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万洋集团2021年度LBMA白银合规报告
日期:2022-3-31 9:04:06  作者:赵海霞  来源:


JIYUAN WANYANG SMELTERY GROUP CO., LTD.
LBMA RSG
2021 Refiner’s Compliance Report
(Published in January 2022)
济源市万洋冶炼(集团)有限公司
2021年度精炼厂合规报告

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


为了符合《伦敦金银市场协会负责任的白银指南》的要求,我司通过建立强大的管理体系,采用供应链尽职调查方法对所有供应商进行风险识别和评估,制定了高风险供应链的管理策略,确保供应链风险在可接受范围内,并通过独立的第三方审计的方式,确保本公司的白银供应链完全符合LBMA负责任白银指南的要求。

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


本报告总结了济源市万洋冶炼(集团)有限公司2021年内(2021年1月1日-2021年12月31日)对《伦敦金银市场协会负责任的白银指南》要求的遵守情况。

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

Company Name:

济源市万洋冶炼(集团)有限公司

JIYUAN WANYANG SMELTERY GROUP CO., LTD.

Location:


Reporting year-end:

December 31th, 2021

Date of Report

JANAUARY 31th , 2022

Senior management responsible for this report

Mr. Liwenzhong/Compliance Director


公司概况

Company Overview

济源市万洋冶炼(集团)有限公司,始建于1995年,位于思礼镇万洋大道,注册资金2.8亿元,总资产60亿元,涉及有色冶炼、新能源、综合回收、金银制品、珠宝首饰、健康产业、化工、物流运输等领域。2011年至今荣膺“中国民营企业500强”,2021年实现销售收入310亿元。

公司致力于发展绿色经济、循环经济。建立了省级科研中心,培养了专业研发团队,获得国家专利20余项。“底吹熔炼-熔融还原-富氧挥发连续炼铅新技术及产业化应用”项目获国家科技进步奖二等奖;硒产品应用与研究实验室获得“河南省新型研发机构”称号;“万洋”牌铅酸电池以其过硬的产品质量和良好的口碑被誉为动力电池行业的一匹“黑马”,获得了客户的一致认可。

公司形成了4条循环经济产业链条:以电解铅为依托发展合金铅、蓄电池等产品;以贵金属回收为依托发展金银首饰等产品;以硫酸为依托发展复合肥、石膏板等产品;以有机硒为依托发展保健、美妆、医疗产品。

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

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

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

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

第一步:建立强大的公司管理体系

Step 1: Establish strong company management systems

合规声明

我们完全符合第一步:建立强大的管理体系

Compliance Statement with Requirement:

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

公司政策Company Policy

合规陈述:

公司于2019年3月3日发布了《LBMA负责任白银供应链尽职调查管理体系》,该政策符合经合组织《来自受冲突影响和高风险地区的矿石负责任供应链尽职调查指南》附件II 中规定,更新于2020年12月5日。体系中规定了白银供应链尽职调查政策、内部的组织构架及责任、尽职调查流程、白银供应链的风险识别方法、评判标准以及管理策略,此外还规定了白银供应链尽职调查培训培训、供应链追溯系统、记录的保存期限、交易监控等事宜。根据体系要求,制定了《风险评估方法和评价表》、《缓解策略》等文件。

2021年度,我司严格按照体系要求完成所有白银供应商尽职调查,并进行风险识别和评估,有效的管控了白银供应链的风险。

我司的白银供应链尽职调查政策严格禁止白银供应商有如下行为:

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;

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”);

3.通过贿赂或欺诈掩盖白银原产地;

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;

5.洗钱或恐怖主义融资;

6.资助冲突;

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;

8.受益人是政治敏感人物或通缉人员;

同时,公司也将该政策发布在官方网站上,网址为http://www.chuangyusy.com/content/?438.html

Compliance statement:

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

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

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

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

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

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

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

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

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

5. Money laundering or terrorism financing;

6. Contribution to conflict;

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

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

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

管理架构Internal management structure

合规陈述:

根据体系要求,我们设立了专门的管理团队,包括一名合规总监、两名合规经理以及若干名合规组成员,并明确了所有人的职责。

合规总监:公司授权的高级管理者副总经理李文中,李文中副总自我公司建厂以来一直为我公司重要董事,且负责公司经营管理工作,对经营管理有着丰富的理论知识和实操经验。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LBMA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。

合规经理(卢冬冬、胡丹丹):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。

原材料采购中心、国际业务中心,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。

质检中心对采购含银原料进行过磅称重,化验;生产处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。

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。

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。

2021年度,管理团队严格按照体系文件要求对所有白银供应商进行了尽职调查,合规经理对所有调查结果进行了监督和审核,确保所有含银物料供应商在合作前都满足LBMA要求并得到合规总监的批准。

Compliance statement:

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

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

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

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

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

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

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

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

可追溯系统和其他供应链参与者的识别Traceability and identification of other supply chain actors

合规陈述:

公司根据管理体系要求,确定了供应链追溯体系,在业务过程中,收集和保存所有供应商提供的信息,包括合同评审表、合同文本、结算方式、运输过程、重量和检验报告、生产日期、入库时间等。

根据保留的所有记录,可以完成从成品追溯到原料、从原料追溯到成品,并能追溯每个供应商每批产品的采购合同,根据合同内容可以追溯包括贵金属类型、采购重量、分析报告以及相关尽职调查文件等信息。

Compliance statement:

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

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

培训Training

合规陈述:

公司定期组织所有关于白银相关部门进行培训,2021年度共计进行了两次培训。

1. 2021年3月12日,LBMA负责任白银供应链尽职调查表

2. 2021年10月25日,白银供应链风险减缓管理办法

培训后进行了效果评价,并且保留培训记录。

Compliance statement:

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

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

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

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

记录保留Recordskeeping

合规陈述:

根据公司<白银供应链尽职调查管理体系>要求,所有供应商相关文档,包括尽职调查文件、风险评估表、合规文件、合同文本、检验记录以及出入库记录等均至少保存五年。

Compliance statement:

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

交易付款和交易监控TransactionPayment & Monitoring

合规陈述:

公司所有业务均通过官方银行渠道收款和付款,没有任何现金交易。国外进口产品结算是通过信用证付款,国内是通过银行转账付款。

根据管理体系要求,我们对每批白银产品都进行交易监督,保留相关付款凭证。合规专员负责交易监控工作,对不符或以任何形式疑似不符的交易背景进行检查,并书面确认调查结果,报告给合规总监。此外,我们与当地政府建立了反洗钱合作关系,任何洗钱行为我们都会第一时间通知政府,并配合政府进行洗钱调查。2021年度的交易全部采用银行转帐方式,未出现异常现象。

Compliance statement:

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

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

交易方互动,并协助交易方建立尽职调查能力Engagement with silver supplying counterparties, and where possible, assisted silver supplying counterparties in building due diligence capabilities

合规陈述:

根据管理体系的要求,在对供应商风险评估时,与供应商签订合同前,我司业务人员依据公司的合规要求,与所有白银供应商签署《LBMA合规承诺书》,以确保他们了解公司LBMA管理的要求和供应链政策。在承诺书中,白银供应商应以书面形式承诺并承认,不存在与矿产开采、运输或贸易有关的严重侵犯人权行为,没有直接或间接支持非国家武装组织,没有直接或间接支持公共或私人安全部队,没有贿赂或虚假误报矿产来源,没有洗钱。此外,还向政府支付与受冲突影响地区和高风险地区的矿产开采、贸易和出口有关的税费和特许权使用费。

2021年度签约的所有供应商均签署了相关的承诺书。

Compliance statement:

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

All suppliers signed in 2021 signed relevant commitments.

沟通和申诉机制Communication&Complaint mechanism

合规陈述:

公司建立了申诉机制,并且申诉机制在含银物料采购过程中均向供应商进行了必要的沟通,内外部利益相关方可以匿名举报有关白银交易过程中的违规行为。工厂设立了意见箱,作为内部员工的举报途径,并由相关人员定期开箱检查汇总举报内容。2021年度没有举报事件发生。

此外,公司也制定了保护举报人制度,防止对举报人进行打击报复,有效保护举报人的权益。

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

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

第二步:识别和评估供应链风险

Step 2: Identify and assess risks in the supply chain

合规声明

我们完全符合第二步:识别和评估供应链风险

Compliance Statement with Requirement:

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

供应链风险识别Identify risks in the supply chain

合规陈述:

对于开采白银和回收白银,精炼商应根据经合组织《受冲突影响和高风险地区矿产负责任供应链尽职调查指南》附件II,识别从产地到精炼厂的以下供应链相关风险,包括:

•与白银的开采、运输或贸易相关的系统性或广泛性的侵犯人权行为,包括最恶劣形式的童工、

任何形式的酷刑、不人道和有辱人格的对待、广泛的性暴力或其他严重侵犯人权的强迫或强制

劳动、战争犯罪、危害人类罪和种族灭绝罪;

•直接或间接支持非法非国家武装团体、非法控制矿场的公共或私人安全部队、贸易商、其他中

间人、通过供应链的运输路线或通过供应链非法征税或敲诈金钱或矿物(“非法非国家武装团

体、公共或私人安全部队”);

•白银资源贿赂和欺诈性误报

•在受冲突影响和高风险地区的矿产开采、贸易和出口方面,不遵守应向政府缴纳的税收、特

许权使用管理费;

•洗钱或恐怖组织融资;

•助长冲突

Compliance statement:

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

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

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

- Bribery and fraudulent misrepresentation of the origin ofsilver;

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

- Money laundering or terrorism financing;

- Contribution to conflict;

供应链风险评估 Risk assessment in the supply chain

合规陈述:

管理体系中规定了供应商风险识别方法,涵盖了含银物料从原产地到精炼厂的所有风险,通过《供应商尽职调查表》进行风险识别,识别方法包括,建立供应链客户档案,包括:企业名称、法定代表人、地址、联系方式、营运方式、生产方式、交易合同等;对既有供应链客户需定期进行核查,如有新建或变更的客户,需及时对其进行档案资料检查,保持档案资料库处于最新状态;识别每一客户、企业和企业收益所有人,使用可靠的独立来源文件、数据或者信息来验证其身份;确定供应链中每一客户、企业和企业收益所有人不在任何政府的洗钱、诈骗或恐怖主义通缉名单上;定期获取供应链客户商业和财务方面的详细情况、从事白银交易目的及商业运作情况。

Compliance statement:

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

1风险评估结果分为两种,高风险和非高风险。

在与供应商业务关系建成之前,业务部门需要填写《白银供应链尽职调查表》,依据管理体系要求针对所有含银原料新客户和老客户进行评估,我司全部含银原料均为矿产银和阳极板:矿产银供应商需要提供营业执照、采矿许可证、承诺书、尽职调查表、运输方式以及受益人相关调查内容;阳极板供应商需要提供营业执照、含银物料原产地证明、承诺书、尽职调查表、运输方式以及受益人相关调查内容。

对于高风险矿产供应商,我们将暂停交易,封存该供应商所有产品并立即进行强化尽职调查,因疫情原因,我们委托供应链上的白银交易商进行尽职调查。对于大规模开采的白银: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,供应链中的每一家企业(包括白银生产商、中间商、白银交易商、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。对于手工或小型矿开采的白银(ASM):使用可靠的独立来源的文件、数据和信息来核实情况,从白银出口商到精炼厂,供应链中的每一家企业(包括国际白银交易商和运输商)的收益所有人和政府监控名单信息都要求要核实。

最后,根据搜集的信息和供应链风险识别的结果,对每个供应商进行单独的风险评估,填写风险评估表,由负责评估的合规总监签字,并填写最终评估日期。

2021年我们共计完成了50家矿产白银供应商的尽职调查,其中40家供应商来自于国内(湖南省、河南省、新疆、甘肃省、拉萨市、成都市、浙江省、江西省、安徽省、贵州省、湖北省等),10家来自于国外(秘鲁、墨西哥、俄罗斯、澳大利亚等);根据风险评估结果,有48家为非高风险地区供应商,2家为高风险供应商。

(原产地均为墨西哥,根据审计要求,已完成尽职调查,一是委托白银交易商了解该矿山的生产经营情况、经营方针。二是收集企业的相关材料、道德与商业行为的规范、矿山生产概况、社会责任和环境保护等相关制度,通过整改该项已关闭。)

Compliance statement:

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

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

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

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

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

交易监测Transaction monitoring

合规陈述:

精炼厂应对在建立关系的过程中所作的交易开展适当的审查和监测,以确保交易与精炼商对供应链和风

险状况的了解一致。交易监测应采用基于风险的方法进行。

关于此点,精炼厂应接收并记录收到的每批次的以下信息:

开采白银:

• 估计重量和分析结果(来自交易对方);

•装运/运输文件(货运单/空运单、形式发票(如可行));

•高风险交易的进出口表格(如可行);

•参考供应链尽职调查文件。

精炼商应基于尽职调查结果验证文件和材料是否相互一致,以及是否了解供应链。精炼商需验证收到的装货与装运/运输文件是否相符。应检查不一致或检查在任何方面可疑的交易背景,并以书面形式确定调查结果以及向合规部报告。在不一致的问题得到解决前,白银应按照本指南第3步的要求接受物理隔离和保护。应向有关当局报告这些调查结果(如可行)。

Compliance statement:

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

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

For mined silver:

- Estimated weight and assay( from trade counterpart)

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

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

- Supply chain due diligent documents.

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

风险评估结果的汇报Report risk assessment to the designated manager

合规陈述:

合规经理每年代表高级管理团队向合规总监和最高管理层提供一份评论报告。高级管理层保留对白银供应链的最终控制权和责任。如果高风险供应商,必须得到最高管理层的批准,并立即停止合作。

Compliance statement:

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

第三步:对已识别的风险实施管理策略

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

合规声明:

我们完全符合第三步:设计和实施一项管理策略应对已识别的风险

Compliance Statement with Requirement:

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

针对已识别的风险实施一项风险管理策略a strategy for risk management of an identified risk

合规陈述:

我司建立了文件化的《风险缓解策略》,合规官负责缓解策略的落实工作,主要通过以下方式进行风险管理:

高风险供应商:如果供应链尽职调查结果得出的结论是,存在洗钱、恐怖主义融资、严重的侵犯人权、直接或间接支持非法的政府武装组织或通过欺诈误导矿产品的原产地,我们将立即停止与该供应商交易,对已交易的贵金属数量进行核实并封存,并上报至最高管理层。如果供应链尽职调查结果得出的结论是,可能存在洗钱、恐怖主义融资、严重的侵犯人权、直接或间接支持非法的政府武装组织或通过欺诈误导矿产品的原产地,我们将立即暂停与该供应商交易,对已交易的贵金属数量进行核实并封存,对该供应商进行强化尽职调查,通过实地考察、委托有能力的第三方或有资质的人员对该供应商进行现场审核,出具审核报告,若现场审核的结果为高风险供应商,则停止交易并上报有关部门;若该供应商无重大风险且愿意配合整改,则监督该供应商在六个月内整改至满足LBMA准则的要求,可以继续进行交易。若在六个月内无法整改至满足要求,则停止交易。如果尽职调查的结果无法充分满足要求,不能为风险评估提供有效的证据,缺少相关资质证明,如营业执照、采矿许可证、进出口相关单据、贵金属原产地、运输方式等,则暂停与该供应商的交易,直至提供完整的资料并通过了风险评估。

非高风险供应商:不存在洗钱、恐怖主义融资、严重的侵犯人权、直接或间接支持非法的政府武装组织或通过欺诈误导矿产品的原产地等零容忍问题,并且提供了所有的相关尽职调查的资料,通过风险评估,结论为非高风险供应商,则继续进行交易,并定期对其进行风险监控。

Compliance statement:

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

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

量化措施,绩效监督,重新评估以及定期汇报Measureable steps, monitoring of performance, periodic reassessment, regular reporting to designated senior management.

合规陈述:

量化手段和绩效评估:根据《LBMA风险缓解策略》,如果尽职调查的结果处于低风险,但仍存在轻微不符合时,只要该公司在规定的时间范围内采取了明确绩效目标的改进策略,我们将继续从其处获取白银原材料。如果白银供应链尽职调查提交的资料不完善,或者不愿意配合的,这说明存在洗钱、恐怖主义融资、助长冲突、侵犯人权的行为可能性很高,我们将立即停止从其处获取白银原材料,直到其他信息或数据能证实其低风险。

根据2021年的尽职调查结果,尽管有2家高风险,但进行了风险缓解的管理策略。

定期重新评估与持续监控:1、每年,原料采购部门的合规专员组织人员收集供应商信息的所有变更情况,持续监控交易结果并进行年度供应链尽职调查重新评估,以决定是否继续合作。2、采购的每一批次的白银原料在运输、出入库、生产、付款过程都有合规专员的监控,其中出入库必须有押运LBMA合规专员的签字,付款必须有财务的LBMA合规专员的批准。

定期报告:每季度合规专员根据LBMA管理的实际情况,向合规总监和最高管理层提交汇报。报告本季度LBMA管理体系运行情况进行总结,提出不足及改进措施。

2021年,我司采取了量化的手段对供应商进行评分管理,对除新供应商外的所有供应商进行年度补充风险评估。合规总监已对评估结果进行审核。并且每季度向最高管理层提交了报告。

Compliance statement:

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

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

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

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

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

第四步:安排独立的第三方审计

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

合规声明:

我们完全符合第四步:安排独立的第三方审计

Compliance Statement with Requirement:

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

合规陈述:

上一次审计时间为2021年4月,审核报告已经上传至我司官方网站http://www.chuangyusy.com/content/?502.html。本年度我司按时编写了截至2021年12月31日的合规报告,请必维认证(北京)有限公司进行合理鉴证。

Compliance statement:

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

第五步:供应链尽职调查报告

Step 5: Report on supply chain due diligence

合规声明:

我们部分符合第五步:供应链尽职调查报告,后续通过采取措施,并关闭了不符合项内容。

Compliance Statement with Requirement:

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

合规陈述:

我们的白银供应链政策中列出了有关如何实施供应链尽职调查政策,程序,过程和控制以符合LBMA负责任白银指南中特定要求的更多信息和具体细节,该政策可在公司网站http://www.chuangyusy.com/content/?502.html上找到。

Compliance statement:

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

结论Conclusion

管理层结论Management conclusion

我司在截至2021年12月31日的年度报告中,实施了有效的管理系统,程序,流程和实践,以符合LBMA负责任白银指南的要求。

我司致力于持续改进,并且将定期对内部发现的所有纠正措施进行监控。持续满足LBMA负责任白银指南的要求。


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

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

其他Other report comments

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