Hunan Huaxin Rare Technology Co., Ltd.?
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湖南華信稀貴科技股份有限公司
Hunan Huaxin Rare & Precious Metals Technology Co., Ltd.
合規性報告
Refiner’s Compliance Report
為了使冶煉廠利用高標準的盡職調查打擊系統性或廣泛性的侵犯人權行為、避免產生沖突，以及遵守高標準的反洗錢和打擊恐怖主義融資行為，制定了《倫敦金銀市場協會可靠性白銀規范》。
LBMA Responsible Silver Guidance has been established for the refiners to adopt high standards of due diligence in order to combat systematic or widespread abuses of human rights, to avoid the contribution of conflict and to comply with high standards of anti-money laundering and combating terrorist financing practice.
本報告總結了湖南華信稀貴科技股份有限公司截至2019年12月31日至年度內對《倫敦金銀市場協會（LBMA）負責任的白銀規范》要求的遵守情況。
This report summarized how Hunan Huaxin Rare & Precious Metals Technology Co., Ltd. has complied with the requirements of LBMA Responsible Silver Guidance for the year ended of December 31st, 2019.
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表1：冶煉廠詳情 |
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Table1: Refiner’s details |
冶煉廠名稱：湖南華信稀貴科技股份有限公司
Refiner’s name: Hunan Huaxin Rare&Precious Metals Co., Ltd.
地址：湖南省資興市江北工業園
Location: Jiangbei Industrial Park of Zixing City, Hunan Province
報告年度結束日期：2019年12月31日
Ending date of the reporting year: 31/12/2019
報告日期：2020年5月9日
Date of report: 09/05/2020
負責報告事宜的高級管理人員：王求秀
Senior management responsible for this report: Wang Qiuxiu
聯系方式：電話：18075536146電子郵箱：2056251349@qq.com
Contact information: Tel: 18075536146 E-mail: 2056251349@qq.com
冶煉廠評估
Refiner’s evaluation
湖南華信稀貴科技股份有限公司成立于2008年，注冊資金4.5億元，公司位于湖南省資興市江北工業園，占地面積1300畝。
Established in 2008, Hunan Huaxin Rare&Precious Metals Technology Co., Ltd., with a registered capital of 450 million China Yuan, is located in Jiangbei Industrial Park of Zixing City, Hunan Province, with its own industrial area covering 1300 Mu.
公司自主開發的核心技術“鉛陽極泥火濕聯合法高效生產高純銀新工藝，被評為”中國好技術”，具有產品質量高，生產周期短，節能減排效果等優點。白銀成品純度達到99.997%，優于國家1#銀標，納米級銀粉純度達到99.999%。新工藝使綜合回收生產環節中，白銀回收率在為提高，達到了國內先進水平。在生產效率方面，新工藝使我公司白銀產能較傳統工藝提升了20%。
The core technology independently developed by the company-“the new process of high-efficiency production of high-purity silver by fire-wet combination method of lead anode slime, has been rated as “China’s productive technology”, with high quality, short production cycle and energy saving and emission reduction effects, etc. The purity of silver finished product reaches 99.997%, which is above the national No.1 silver standard, and the purity of nano-grade silver powder reaches 99.999%. The new process has improved the silver recovery rate in the comprehensive recovery production process to reach the domestic advanced level. Moreover,the new process is conductive to improvement of production efficiency and does increase our silver production capacity by 20% compared with the traditional process.
公司為倫敦金銀市場協會（LBMA）銀錠合格精煉商、上海期貨交易所可提供標準銀錠企業；公司通過了ISO9001質量認證、ISO4001環境管理體系認證、CMA計量認證。先后獲得“中國馳名商標”“湖南名牌產品”等稱號和獎勵。
The Company is a silver Good Delivery Refinery of London Bullion Market Association (LBMA), as well as an enterprise capable of providing standard silver ingots recognized by Shanghai Futures Exchange. The Company has obtained certificates of ISO9001 Quality Management Systems, ISO4001 Environmental Management System and CMA and has successively won the titles and awards of “China’s Well-known Trademark” and “Hunan Famous Brand Products”.
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表2：合規性驗證活動概要 |
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Table2: Summary of activities undertaken to demonstrate compliance |
第1步：建立強有力的公司管理體系
Step 1: Establish strong company management systems
合規聲明：
Compliance Statement with Requirement:
我方已完全遵照第1步：建立強有力的公司管理體系。
We have fully complied with Step 1: Establish strong company management systems.
公司政策：
Company Policy:
公司于2019年8月10日重新修訂并發布了《白銀供應鏈盡職調查規則》（以下簡稱‘調查規則’），該調查規則與2013年《經濟合作與發展組織受沖突影響和高風險地區礦產可靠供應鏈盡職調查指南》附件II規定的模式一致。該調查規則規定了公司內部的組織構架及責任、白銀供應鏈的風險評判標準、盡職調查、交易監控、文件和記錄的保存（在財年結束后至少5年）、培訓、溝通等做了規定。在該調查規則的基礎上，制定了《供應商管理政策》、《白銀盡責調查管理制度》《風險評估流程》、以及《風險來料緩解策略》，使得在管理組織、制度、操作上有據可依。
The Company revised and issued the Silver Supply Chains Due Diligence Rules (hereinafter referred to as the Due Diligence Rules) on August 10, 2019, which is consistent with the model set out in Annex II of OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in 2013. These due diligence rulesstipulate the organizational structure and responsibilities within the Company, the risk evaluation criteria for silver supply chains, due diligence, transaction monitoring, preservation of documents and records (at least 5 years after the end of the financial year), training and communication, etc. Based on these due diligence rules, the Supplier Management Policy, the Silver Due Diligence Management System, the Risk Evaluation Process, and the Risk Incoming Mitigation Strategy are formulated, providing foundation for the organization management, system and operation.
2019年公司政策明確，制度有效，確保了公司白銀盡責體系的有效運行。
In 2019, the clear policy and effective system of the Company provides guarantee for the effective operation of the silver responsible system.
Internal Management Structure:
公司根據《白銀供應鏈盡職調查規則》建立白銀合規小組，明確了管理崗位以及對應的職責，公司設置了一名合規總監，五名合規專員。公司的合規總監由林錫廷（副總工程師）擔任，從事白銀精煉生產加工、經營管理工作18年，擁有豐富的行業經驗。原料采購，財務，質檢，貴金屬庫管理員設置合規專員。
The Company has established a silver compliance team to define the management positions and corresponding responsibilities as per the Silver Supply Chains Due Diligence Rules, with one Compliance Director and five Compliance Officers. The Compliance Director of the Company is Lin Xiting (Deputy Chief Engineer), who has been engaged in the silver refining, production, processing and operation and management for 18 years with rich experience in such field. The Compliance Officer is set up in the Raw Material Procurement Department, Finance Department, Quality Control Department and precious metal storekeeper.
合規總監主持全面負責公司白銀供應鏈盡職調查工作。監督檢查白銀供應鏈盡職調查過程，并評估盡職調查是否充分進行；對已識別出風險的白銀供應鏈或交易采取恰當的措施減少風險直至消除風險；及時向公司高管層匯報并采取嚴格的控制措施；定期對員工進行責任白銀準則和供應鏈盡職調查政策培訓；負責起草和修訂公司白銀供應鏈相關的政策和方針；為公司高管層履行盡職調查責任提供必要的準確信息。
The Compliance Director is comprehensively in charge of the due diligence of the Company’s silver supply chain. He should supervise and inspect the due diligence process in the silver supply chain and assess whether due diligence is fully conducted; take appropriate measures to reduce risks until they are eliminated for silver supply chains or transactions with identified risks; timely report to the Company’s senior management and take strict control measures; regularly conduct training of employees on responsible silver guidelines and supply chain due diligence policies; draft and revise the Company’s relevant policies and guidelines of silver supply chain; provide necessary and accurate information for the Company’s senior management to fulfill their due diligence responsibilities.
合規專員負責日常工作，設置于原料采購部門的兩名合規官員負責在簽訂合同前組織實施對供應商進行評估，監督與合格供應商的交易，并進行年度重估。并在業務談判和原料采購過程中組織貫徹和落實LBMA的白銀盡職調查理念。
The Compliance Officer is responsible for daily work. Two Compliance Officers set up in the Raw Material Procurement Department are responsible for organizing and implementing the evaluation of suppliers before the conclusion of the contract, supervising the transactions with qualified suppliers and conducting annual reevaluation, as well as implementing the LBMA’s silver due diligence concepts in the process of business negotiation and raw material procurement.
設置于財務的合規專員，負責供應商、銷售及代加工的合同審批，從財務專業的角度把控合同和資金；對相關的業務、資金活動進行監督；負責金銀物料在精煉廠內部的管理。
The Compliance Officer set up in the Finance Department is responsible for the contract approval of suppliers, sales staff and processing agents, controlling the contracts and funds from the finance perspective, supervising the relevant business and fund activities, and managing the gold and silver materials in the refinery.
設置與綜合部及安保運輸部門的兩名合規專員其中一名負責培訓，并協助風控官制定公司盡責管理的各項制度建設；另一名則負責接洽原料進入精煉廠或離開精煉廠，實施白銀物流運輸過程中的盡責工作。
One of the two Compliance Officers set up in the General Affairs Department and Security and Transportation Department is responsible for training and assisting the Risk Officer in formulating the system construction of the Company’s duty management; while the other is responsible for the raw materials into or out of the refinery, and fulfilling the duties in the process of silver logistics transportation.
2019年，華信稀貴嚴格執行《白銀供應鏈盡職調查規則》，對供應商進行風險盡職調查。對所有交易進行監控，以避免與高風險供應商建立關系。同時，合規官員對所有盡職調查發現和結果進行審查，所有的銀物料采購合同都經過了財務合規專員的審批以及公司首席執行官的批準。
In 2019, Hunan Huaxin Rare&Precious Metals Technology Co., Ltd followed the Silver Supply Chains Due Diligence Rules strictly and conducted risk-based due diligence investigation for suppliers. All the transactions were monitored to avoid building relationship with the suppliers associated with high risk. Meanwhile, all due diligence investigation findings and results were reviewed by the Compliance Officer, and all silver material procurement contracts were approved by the Compliance Officer in the Finance Department and the Company’s CEO.
白銀在精煉廠內部的流轉體系：
Flow System of Silver within the Refinery:
來料：經調查后，符合公司供應商規則的供應商和客戶，與公司簽訂合同，供應商的白銀原料被運輸到公司。
Incoming materials: After investigation, contracts are entered into with the suppliers meeting the Company’s requirements and customers, and then the silver raw materials of suppliers are transported to the Company.
我公司擁有專業的金銀安保運輸團隊，負責從供應商處接洽原料到精煉廠。該團隊中設置有合規專員，在這一過程中，合規專員會根據來料地址、發貨地址進一步排除風險，若有異常會立即報告給風控官并拒收、拒發原料或隔離原料。到廠的原料由驗收人員再復核，每批次原料給一個唯一的編號，并由驗收人員在熔鑄過程中取樣。白銀經精煉之后出售，出售給符合公司審查要求的客戶，這一過程中，財務的合規專員需要審批發貨單據并審查付款憑據，付款過程實名制并必須可追溯。
The Company is equipped with a professional gold and silver security transportation team, responsible for transporting raw materials from suppliers to the refinery. In this process, a Compliance Officer designed to the team will further eliminate the risk according to the incoming material address and delivery address. In case of any abnormality, the Compliance Officer will immediately report to the Risk Officer and reject to receive and to send or isolate the raw materials. The raw materials into the refinery should be rechecked by the acceptance personnel. Each batch of raw materials should be given a unique number, by which the acceptance personnel should take samples during the smelting and casting process. Silvers are sold after refining to customers meeting the Company’s review requirements. In such process, the Compliance Officer in the Finance Department is required to check the delivery documents for approval and review the payment vouchers. The payment process must be traceable with real name.
發貨：根據客戶需求，我們可以配送，也支持客戶上門取貨。
Delivery: The Company provides delivery services and also supports customers to pick-up personally as per the customers’ demand.
原料采購部門（經過合規專員初步判斷合規）提供客戶信息并出具發貨單，財務部門（經合規專員）審查資金，押運部門（經合規專員）安排實施。上述三個環節層層把關，若押運在實施過程中發現可能存在高風險，則會立即報告并暫停發貨。
The Raw Material Procurement Department (being compliant upon the Compliance Officer’s preliminary judgment) provides the customer information and issues the delivery documents, and the Finance Department (by Compliance Officer) reviews the funds, and the Escorting Department (by Compliance Officer) arranges the implementation. The above three links are checked at all levels. If high risk is found during the implementation of escorting, the delivery will be immediately suspended after reporting.
交易監控：
Transaction Monitoring:
我公司所有白銀的收付款，都通過公司在銀行的賬戶進行，不進行現金交易。這些收付款都受到銀行及國家財稅部門的監督。銀行賬戶的收付款以及現金支付都層層審批，必須經過設置于財務的合規專員及公司高管審批。
All collection and payment in connection with silver of the Company were made through the Company’s bank account, no transactions by cash. These receipts and payments were supervised by the bank and the national financial and taxation departments. The collection and payment of bank account and cash payment were approved at all levels, which also got approved by the Compliance Officer in the Finance Department and the Company’s senior management.
與白銀供應合約對方訂約：
Engagement with Silver-supplying Counterparty:
在完成對供應商和客戶風險評估之后，與供應商簽訂合同時，現貨國內及現貨國際業務部門業務人員依據設置于本部門的合規專員要求，與所有白銀供應合約對方簽署《LBMA合規承諾書》，并進行《問卷調查》以確保他們了解公司LBMA管理的要求、供應鏈政策以及所要求的承諾。在該承諾書中，白銀供應合約對方應以書面形式承諾并承認，不存在與礦產開采、運輸或貿易有關的嚴重侵犯人權行為，沒有直接或間接支持非國家武裝組織，沒有直接或間接支持公共或私人安全部隊，沒有賄賂或虛假誤報礦產來源，沒有洗錢。此外，還向政府支付與受沖突影響地區和高風險地區的礦產開采、貿易和出口有關的稅費和特許權使用費。
After the risk evaluation on suppliers and customers is completed and at the time of signing the contract with suppliers, the business personnel of the Domestic and International Business Departments of Spot Stock should require all silver-supplying counterparties to sign the Letter of Commitment for LBMA Compliance as required by the Compliance Officer set in their own departments, and conduct the questionnaire survey to ensure that they are aware of Company’s commitment to LBMA management, the supply chain policy and respective requirements. In this letter of commitment, silver-supplying counterparties should commit to, and acknowledge in writing that there is no serious human rights abuse associated with the extraction, transport or trade of minerals, no direct or indirect support to non-state armed groups, no direct or indirect support to public or private security forces and no bribery and fraudulent misrepresentation of the origin of minerals, money laundering. Also, the payment of taxes, fees and royalties related to mineral extraction, trade and export from conflict-affected and high-risk areas are paid to governments.
2019年度簽約的所有供應商均簽署了相關的承諾書。
All suppliers contracted in 2019 have signed the relevant letter of commitment.
溝通機制：
Communication Mechanism:
培訓：為幫助所有參與白銀供應鏈的員工深入了解盡職調查制度，設置與綜合部門的合規專員制定了培訓計劃。培訓對象主要是含有白銀物料部門的員工。此類培訓計劃旨在幫助有關員工深入了解《LBMA可靠白銀規范》和相關工具包，包括LBMA對白銀的監管要求、可靠白銀供應鏈盡職調查管理政策和白銀采購流程風險管理（風險預控、風險評估、監控和溝通機制等）。
Training:In order to help all staff involved in the silver supplychain to have a thorough understanding of the due diligence system, the Compliance Officers of Comprehensive Department have launched training program. The trainees are mainly employees of the silver-bearing material departments. The purpose of training program was to help them establish a deep-through understanding of the LBMA Responsible Silver Guidance and the related toolkit, including the LBMA regulatory requirements for silver, due diligence management policy for reliable silver supply chain and the risk management of silver procurement process (Risk Pre-Control, Risk Evaluation, Monitoring and Communication Mechanisms, etc.)
內部溝通：合規專員可以隨時與風控官溝通，也可以向本部門上一級領導就相關LBMA事宜匯報溝通，若有重大事項，在公司生產經營例會上進行溝通、匯報和安排。
Internal communication: the Compliance Officer can communicate with the Risk Control Officer at any time, or report and communicate with the superior leaders of the Department on relevant LBMA matters. In case of major matters, communication, report and arrangement shall be conducted at the regular production and operation meeting of the Company.
外部溝通：在年度風險評估時公司向供應商、客戶介紹LBMA的管理理念和要求，也可以根據客戶要求提供相關知識。在在日常的采購和銷售業務活動中，也隨時可以接受客戶咨詢幫助其把控風險。
External communication: during the annual risk evaluation, the Company introduces the management concept and requirements of LBMA to suppliers and customers, and can also provide relevant knowledge in accordance with customer requirements. We can also accept customer consultation at any time to help them control risks in the daily purchasing and sales business activities.
2019年公司制定了培訓計劃，按照計劃組織實施了LBMA相關知識的培訓。同時向供應商、客戶宣貫了LBMA的盡責要求并簽訂承諾，實施了有效的內外溝通。
The Company formulated a training plan, and organized and implemented training about LBMA according to the plan in 2019. At the same time, the due diligence requirements of LBMA to suppliers and customers was publicized, commitments were signed, and effective internal and external communication was implemented.
Confidential grievance mechanism:
公司已制定申訴機制，公司的LBMA風控官，各級合規專員的電子郵箱以及手機號碼均對外做了公布，外部利益相關的人可以匿名提意見或建議，也可以舉報有關白銀供應鏈風險。工廠也設置有LBMA舉報意見箱，員工及相關人員也可以隨時提出書面意見和建議，也可以匿名舉報，舉報箱由風控官定期開箱檢查。
The Company has established a grievance mechanism. The e-mail address and mobile phone number of the LBMA Risk Control Officer and Compliance Officers at all levels have been published. The external stakeholders can provide anonymous opinions or suggestions, or report the supply chain risks of silver. The factory also has a LBMA report box. Employees and relevant personnel can put forward written opinions and suggestions at any time, or report anonymously. The report box is opened and inspected regularly by the Risk Control Officer.
2019年度，暫未發生申訴事件。
No appeal occurred in 2019.
第2步：識別和評估供應鏈中的風險
Step 2: Identify and assess risk in the supply chain
合規聲明：
Compliance Statement with Requirement:
我方已完全遵照第2步：識別和評估供應鏈中的風險。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
一、華信稀貴有確定的識別供應鏈風險的流程
I. Hunan Huaxin Rare&Precious Metals Technology Co., Ltd has an identification process for identifying supply chain risks
我公司已明確供應鏈風險識別方法，并在此基礎上制定了《LBMA白銀風險評估流程》，以此風險識別程序進行風險評估。公司建立的《風險識別程序》涵蓋了整個白銀供應鏈從產地到精煉廠的全部風險，《風險識別程序》辨識了下列風險：與/白銀提取、運輸或交易有關的有預謀的、日益猖獗的人權侵犯行為，直接或間接支持非政府武裝組織、或公共/私人安保部隊的行為，對白銀來源的賄賂、隱瞞欺詐行為，洗錢行為和金融恐怖活動,資助沖突的行為等.
Our company has defined the risk identification method of supply chain, and on this basis, we have formulated LBMA Silver Risk Evaluation Process, which is used for risk evaluation. The Risk Identification Process established by the Company covers all risks of the whole silver supply chain from the origin to the refinery. The Risk Identification Process identifies the following risks: premeditated and increasingly rampant human rights violations related to silver extraction, transportation or transaction, direct or indirect support for non-governmental armed organizations, or public / private security forces, bribery, fraud concealment, money laundering, financial terrorism and conflict financing of silver sources.
在評估時，調查人員依據《LBMA白銀風險評估流程》收集供應商信息，包括1、供貨商身份驗證文件；2、供貨商受益方的身份驗證文件；3、檢查供貨商與受益方是否在政府公布的洗錢犯罪、詐騙犯或恐怖分子名單上；4、供貨商的商務活動調查及財務信息調查。5、有意愿進行合作的供貨商的信息。對原料供應公司的類型、注冊地點和交易類型信息進行核實，并通過第三方了解該供應商的口碑信息等，以便對新出現的供應商風險進行評估。
During the evaluation, the investigators collected the supplier information in accordance with LBMA Silver Risk Evaluation Process, including 1. The supplier’s identity verification document; 2.The identity verification document of the supplier’s beneficiary; 3.Inspection of whether the supplier and beneficiary are on the list of money laundering crime, fraud or terrorist published by the government; 4.The supplier’s business activity investigation and financial information investigation. 5. Information of suppliers willing to cooperate. It is needed to verify the type, registration place and transaction type information of the raw material supply company, and understand the reputation information of the supplier by a third party, so as to assess the emerging supplier risk.
二、華信稀貴根據盡職調查的風險評估標準評估了風險
II. Hunan Huaxin Rare&Precious Metals Technoloty Co., Ltd assessed the risk according to the risk evaluation criteria of due diligence
在2019年，華信稀貴在與供應商業務關系建成之前，業務部門需要填寫《白銀供應鏈盡職調查表》，依據《供應商管理政策》和《LBMA白銀風險評估流程》針對不同的原料，原有客戶也定期重新進行評估，如下進行分類風險評估：
Before the establishment of the business relationship between Huaxin Non-Ferrous Metal and its suppliers in 2019, the Business Department needs to fill in the Due Diligence Questionnaire on Silver Supply Chain. In accordance with the Supplier Management Policy and LBMA Silver Risk Evaluation Process, the original customers also conduct regular re-evaluation for different raw materials as follows:
再生銀：1、原料采購進出口部門需要了解國際交易對手類別、受益人，資信，財務信息，是否在政府的洗黑錢、已知詐騙分子或恐怖分子名單內等，比如是否為大型跨國銀行和金商，是否為LBMA認可的供應商，以及供應商的歷史負面信息等。2、國內現貨部采購再生銀，需要確定再生銀供應商的營業執照，并了解原料來源，以及相關受益人信息，調查其從業地點，必要時實地考察收購現場。
Renewable silver: 1. The Import and Export Raw Material Purchase Department needs to know the type of international counterparties, beneficiary, credit, financial information, the information to indicate whether it is in government list on the money laundering, known fraudsters or terrorists, etc., such as whether it is large multinational banks and gold merchants, whether they are LBMA approved suppliers, and the historical negative information of suppliers, etc. 2. When renewable silver is purchased from the Domestic Spot Good department, it is necessary to determine the business license of the renewable silver supplier, understand the source of raw materials and relevant beneficiary information, investigate its employment location, and visit the acquisition site on the spot if necessary.
2019年通過以上工作，對供應商進行評估。2019年度，公司總共有白銀供應商4家，都是再生銀供應商家， 2019年度根據前期供應商的調查和評估，目前所有的供應商均為低風險供應商。
The supplier will be evaluated by the above work in 2019. In 2019, the Company has a total of 4 silver suppliers, all of which are renewable silver suppliers. According to the investigation and evaluation of prophase suppliers in 2019, all of the suppliers are low-risk suppliers at present.
交易監控
Transaction Monitoring
精煉廠建立并執行《交易監控控制程序》，以確保能對白銀供貨商供應鏈上的風險進行交易監督. 精煉廠對收到的每批產品接收貨運單據，重量單據，檢驗報告，發票等文本進行檢查。風控官總體負責負責交易監控工作，精煉廠確認文件和材料彼此符合，并滿足《交易監控控制程序》，對不符或以任何形式疑似不符的交易背景進行檢查，并書面確認調查結果，報告給合規官員。另外任何不符或疑似不符白銀物料應采用物理方式隔離，按本指南第3步的要求確保其安全，直至解決不符合項為止。這些調查結果應上報給有關部門。
The Refinery has established and implemented the <Transaction Monitoring and Control Process> to ensure the transaction supervision of the risks in the supply chain of silver suppliers. The Refinery shall check the received shipping documents, weight documents, inspection reports, invoices and other texts of each batch of products. The Risk Control Officer is generally responsible for the transaction monitoring. The Refinery confirms that the documents and materials are consistent with each other and meet the <Transaction Monitoring and Control Process>. It checks the transaction background that is inconsistent or suspected to be inconsistent in any form, and confirms the investigation results in writing and reports to the Compliance Officer. In addition, any non-conforming or suspected non-conforming silver materials shall be physically isolated and secured in accordance with Step 3 of this Guidance until the non-conforming items are resolved. These findings shall be reported to the relevant departments.
2019年度未出現不符《交易監控控制程序》現象.
No non-compliance with the Transaction Monitoring and Control Process has occurred in 2019.
三、華信稀貴供應商風險評估報告的提交。
III. Risk Evaluation Report submission from suppliers of Hunan Huaxin Rare&Precious Metals Co., Ltd
白銀原材料供應商風險評估報告提交：在完成上述相應工作之后，我公司的原料采購部門的合規專員負責依據《供應商管理政策》、《LBMA白銀風險評估流程》，對所有來料供應商進行評分，根據評分結果將供應商劃分為高風險、中風險、以及低風險，評估報告提交給風控官。風控官負責審核盡職調查的真實性、有效性和完整性，確認后簽字并向首席執行官匯報，首席執行官最后批準。若有供應商被歸類為高風險供應商，首席執行官則必須批準，公司將不與該供應商合作。
Risk Evaluation Report submission from silver raw material suppliers: After the corresponding work above is completed, the Compliance Officer of the Raw Material Purchase Department of the Company is responsible for scoring all incoming material suppliers in accordance with the Supplier Management Policy and LBMA Silver Risk Evaluation Process, and classifying the suppliers into high risk, medium risk and low risk according to the scoring results. The appraisal report shall be submitted to the Risk Control Officer. The Risk Control Officer is responsible for reviewing the authenticity, effectiveness and integrity of the due diligence, signing after confirmation, and reporting to the Chief Executive Officer for final approval. If a supplier is classified as a high-risk supplier, the Chief Executive Officer has to approve that the Company will not cooperate with the supplier.
第3步：設計并實施管理策略，應對已識別的風險。
Step 3: Design and implement a management strategy to respond to identified risks
我方已完全遵照第3步：設計和實施管理策略，應對已識別的風險。
We have fully complied with Step 3: Design and implement a management strategy to respond to identified risks.
1、精煉廠已建立文件化的《LBMA風險緩解策略》,合規官負責緩解策略的落實工作，并得到總經理的支持.
1. The documented <LBMA Risk Mitigation Strategy> has been established in the refinery, and the Compliance Officer is responsible for the implementation of the mitigation strategy, with the support of the general manager.
通過以下三種方式進行風險管理：
The Company carries out risk management in three ways:
（i）在繼續交易時緩解風險：當對供應商的評估處于低風險時，我們繼續從該供應商獲得白銀原料，但是對其中的調查項目進行完善，使之符合LBMA的規范，比如對于部分供應商，我們通過幫助該供應商學習和了解LBMA的管理要求，向其提供方法及幫助建立、完善風險管控中的不足，使其在其日常經營活動中降低風險。再比如在行業內部，我們通過同行去了解某供應商的行業口碑，以及該供應商經營管理人員的信息對已識別的風險項進行補充和佐證。
(i) Risks mitigation while continuing to trade: When the evaluation of suppliers is at a low risk, we continue to obtain silver raw materials from the suppliers, but improve the investigation items to make them conform to the specifications of LBMA. For example, for some suppliers, we help the suppliers learn and understand the management requirements of LBMA, provide them with methods and help to establish and improve the deficiencies in risk management and control, so that they can reduce risks in their daily business activities. For another example, in the industry, we learn about the industry reputation of a supplier with peers, and the information of the supplier’s management personnel to supplement and prove the identified risk items.
（ii）在暫停交易時緩解風險：對低風險供應商的進行合作時，發現可疑的風險使該供應商可能變為中風險供應商，沒有取得確定結果之前，暫停與該供應商合作，并調查該可疑風險，直至確定該供應商為低風險供應商，再依據評估結果進行處理。當評估結果為中風險時，需要暫停與該供應商的合作，同時隔離來料。公司的白銀庫房設置有高風險來料隔離區，以應對可能性極小的可疑、風險來料及突發狀況。將可疑及風險來料隔離匯報調查處置。
(ii) Risk mitigation while suspending of transactions: When cooperating with low-risk suppliers, it is found that the suspicious risks may make the supplier become a medium risk supplier. Before obtaining the determined results, it is necessary to suspend cooperation with the supplier and investigate the suspicious risks until it is determined that the supplier is a low-risk supplier, and then deals with it in accordance with the evaluation results. When the evaluation result is medium risk, the cooperation with the supplier needs to be suspended and the incoming materials need to be isolated. The silver warehouses of the Company are established with isolation areas for high-risk incoming material to deal with suspicious, risky incoming materials and emergencies with little possibility. Isolate suspicious and risk incoming materials are reported investigated and disposed.
在規定的2周期限內，供應商整改該風險項，解除風險，則恢復交易，如整改達不到要求或者無法解除風險，則最后停止與該供應商合作。
Within the specified 2-week period, the supplier rectifies the risk item, removes the risk, and then resumes the transaction. In case the rectification fails to meet the requirements or the risk cannot be removed, the cooperation with the supplier will be stopped finally.
（iii）停止交易脫離風險：對供應商的評估為高風險，或者與供應商合作時發現高風險項目，則停止與其合作，將評估報告及高風險項匯報給首席執行官，由首席執行官進行司法舉報或付諸于其他法律手段。使之進入司法程序。
(iii) Risk mitigation whilestopping the transaction: If the supplier is assessed as high risk, or if high-risk items are found during the cooperation with the supplier, the cooperation with the supplier shall be stopped, the evaluation report and high-risk items shall be reported to the chief executive officer. The chief executive officer shall make judicial reports or put them into other legal means, making them into the judicial process.
2、 采取降低風險的管理策略時，采取了可以量化的手段，并進行積分評估，定期風險重新評估以及定期向指定的高級管理人員報告。
2.When the Company adopts the risk mitigation management strategy, it adopts quantifiable means, and carries out integral evaluation, regular risk re-evaluation and regular report to the designated senior management.
量化手段及積分評估：我公司制定了《LBMA風險緩解策略》。如果盡職調查的結果處于低風險（評分值大于等于6），但供應鏈中的被評估公司一直盡其合理和有誠意的努力，只要該公司在兩周的時間范圍內采取了明確績效目標的改進策略，我們將繼續從其處獲取白銀。如果白銀供應鏈盡職調查結果處于中風險（評分小于6但大于2）、高風險（評分小于等于2），這說明可能存在洗錢、恐怖主義融資、助長沖突、侵犯人權的行為，或者存在這種情況的可能性很高，我們將立即停止從其處獲取白銀，直到其他信息或數據能證實或反駁初步評估。
Quantitative means and integral evaluation: The Company has formulated LBMA Risk Mitigation Strategy. If the results of due diligence show it is at low risk (with a score greater than or equal to 6), but the assessed company in the supply chain is using reasonable and good faith effort, we will continue to refine silver coming from this source provided that it adopts an improvement strategy stating clear performance objectives within two weeks. If the due diligence results of silver supply chain show it is at medium risk (score less than 6 but greater than 2) and high risk (score less than or equal to 2), which indicates that there may exist money laundering, terrorist financing, contribution to conflict, human rights abuses, or if the possibility of the same is deemed high, we will stop immediately to refine silver from this source until additional information or data confirming or refuting the preliminary evaluation.
根據2019年的盡職調查結果，無供應商需要進行風險緩解的管理策略。也無可疑來料。
According to the due diligence results for 2019, there was no supplier that need a management strategy of risk mitigation or suspicious incoming materials.
定期重新評估與持續監控：1、每年，原料采購部門的合規專員組織人員收集供應商信息的所有變更情況，持續監控交易結果并進行年度供應鏈盡職調查重新評估，以決定是否繼續合作。2、采購的每一批次的白銀原料在運輸、出入庫、生產、付款過程都有合規專員的監控，其中出入庫必須有押運LBMA合規專員或LBMA風控官的簽字，付款必須有財務的LBMA合規專員及首席執行官的批準。
Regular reevaluation and continuous monitoring: 1.Every year, the Raw Material Purchase Department is responsible for collecting all changes to suppliers’ information, the on-going monitoring results of transactions and conducting the annual supply chain due diligence reevaluation to decide whether to continue cooperation. 2. Each batch of silver raw materials purchased shall be monitored by the Compliance Officer in the process of transportation, warehousing, production and payment. The warehousing must be signed by the LBMA Escort Compliance Officer or LBMA Risk Control Officer, and the payment must be approved by the LBMA Financial Compliance Officer and the Chief Executive Officer.
定期報告：每季度風控官根據LBMA管理的實際情況，向首席執行官提交報告。報告本季度LBMA管理體系運行情況進行總結，提出不足及改進措施。
Regular report: The Risk Control Officer shall submit reports to the Chief Executive Officer quarterly in accordance with the actual situation of LBMA management. The operation of LBMA management system in this quarter is summarized, and deficiencies and improvement measures are put forward in the report.
2019年，我公司采取了量化的手段對供應商進行評分管理，對除新供應商外的所有供應商進行年度補充風險評估。風控官已對評估結果進行審核。風控官每季度向首席執行官提交了報告。
In 2019, the Company took a quantitative approach to score and manage suppliers, and conducted annual supplementary risk evaluation for all suppliers except new suppliers. The evaluation results have been reviewed by the Risk Control Officer. The Risk Control Officer reports to the Chief Executive Officer every quarter.
第4步：安排對供應鏈盡職調查的獨立第三方審計
Step 4: Arrange for an independent third-party audit of the supply chain due diligence
合規聲明：
Compliance Statement with Requirement:
我方已完全遵照第4步：安排對供應鏈盡職調查進行獨立的第三方審計。
We have fully complied with Step 4: Arrange for an independent third-party audit of the supply chain due diligence.
湖南華信稀貴科技股份有限公司為符合《倫敦金銀市場協會可靠性白銀規范》的具體要求，委托必維檢驗認證集團上海分公司進行2019年度的合理保證鑒證業務。我公司按時編制了截至2019年12月31日的《冶煉廠合規性報告》。
In order to meet the specific requirements of LBMA Responsible Silver Guidance, Hunan Huaxin Rare&Precious Metals Technology Co., Ltd.entrusted the Shanghai Branch of Bureau Veritas to carry out the reasonable guarantee verification business in 2019. In addition, the Company has compiled the Refiner’s Compliance Report as of December 31, 2019 on time.
第5步：供應鏈盡職調查報告
Step 5: Report on supply chain due diligence
合規聲明：
Compliance Statement with Requirement:
我方已完全遵照第5步：供應鏈盡職調查報告。
We have fully complied with Step 5: Report on supply chain due diligence.
湖南華信稀貴科技股份有限公司根據《倫敦金銀市場協會（LBMA）可靠白銀指導原則》的具體要求制定的白銀供應鏈政策中規定了關于系統、程序、流程和控制措施的相關信息和具體細節，并以上傳到我公司官網（華信稀貴官網：http://www.d5659.com/）公開發布歡迎查閱。
According to the specific requirements of LBMA Responsible Silver Guidance, the silver supply chain policy formulated by Hunan Huaxin Rare&Precious Metals Technology Co., Ltd.stipulates relevant information and specific details on systems, procedures, processes and control measures, which are uploaded to the Company’s official website (official website of Huaxin Non-Ferrous Metal: http://www.d5659.com/) for public reference.
湖南華信稀貴科技股份有限公司總體結論
Overall conclusion of Hunan Huaxin Rare&Precious Metals Technology Co., Ltd.
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表3：管理層結論 Table 3: Management conclusion: |
總體而言，2019年湖南華信稀貴科技股份有限公司完成供應鏈管理體系，識別和評估了供應商的相關風險，設計并實施了風險管理策略，對供應鏈盡職調查進行了獨立的第三方審計。綜上所述，在報告年度截至于2019年12月31日的財年內，根據《倫敦金銀市場協會（LBMA）可靠白銀指導原則》的要求，湖南華信稀貴科技股份有限公司實施了有效的管理制度、程序、流程和實踐。
Overall speaking, in 2019,Hunan Huaxin Rare&Precious Metals Technology Co., Ltd. has improved the supply chain management system, identified and assessed the associated risk for our suppliers, designed and implemented risk management strategy, and conducted independent third-party audit for supply chain due diligence investigation.In conclusion, in the financial year ended December 31, 2019, Hunan Huaxin Rare&Precious Metals Technology Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Silver Guidance.
在下一階段的工作中，我方將致力于持續改進，以更有效地將可靠性白銀供應鏈流程與我方現有的供應鏈流程結合起來。將定期在內部對任何已確定的糾正措施進行監控。
In the next phase of work, we will be committed to continuous improvement to more effectively integrate the supply chain processes of responsible silver with our existing supply chain processes. Any identified corrective actions will be monitored internally on a regular basis.
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表4：其他報告意見 Table 4: Other report comments |
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If users of this report wish to provide any feedback to us with respect to this report, feel free to contact us by telephone 18075536146 or E-mail 2056251349@qq.com.
湖南華信稀貴科技股份有限公司
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