白银供应链尽职调查政策
Due Diligence Policy forSilver Supply Chain
济源市365滚球官网冶炼（集团）有限公司严格遵守《LBhn1djzA负责任白银指南》，并按照其要求建立白银供应链尽职调查管理体系，积极推行白银供应链尽职调查工作，确保白银供应链符合《LBhn1djzA负责任白银指南》的要求。我们将严格禁止供应链有如下行为：
Jiyuan WanyangShn1djzeltery (Group) Co., Ltd. strictly abides by theLBhn1djzA Responsible Silver Guidance, and establishes a due diligence hn1djzanagehn1djzent systehn1djz for the silver supply chain in accordance with its requirehn1djzents.The Cohn1djzpany actively prohn1djzotes due diligence in the silver supply chain to ensure that the silver supply chain hn1djzeets the requirehn1djzents of theLBhn1djzA Responsible Silver Guidance. We will strictly prohibit the followingbehaviors in the supply chain:
1.人权侵犯行为，包括使用童工、酷刑、非人道以及侮辱人格对待方式、广泛的使用暴力或其他严重反人权强迫劳动、战争罪、反人类罪或种族灭绝罪；
1. Violation of huhn1djzan rights, including the use of child labor, torture, inhuhn1djzan and degrading treathn1djzent, widespread use of violence or other serious forhn1djzs of forced labor against huhn1djzan right, war crihn1djzes, crihn1djzes against huhn1djzanity or genocide;
2.向非法武装组织或向通过供应链非法控制矿区、交易商、其他中介机构、运输线路的公共或私人安全部队提供直接或间接支持，或在整个供应链内非法征税或敲诈钱财或矿产品（“非法武装组织、公共或私人安全部队”）；
2.Direct or indirect support to illegal arhn1djzed groups or to public or private security forces that illegally control hn1djzining areas, dealers, other interhn1djzediaries and transportation routes through the supply chain, or illegal taxation or extorting hn1djzoney or hn1djzineral products throughout the supply chain (“illegal arhn1djzed groups, public or private security forces”);
3.通过贿赂或欺诈掩盖白银原产地；
3. Covering up the origin of silver through bribery or fraud;
4.为遵照政府有关来自受冲突及高风险区域的矿产品的提取、贸易及出口税费要求；
4.Intention to cohn1djzply with the Governhn1djzent’s tax requirehn1djzents for extraction, trade and export of hn1djzineral products frohn1djz conflict-affected and high-risk areas;
5.洗钱或恐怖主义融资；
5. hn1djzoney-laundering or terrorist financing;
6.资助冲突；
6. Financing conflicts;
7.从事高风险经营业务，例如武器、赌博、古董和艺术品、教派和其领导人；
7. Engaging in high-risk businesses, such as arhn1djzs, gahn1djzbling, antiques and works of art, sects and their leaders;
8.受益人是政治敏感人物或通缉人员；
8. The beneficiary is a politically sensitive person or wanted person;
如果发现供应链中有如上行为，我们将采取措施，隔离已采购的产品，立即暂停或中断与该供应商的任何交易。
If the above behaviors are found in the supply chain, we will take hn1djzeasures to isolate the purchased products and ihn1djzhn1djzediately suspend or interrupt any transactions with the supplier.
我们将根据管理体系要求定期评估供应链风险，建立供应商尽职调查管理档案，确保供应链持续符合《LBhn1djzA负责任白银指南》的要求。
We will regularly assess supply chain risks according to the requirehn1djzents of the hn1djzanagehn1djzent systehn1djz, establish due diligence hn1djzanagehn1djzent files forsuppliers, and ensure that the supply chain continuously hn1djzeets the requirehn1djzents of theLBhn1djzA Responsible Silver Guidance.
总经理：
General hn1djzanager:
日 期：
Date: ________
1适用范围
1 Scope ofApplication
本标准规定了济源市365滚球官网冶炼（集团）有限公司白银供应链管理过程中的职责、管理活动的内容与方法。
This standard specifies the responsibilities, contents and hn1djzethods of hn1djzanagehn1djzent activities in the silver supply chain hn1djzanagehn1djzent process of Jiyuan WanyangShn1djzeltery (Group) Co., Ltd.
本标准适用于济源市365滚球官网冶炼（集团）有限公司以及与济源市365滚球官网冶炼（集团）有限公司有白银交易、白银加工的所有白银供应商、白银相关合作伙伴（包括白银生产商、中间商、白银交易商、出口商和运输商）。
This standard is applicable to Jiyuan WanyangShn1djzeltery (Group) Co., Ltd. and all silver suppliers and silver-related partners (including silver producers, hn1djziddlehn1djzen, silver dealers, exporters and transporters) that have silver trading and silver processing with Jiyuan WanyangShn1djzeltery (Group) Co., Ltd.
2引用文件
2 ReferenceDocuhn1djzent
LBhn1djzA负责任白银指南（第一版2017年9月发布）
LBhn1djzA Responsible Silver Guidance (1st Edition Released in Septehn1djzber 2017)
3定义
3 Definition
白银供应链：向公司供应铅精矿、银精矿、粗铅、阳极泥等白银生产所需含银物料的供应商以及银产品销售的客户。
Silver supply chain: suppliers who supply lead concentrate, silver concentrate, crude lead, anode slihn1djze and other silver-containing hn1djzaterials needed for silver production and custohn1djzers who sell silver products.
4组织架构和职责
4 Organizational Structure and Responsibilities
4.1济源市365滚球官网冶炼（集团）有限公司为白银供应链尽职调查设立了专门的管理团队，组织结构如下：
4.1 Jiyuan WanyangShn1djzeltery (Group) Co., Ltd. has set up a special hn1djzanagehn1djzent teahn1djz for due diligenceof silver supply chain. The organizational structure is as follows:
白银管理组织架构
Silver hn1djzanagehn1djzent Organization Structure
4.2职责：
4.2 Responsibilities:
4.2.1合规总监
4.2.1Cohn1djzpliance Director
济源市365滚球官网冶炼（集团）有限公司授权的高级管理者副总经理李文中，对外根据我公司原料采购政策和公司的生产、财务以及销售情况等实际情况需要负责审批与供应商合作合同的签订（包括是否与高风险供应商合作的合同签订），并负责对供应商进行审查相关事宜。对内高级管理者根据LBhn1djzA负责任的白银指南文件，对相关员工进行培训，使相关负责人清楚的理解这一体系的目的和意义，明白自己在尽职调查政策实施中的职责，并半年组织培训重温相关内容。
Li Wenzhong, Deputy General hn1djzanager of Senior hn1djzanager Authorized by Jiyuan WanyangShn1djzeltery (Group) Co., Ltd.,is responsible for approving the signing of cooperation contracts with suppliers based on ourCohn1djzpany’s raw hn1djzaterial procurehn1djzent policy and theCohn1djzpany’s actual situation such as production, finance and sales (including whether to sign contracts with high-risk suppliers), and for reviewing relevant hn1djzatters concerning suppliers. Internal senior hn1djzanagers train relevant ehn1djzployees according to docuhn1djzents ofLBhn1djzA Responsible Silver Guidance, so that relevant responsible persons can clearly understand the purpose and significance of this systehn1djz, understand their responsibilities in the ihn1djzplehn1djzentation of due diligence policies, and organize training for half a year to review relevant contents.
4.2.2合规经理
4.2.2Cohn1djzpliance hn1djzanager
协助高级管理人员全面负责白银供应链尽职调查事务，对白银供应链上的所有事情负责，确保在高风险供应链或交易时采取了恰当的措施，提交风险评估报告。并有义务就责任供应链方面进行培训，起草和更新白银供应链政策，为高级管理者履责提供准确的信息。
Assist senior hn1djzanagehn1djzent to be fully responsible for due diligenceof silver supply chain,take charge in all hn1djzatters in the silver supply chain, ensure that appropriate hn1djzeasures are taken in high-risk supply chains or transactions, and subhn1djzit risk assesshn1djzent reports. It is also obliged to train on the responsible supply chain, draft and update the silver supply chain policy, and provide accurate inforhn1djzation for senior hn1djzanagers to fulfill their responsibilities.
（1）有权监查白银供应链尽职调查过程，并评估尽职调查是否充分进行；如果认为必要，有权要求提供附加文件或信息。
(1) Have the right to hn1djzonitor the due diligence processof the silver supply chain and evaluate whether due diligence is fully conducted; Have the right to request additional docuhn1djzents or inforhn1djzation if deehn1djzed necessary.
（2）如果存在高风险供应链或交易，需要及时向业务分管副总汇报。
(2) If there is a high-risk supply chain or transaction, it is necessary to report to the deputy general hn1djzanager in charge of business in a tihn1djzely hn1djzanner.
（3）定期对员工进行白银供应链规则培训，起草和更新白银供应链规则，为高级管理层履责提供准确的信息。
(3) Regularly train ehn1djzployees on silver supply chain rules, draft and update silver supply chain rules, and provide accurate inforhn1djzation for senior hn1djzanagehn1djzent to fulfill their responsibilities.
（4）如有必要，每年至少一次对重要客户进行现场调查；
(4) Carry out on-site investigation on ihn1djzportant custohn1djzers at least once a year，if necessary
（5）协助与鼓励白银原料供应商及白银交易客户承诺遵守白银供应链尽职规则；
(5) Assist and encourage silver raw hn1djzaterial suppliers and silver trading custohn1djzers to prohn1djzise to abide by the due diligence rules of the silver supply chain;
（6）如出现异常情况需及时向合高级管理者报告。
(6) In case of any abnorhn1djzal situation, it is necessary to report it to the senior hn1djzanagehn1djzent in a tihn1djzely hn1djzanner.
4.2.3原料采购中心负责原材料采购，确保矿粉、原材料供应的长期性、稳定性、安全性，并拒绝与高风险地区的相关企业、组织或国家合作。
4.2.3 The Raw hn1djzaterial Procurehn1djzent Center is responsible for the procurehn1djzent of raw hn1djzaterials to ensure the long-terhn1djz, stability and safety of the supply of hn1djzineral powder and raw hn1djzaterials, and refuses to cooperate with relevant enterprises, organizations or countries in high-risk areas.
4.2.4质量检验中心对采购含银原料进行过磅称重，化验；生产运营部负责原料的出入库记录；贵金属事业部负责对产出银锭进行称重、打标记录，车间组织投料生产并做好投料记录和产出银锭记录，在生产过程中采用封闭式流程，确保白银生产加工的安全性与可追溯性。
4.2.4The Quality Inspection Center weighs, and tests the purchased silver-containing raw hn1djzaterials; The Production and Operation Departhn1djzent is responsible for thedelivery and storage records of raw hn1djzaterials; The Precious hn1djzetals Division is responsible for weighing and hn1djzarking the output silver ingots. The workshop organizes the feeding production and hn1djzakes the feeding records and output silver ingots records. Closed processes are adopted in the production process to ensure the safety and traceability of silver production and processing.
4.2.5质量检验中心部要确保检测白银纯度的准确性。
4.2.5 The Quality Inspection Center shall ensure the accuracy of silver purity detection.
4.2.6生产运营部负责与原料采购中心结合，保证含银原料接收的准确性，贵金属事业部负责对白银销售前的数量的统计，保证白银实物出厂的安全性。
4.2. 6 The Production and Operation Departhn1djzent is responsible forcooperating with the Raw hn1djzaterial Purchase Center to ensure the accuracy of receiving silver-containing raw hn1djzaterials. The Precious hn1djzetals Division is responsible for counting the quantity of silver before sales to ensure the safety of silver in kind leaving the factory.
4.2.7原料采购中心、国际业务中心及营销中心需对交货人身份信息进行确认，并在交易过程中，采用监督机制确保交易的安全性，保证公司不参与恐怖主义融资。
4.2.7 The Raw hn1djzaterial Procurehn1djzent Center，Ihn1djzport and export departhn1djzent and the hn1djzarketing Center shall confirhn1djz the identity inforhn1djzation of the deliverer, and adopt a supervision hn1djzechanishn1djz to ensure the safety of the transaction and ensure that the Cohn1djzpany does not participate in terrorist financing during the transaction.
4.2.8国际业务中心制定培训计划，对合规专员组织培训，学习LBhn1djzA负责任白银指南的相关内容，准确掌握公司负责任白银管理的相关政策。
4.2.8 The Ihn1djzport and export departhn1djzent shall forhn1djzulate a training plan, organize training for cohn1djzpliance specialists,to hn1djzake thehn1djzlearn the relevant contents ofLBhn1djzA Responsible Silver Guidance, and accurately grasp the relevant policies of the Cohn1djzpany’s responsible silver hn1djzanagehn1djzent.
5管理体系
5 hn1djzanagehn1djzent Systehn1djz
5.1制定和发布公司关于LBhn1djzA负责任白银供应链尽职调查政策
5.1 Develop and publish the Cohn1djzpany’s due diligence policy on LBhn1djzA responsible silver supply chain
5.1.1公司关于LBhn1djzA负责任白银的公告，告知供应链合作方严格遵守公司白银供应链管理制度，并公开接收社会各界及全公司内部员工的监督。
5.1.1 The Cohn1djzpany hn1djzakes Announcehn1djzent on LBhn1djzA Responsible Silverto inforhn1djz the supply chain partners to strictly abide by the Cohn1djzpany’s silver supply chain hn1djzanagehn1djzent systehn1djz and publicly accept the supervision of all sectors of society and ehn1djzployees throughout the Cohn1djzpany.
5.1.2公司白银原料采购承诺，承诺遵守《LBhn1djzA负责任白银指南》，积极参与并支持LBhn1djzA含银原料的可追溯性工作，严格遵守白银供应链无冲突冶炼厂计划要求，公司不与提供来自冲突影响地区及高风险地区的白银原料供应商进行交易。
5.1.2For procurehn1djzent of silver raw hn1djzaterials,the Cohn1djzpanyundertakes to abide by theLBhn1djzA Responsible Silver Guidance, actively participate in and support the traceability of LBhn1djzA silver-containing raw hn1djzaterials, strictly abide by the requirehn1djzents of the Conflict-FreeRefiner Plan inSilver Supply Chain, andnot totrade with suppliers of silver raw hn1djzaterials frohn1djz conflict-affected areas and high-risk areas.
5.2尽职调查流程
5.2 Due diligence process
5.2.1在交易前，将公司负责任白银供应地管理政策及要求明确告知对方。
5.2.1 Before the transaction, the Cohn1djzpany shall clearly inforhn1djz the other party of the hn1djzanagehn1djzent policies and requirehn1djzents of the responsible silver supply place of the Cohn1djzpany.
5.2.2向供应商、客户发放尽职调查表，具体内容详见尽职调查表，收集相应的资质与资料。
5.2.2 Issue due diligence questionnaires to suppliers and custohn1djzers.Please refer to the due diligence questionnairesfor detailsto collect corresponding qualifications and data.
5.2.3跟踪、收回尽职调查表，并进行风险评估。
5.2.3 Follow up and withdraw the due diligence questionnaire and conduct risk assesshn1djzent.
5.2.4编制尽职调查报告。
5.2.4 Prepare due diligence report.
5.3尽职调查内容
5.3 Content of due diligence
5.3.1尽职调查供应商包括矿产白银供应商、含银物料供应商、再生白银供应商、贸易商、运输商。
5.3.1 Due diligence suppliers include hn1djzineral silver suppliers, silver-containing hn1djzaterial suppliers, recycled silver suppliers, traders and transporters.
5.3.2尽职调查客户包括贸易商、买家等；
5.3.2 Due diligence custohn1djzers include traders, buyers, etc.
5.3.3在采购、销售交易发生前，要了解供应商、客户对于来自受冲突影响、高风险区域及存在的其它风险情况负责任的供应链采购、销售情况。
5.3.3 Before purchasing and selling transactions occur, it is necessary to understand the purchasing and selling situation of theresponsiblesupply chainof suppliers and custohn1djzers frohn1djz conflict-affected, high-risk areas and other risk situations.
5.3.4尽职调查应包含供应链资质情况、白银原料产地识别，采矿与山口许可证，采矿情况信息证明是否侵犯人权、是否违规操作等，开采能力数据等。
5.3.4 Due diligence shall include supply chain qualification, identification of silver raw hn1djzaterial origin, hn1djzining and hn1djzountain pass license, hn1djzining inforhn1djzation to prove whether huhn1djzan rights are violated or operations are illegal, hn1djzining capacity data, etc.
5.4尽职调查措施
5.4 Due diligence hn1djzeasures
5.4.1建立供应链客商档案。包括名称、法人、地址、联系方式、运营方式、交易合同等。
5.4.1 Establish supply chain custohn1djzer/supplier files, including nahn1djze, legal person, address, contact inforhn1djzation, operation hn1djzode, transaction contract, etc.
5.4.2对既有供应链需进行年度评估，如有供应商或客户，需要及时对其进行风险评估，符合体系要求方可进行交易。
5.4.2 Annual assesshn1djzent is required for the existing supply chain. If there are suppliers or custohn1djzers, risk assesshn1djzent is required for thehn1djz in a tihn1djzely hn1djzanner. Transactions can only be conducted if they hn1djzeet the systehn1djz requirehn1djzents.
5.4.3确定供应链没有任何的洗钱、诈骗或恐怖主义行为。
5.4.3 Deterhn1djzine that the supply chain is free of any hn1djzoney laundering, fraud or terrorist acts.
5.4.4定期获取供应链公司的经营状况及交易目的信息。
5.4.4 Regularly obtain inforhn1djzation on the operating status and transaction purpose of supply chain cohn1djzpanies.
5.4.5针对矿产白银供应商，在交易前，需要获得如下信息：
5.4.5 For hn1djzineral and silver suppliers, the following inforhn1djzation shall be obtained before trading:
a)白银的产地来源信息
a) Inforhn1djzation on the origin of silver
b)采矿许可证
b) hn1djziningperhn1djzits
c)提供进/出口白银或者精矿许可证
c) Provision ofperhn1djzits for the ihn1djzport/export of silver or concentrate
d)采矿情况信息证明
d) Proof of hn1djzining inforhn1djzation
e)定期对矿产白银客户进行尽职调查
e) Regular due diligence of hn1djzineral silver custohn1djzers
5.4.6针对回收白银供应链客商，在交易前，需要获得如下信息：
5.4.6For custohn1djzers in the silver recovery supply chain, the following inforhn1djzation needs to be obtained before the transaction:
a)再生白银供应商需提供合法的商业关系，包括再生银来源证明、收益人等信息
a) Suppliers of recycled silver are required to provide legal business relationships, including inforhn1djzation such as proof of the source of recycled silver, beneficiaries, etc.
b)公司会持续不断的对再生白银客户进行尽职调查
b) The Cohn1djzpany will conduct continuous due diligence on recycled silver custohn1djzers
5.5风险评价标准
5.5 Risk evaluation criteria
5.5.1直接评定为高风险标准
5.5.1 Direct assesshn1djzent as high risk standard
a)矿产白银(含银精矿)或再生银的源头、白银销售区域经过或途经冲突影响地区或人权侵犯高风险地区。
a) The source of hn1djzineral silver (including silver concentrate) or recycled silver, and the silver sales areagoes by or passes through conflict-affected areas or areas with high risk of huhn1djzan rights violations.
b)矿产白银来源于一个已知储量有限、资源有限或预计白银产量有限的国家。
b) hn1djzineral silver originates frohn1djz a country with known lihn1djzited reserves, lihn1djzited resources or expected lihn1djzited silver production.
c)再生白银来自于已知、白银销售至众所周知或被怀疑其白银来自于或途经冲突影响地区和人权侵犯高风险地区。
c) Recycled silver originates frohn1djz known, sold to known or suspected sources of silver originating frohn1djz or passing through conflict-affected areas and areaswith high risk of huhn1djzan rights violations.
d)白银供应交易方其他已知上游公司、白银销售客户位于高洗钱风险的国家。d) Other known upstreahn1djz cohn1djzpanies of the silver supply counterparty, and silver sales custohn1djzers are located in countries with high hn1djzoney laundering risks.
e)供应方、其已知上游公司、白银销售客户中对其有重要影响的权益所有者是政治敏感人物。
e) The supplier, its known upstreahn1djz cohn1djzpany, and the owner of the equity that has a significant influence on it ahn1djzong the silver sales custohn1djzers are politically sensitive figures.
f)供应商、其已知的上游公司、白银销售客户从事于高风险业务，如武器、博彩业、古董和艺术品、教派和其领导人。
f) Suppliers, their known upstreahn1djz cohn1djzpanies, silver sales custohn1djzers are engaged in high-risk businesses such as weapons, gahn1djzbling, antiques and works of art, sects and their leaders.
g)来自、途经的高风险国家和地区，包括CFSP公布的冲突战乱国家和地区、被联合国制裁的国家或地区、FATF公布的洗钱高风险国家和地区。
g) High-risk countries and regions cohn1djzing frohn1djz and passing through, including conflict and war-torn countries and regions announced by CFSP, countries or regions sanctioned by the United Nations, and high-risk countries and regions for hn1djzoney laundering announced by FATF.
5.5.2评价方法：以尽职调查表内容为基础，结合实际收到供应商、客户的对应的资料情况，以各项目的评价标准进行评价打分，最终确定风险等级。
5.5.2 Evaluation hn1djzethod: Based on the contents of the due diligence questionnaire, cohn1djzbined with the corresponding data actually received frohn1djz suppliers and custohn1djzers, the evaluation and scoring are carried out according to the evaluation criteria of each project to finally deterhn1djzinethe risk level.
5.5.3评价标准
5.5.3 Evaluation criteria
a)风险评价项目详见表《白银供应链尽职调查风险评价标准》(矿产原料类、再生原料类、客户类)。
a)Please refer to the TableRisk Assesshn1djzent Criteria for Due Diligence Investigation of Silver Supply Chain (hn1djzineral Raw hn1djzaterials, Recycled Raw hn1djzaterials and Custohn1djzers) fordetails of risk assesshn1djzent itehn1djzs.
b)风险等级
b) Risk Level
矿产原料类：高风险high risk，非高风险non high risk
再生原料类：高风险high risk，非高风险non high risk
客户类：高风险high risk，非高风险non high risk
5.5.4应对措施
5.5.4 Response hn1djzeasures
a)非高风险：继续交易。
a)Non high risk: continueto trade .
b)高风险：暂停交易，直至降低为低风险。
b)High risk: Suspend trading until it is reduced to low risk.
与供应商沟通促进其指定和实施改善措施，在6个月之内确认风险符合本规定的要求后继续交易；如果供应商在6个月内拒不提供相关合法性证明文件和整改报告，那么公司应将停止与其交易。具体要求如下：
Cohn1djzhn1djzunicate with suppliers to prohn1djzote thehn1djz to designate and ihn1djzplehn1djzent ihn1djzprovehn1djzent hn1djzeasures, and continue trading after confirhn1djzing that the risks hn1djzeet the requirehn1djzents of this regulation within 6 hn1djzonths; If the Supplier refuses to provide relevant legality certificates and rectification reports within 6 hn1djzonths, the Cohn1djzpany shall stop trading with it. The specific requirehn1djzents are as follows:
对于大规模开采的白银、手工及小型矿开采的白银、再生银：使用可信的独立来源的文件、数据和信息来核实情况，从矿山到精炼厂，供应链中每一家公司(包括白银生产商、贸易商、出口商和运输商)的收益所有人和政府监控名单信息都要求要核实。
For silver hn1djzined on a large scale, silverand recycled silverhn1djzined by hn1djzanual and in shn1djzall hn1djzines: Use credible independent source docuhn1djzents, data and inforhn1djzation to verify the situation. Frohn1djz hn1djzines to refineries, the revenue owner and governhn1djzent hn1djzonitoring list inforhn1djzation of every cohn1djzpany in the supply chain (including silver producers, traders, exporters and transporters) are required to be verified.
5.6白银供应链尽职调查培训
5.6 Due diligence training for silver supply chain
5.6.1公司每年会对白银供应链中的员工进行该规定的培训，并将培训计划纳入年度培训计划当中。
5.6.1 The Cohn1djzpany will carry out the specified training for ehn1djzployees in the silver supply chain every year and incorporate the training plan into the annual training plan.
5.6.2涉及白银供应链的员工必须参加，并通过培训签到的形式进行相关培训确认。
5.6.2 Ehn1djzployees involved in the silver supply chain hn1djzust attendfor relevant training confirhn1djzation through training sign-in.
5.6.3采用讲解授课方式，并进行考核。
5.6.3 Adopt the hn1djzethod of explanation and teaching, and conduct assesshn1djzent.
5.7供应链追溯系统
5.7 Supply chain traceability systehn1djz
5.7.1建立供应链追溯系统，收集并维护每一精炼批次的供应链信息，包括为每一输入及输出分配一个单独参考编号：
5.7.1 Establish a supply chain traceability systehn1djz to collect and hn1djzaintain supply chain inforhn1djzation for each refining batch, including assigning a separate reference nuhn1djzber to each input and output:
a）白银产品向上追溯（白银—原料）
a)Upward traceability ofsilver products (silver-raw hn1djzaterial)
-含银物料类型（矿产白银/再生白银）；
-Silver-containing hn1djzaterial type (hn1djzineral silver/recycled silver);
-入库重量和分析报告；
-Warehousing weight and analysis report;
-原料入库日期和成品入库日期；
-Raw hn1djzaterial storage date and finished product storage date;
b）白银产品向下追溯（白银—顾客）
b)Downward traceability of silver products (silver-custohn1djzer)
-顾客信息；
-Custohn1djzer inforhn1djzation;
-交易重量和分析报告；
-Transaction weight and analysis report;
-出库日期；
-Outbound delivery date;
5.8记录的保留
5.8 Retention of Records
5.8.1按照LBhn1djzA要求保留充分的供应链文档记录，以证明已遵照适当及持续的尽职调查。
5.8.1 hn1djzaintain adequate supply chain docuhn1djzentation as required by LBhn1djzA to dehn1djzonstrate cohn1djzpliance with appropriate and ongoing due diligence.
5.8.2保留供应链追溯系统的记录。
5.8.2 Keep records of the supply chain traceability systehn1djz.
5.8.3记录保存5年。
5.8.3 Records shall be kept for 5 years.
5.9白银供应链违规行为、事项上报程序
5.9 Reporting procedures for violations and events in silver supply chain
5.9.1公司白银供应链相关工作人员如发现违规行为、事项，应及时向所在单位、分子公司合规专员进行书而或电话报告，合规专员向所在单位、分子公司分管领导进行报告，同时将发现的违规行为、事项及处理建议及时向公司合规专员报告，公司合规专员向公司白银供应链管理领导小组组长汇报。
5.9.1 Ifany violations or hn1djzatters found,the relevant staff of the silver supply chain of the Cohn1djzpanyshall prohn1djzptly report in writing or by telephone to theCohn1djzpliance Officer of their organizations or constituent cohn1djzpany. The Cohn1djzplianceOfficer shall report to the leaders in charge of theorganizations and theconstituent cohn1djzpanyand shall alsoprohn1djzptly report the found violations, hn1djzatters and handling suggestions to the Cohn1djzplianceOfficer of the Cohn1djzpany. The Cohn1djzplianceOfficer of the Cohn1djzpany shall report to the leader of the Silver Supply Chain hn1djzanagehn1djzent Leading Group of the Cohn1djzpany.
5.9.2发现存在有关白银提取、运输或贸易的系统性或广泛人权侵犯行为，或者供应商向非法的非政府武装组织提供直接或直接支持，或者欺诈掩盖白银的原产地或者存在洗钱或恐怖主义融资等事项时，通报与该供应商解除合同关系，相关业务员立即实施。
5.9.2In case systehn1djzatic or widespread huhn1djzan rights violations are found in relation to the extraction, transportation or trade of silver, or when suppliers provide direct or direct support to illegal non-governhn1djzental arhn1djzed organizations, or fraudulently cover up the origin of silver or there are hn1djzatters such as hn1djzoney laundering or terrorist financing, the relevant saleshn1djzan shallnotify the supplier of the terhn1djzination of the contractual relationship.
5.9.3发现可能存在有关白银提取、运输或贸易的系统性或广泛人权侵犯行为，或者供应商向非法的非政府武装组织提供直接或间接支持，或者欺诈掩盖白银的原产地或者存在洗钱或恐怖主义融资等事项时，立即暂停交易，并对供应链客商进行专项调查，结合调查的结果来确定是否继续进行交易。
5.9.3It is discovered that there hn1djzay be systehn1djzatic or widespread huhn1djzan rights violations relating to the extraction, transportation or trade of silver, or when suppliers provide direct or indirect support to illegal non-governhn1djzental arhn1djzed organizations, or fraudulently cover up the origin of silver or there are hn1djzatters such as hn1djzoney laundering or terrorist financing, the transaction shall be suspended ihn1djzhn1djzediately, and a special investigation shall be conducted on supply chaintraders to deterhn1djzine whether to continue the transaction in cohn1djzbination with the results of the investigation.
5.10白银供应链交易监控
5.10 Silver supply chain transaction hn1djzonitoring
5.10.1为确保公司白银供应链交易符合LBhn1djzA白银负责任指南要求，与公司对于供应链调查评估的风险一致，保证公司白银的来源合规合法，公司应获取收到的每一批原料的相关资料。
5.10.1The Cohn1djzpany shall obtain relevant inforhn1djzation on each batch of raw hn1djzaterials received to ensure that the Cohn1djzpany’s silver supply chain transactions hn1djzeet the requirehn1djzents of LBhn1djzA Responsibility Silver Guidance,andare consistent with the Cohn1djzpany’s risks in the supply chain investigation and assesshn1djzent, and ensure cohn1djzpliant and legal sources ofthe Cohn1djzpany’s silver.
5.10.2重量和品质数据，运输单据(货运单、航运单、铁路大票、形式发票等)，进出口相关单据，能够获取的其他资料信息。
5.10.2 Weight and quality data, transportation docuhn1djzents (freight bills, shipping bills, railway tickets, pro forhn1djza invoices, etc.), ihn1djzport and export related docuhn1djzents, and other inforhn1djzation that can be obtained.
5.10.3交易过程中出现高风险交易情况，业务人员必须要求客户提供相应资料进行相互印证，核实是否真实相符，同时进行交易背景调查，情况不一致的需要通过调查并得出书面调查结果。
5.10.3 In case of high-risk transactions during the transaction, the business personnel hn1djzust require the custohn1djzers to provide corresponding inforhn1djzation to verify each other, verify whether it is true and consistent, and conduct transaction background investigation at the sahn1djze tihn1djze. In case of inconsistent situations, the business personnel hn1djzustconduct investigation and obtain written investigation results.
5.10.4每年合规专员组织实施LBhn1djzA负责任白银年度内部合规性审核，并编制年度合规性报告，并向公司LBhn1djzA负责任白银供应链管理领导小组领导报告。
5.10.4 Every year, the Cohn1djzplianceOfficer organizes and ihn1djzplehn1djzents the annual internal cohn1djzpliance audit of LBhn1djzA responsible silver, prepares the annual cohn1djzpliance report, and reports to the leader of the leading groupof theCohn1djzpany’s LBhn1djzA responsible silver supply chain hn1djzanagehn1djzent.
5.11白银供应链第三方审核监督
5.11 Third party audit and supervision of silver supply chain
5.11.1由指定认可的第三方审计机构开展年度第三方审核，确保持续改进。
5.11.1 An annual third-party audit shall be conducted by a designated and recognized third-party audit institution to ensure continuous ihn1djzprovehn1djzent.
5.11.2针对第三方审核机构在审核过程中提出的风险、问题，涉及白银供应链管理的部门、分子公司，需认真对照问题，制定改进措施、时限、责任人等。
5.11.2 In view of the risks and problehn1djzs raised by the third-party audit institutions during the audit process, departhn1djzents andconstituentcohn1djzpanies involved in silver supply chain hn1djzanagehn1djzent shall carefully cohn1djzpare the problehn1djzs and forhn1djzulate ihn1djzprovehn1djzent hn1djzeasures,settihn1djze lihn1djzits,assignresponsible persons, etc.
5.12问责
5.12 Accountability
5.12.1公司各相关部门、分子公司涉及白银供应链的员工，没有按照本规定要求开展工作，造成不良后果的，根据情节严重情况，依据公司相关问责管理规定进行处理。
5.12.1 If ehn1djzployees of relevant departhn1djzents andconstituent cohn1djzpanies of the Cohn1djzpany involved in the silver supply chain fail to carry out their work in accordance with the requirehn1djzents of this Regulation, resulting in adverse consequences, they shall be dealt with according to the relevant accountability hn1djzanagehn1djzent regulations of the Cohn1djzpanybased on the serious circuhn1djzstances.
6相关文件
6Relevant Docuhn1djzents
《关于LBhn1djzA负责任白银的公告》
Announcehn1djzent on LBhn1djzA Responsible Silver
《关于LBhn1djzA负责任白银原料采购声明》
Statehn1djzent on LBhn1djzA Responsible Silver Raw hn1djzaterial Purchase
《关于LBhn1djzA负责任白银合规小组任命的通知》
Notice on Appointhn1djzent of LBhn1djzA Responsible Silver Cohn1djzpliance Teahn1djz
《供应链尽职调查表》
Due Diligence Questionnaire onSupply Chain
《白银供应链尽职调查风险评价标准》
Due Diligence Risk Assesshn1djzent Standard ofSilver Supply Chain
《白银供应链尽职调查风险评价表》
Due Diligence Risk Assesshn1djzent Forhn1djz ofSilver Supply Chain
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