資(zī)質證明文件；
(5) Supporting documents of domestic small mines;
（6）提供能夠證明開(kāi)采黃金利用汞或氰化物(wù)的标準，符合LBMA的規定；
(6) Supporting documents proving that mined golds conform to LBMA provisions in mercury or cyanide utilization standards.
（7）提供環境和可持續發展相關方針政策、制度文件以及通過有關部門環評報告；
(7) Policies and guidelines as well as systems related to environment and sustainable development, reports of environmental assessment of related authorities;
2.4交易監測
2.4 Transaction monitoring
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。
The Company supervises all transaction conditions to ensure that transactions are consistent with supply chain due diligence.
公司對供應鏈盡職調查進行檢查，每批來料編号唯一(yī)，生(shēng)産可追溯，對于所有的原料采購入庫均保留完整的單據資(zī)料，對于入庫的金精礦保存有過磅單、水份單、品位單、結算單、财務憑證等；對于入庫的合質金銀保存有來料驗收單、品位單、結算單、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，由交割部、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 has checked supply chain due diligence with unique number of each batch of incoming materials and traceable production. Complete documents and data are kept for procurement and warehousing of all raw materials. For warehoused gold concentrates, weighting sheets, moisture sheets, grade sheets, settlement sheets, financial vouchers are kept. For warehoused alloyed golds and silvers, incoming acceptance sheets, grade sheets, settlement sheets, financial vouchers are kept. Data to be collected and kept by all department during daily work have been clarified. Delivery Department, Detection Center and Financial Department keep related documents and regularly send related data to archives room for filing, with retention period over 5 years.
3.向高級管理層報告風險評估
3. Report risk evaluation to senior management
公司建立風險評估報告制度，每月合規專員(yuán)對部門盡職調查工(gōng)作報合規風控官。當供應鏈調查發現來自高風險區域，被評估爲高風險供應鏈時，停止該交易并上報合規總監審批後報政府部門。
The Company has established risk evaluation report systems. Compliance officers report due diligence work of the department to Compliance Risk Control Officer each month. When golds and silvers are found to come from high-risk areas in supply chain due diligence and it is evaluated as high-risk supply chain, such transaction should be stopped and reported to Compliance Director for approval and reporting to government authorities.
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：
Compliance Statement with Requirement:
我(wǒ)公司已經充分(fēn)遵守第3步：設計和落實管理體(tǐ)系應對識别的所有風險。
We have fully complied with Step 3: Design and implement a management strategy to respond to identified risks.
公司嚴格遵守設計并實施策略來應對已識别的風險。2020年未發現高風險供應鏈，因此未采取供應鏈風險減緩措施。
The Company has strictly designed and implemented strategies to respond to identified risks. No high-risk supply chain is found in 2020 and no risk mitigation measures of supply chain are taken.
公司制訂了《供應鏈風險減緩管理辦法》并作爲文控管理，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。
The Company has formulated Supply Chain Risk Mitigation Management Measures and manages it as a document where handling methods of violations found in supplier evaluation and implement of daily businesses are specified and handling procedure of high-risk behaviors of suppliers and duties of all levels of organizations of personnel of due diligence management are clarified.
疑似高風險來料後，對其進行單獨登記，并告知(zhī)精煉車(chē)間，對其暫停作業，不與其他客戶來料混合。
Doubtful high-risk incoming materials should be individually registered and the refinement workshop should be informed to suspend operation to avoiding mixing them with materials from other clients.
第四步對精煉商(shāng)的盡職調查實踐開(kāi)展獨立的第三方審計
Step 4: Arrange for an independent third-party audit of the supply chain due diligence
合規聲明與要求：
Compliance Statement with Requirement:
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 of the supply chain due diligence.
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。
The Company has strictly followed requirements for carrying out independent third-party audit for due diligence of refiners.
自2021年開(kāi)始，公司每年均聘請獨立的第三方審計機構對盡職管理情況進行審計，并出具審計報告。
Since 2021, the Company has employed an independent third-party audit agency to audit due diligence management conditions each year and issue an audit report.
第五步供應鏈盡職調查年度報告
Step 5: Report on supply chain due diligence
合規聲明與要求：
Compliance Statement with Requirement:
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.
公司嚴格遵守供應鏈盡職調查年度報告的要求。
The Company has strictly followed requirements for annual report of supply chain due diligence.
公司每年通對上一(yī)年度的現場審計情況總結及評估報告、盡職管理證書(shū)、供應鏈管理制度、供應鏈盡職調查政策進行公示。
The Company annually publicizes on-site audit condition summary and evaluation reports, due diligence management certificates, supply chain management systems, supply chain due diligence policies of previous year.
四、管理結論
IV. Management conclusion
綜上所述，在報告年度截至于2020年12月31日的财年内，杭州國奧控股（集團）有限公司實施了有效的管理制度、程序、流程和實踐。杭州國奧控股（集團）有限公司緻力于不斷的改進提升，所有的糾正措施将在内部進行定期監測。
On the whole, in the reporting year as of December 31, 2020 of the fiscal year, Shenzhen Zhonghenglong Industrial Co., Ltd has implemented effective management systems, procedures, processes and practices. Shenzhen Zhonghenglong Industrial Co., Ltd is committed to continuous improvement and all corrective measures will be regularly monitored.
五、其他報告批注
V. Other report comments
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If users of this report wish to provide any feedback to Shenzhen Zhonghenglong Industrial Co., Ltd with respect to this report, feel free to contact related departments of the enterprise bywww.ZHLSY.COM.
