云南滇金投资有限公司黄金供应链管理政策
Gold Supply Chain Management Policy of Yunnan Dianjin Investment Co., Ltd
云南滇金投资有限公司坚持可持续发展战略，我们意识到，对供应商的选择和控制，特别是在黄金交易和采购关键原料方面，对可持续性的发展至关重要。为全面实施OECD关于在冲突地区及高危地区供应链尽职调查指导方针，推行LBMA RGG尽责管理体系，特制定本政策。
Yunnan Dianjin Investment Co., Ltd. pursues the sustainable development strategy. We recognize that selection and control of suppliers, especially in gold transaction and procurement of key raw materials, is of particular importance to sustainable development. The Policy is specially formulated to comprehensively implement guideline of OECD for supply chain due diligence in conflict areas and high-risk areas and practice LBMA RGG responsible management system.
为保证3499拉斯维加斯官网黄金产品的收购均为合法，不与犯罪、武装冲突、侵犯人权有关，3499拉斯维加斯官网对黄金供应商进行尽职调查。各供应商需遵守LBMA RGG管理体系的各项要求，向3499拉斯维加斯官网提供的所有类别黄金产品的收购均为合法，不从事任何会为冲突提供资助的活动，遵守联合国相关制裁决议，或者在适用情况下，遵守执行此类决议的国内法律。并且不涉及以下情况：
We have conducted due diligence for gold suppliers to ensure that gold acquisition by us is all legal and irrelevant to crimes, armed conflicts and infringement upon human rights. All suppliers need to follow all requirements of LBMA RGG management system and acquisition of all categories of gold products provided for us shall be all legal. They shall not be engaged in any activities which will fund conflicts and shall obey related sanction resolutions of the United Nations or follow domestic laws executing such resolutions if applicable. They shall not be involved in the following:
一、与矿产开采、运输、或贸易有关的严重侵权行为：
One、Serious infringement acts related to mineral exploration, transportation or transaction:
1.在受冲突影响和高风险区域开展采购或经营活动时，我们既不会容忍也 不会以任何方式获利于、帮助、协助或便利任何一方实施：
1. We will not tolerate or benefit from, help, assist or facilitate any party to implement the following when carrying out procurement or operation in conflict-affected and high-risk areas:
i) 任何形式的酷刑，残忍、不人道和有辱人格的待遇；
i) Any form of torture, brutality, inhumanity and degrading treatment;
ii) 任何形式的强迫或强制劳动。强迫或强制劳动是指以惩罚作为威胁 榨取的任何个人的、并非该人自愿提供的劳动或服务；
ii) Any form of forced or compulsory labor. Forced or compulsory labor refers to any personal labor or service not provided voluntarily by such person and squeezed by taking punishment as threat;
iii)最恶劣形式的童工；
iii) The worst form of child labor;
iv)其他严重侵犯和践踏人权的行为，如普遍的性暴力行为；
iv) Other behaviors seriously violating and trampling on human rights, such as general sexual violence;
v)战争罪或其他严重违反国际人道主义法的行为，反人类罪或种族灭绝罪。
v)War crime or other acts seriously violating international humanitarian law, against humanity or causing genocide.
二、对严重侵权行为的风险管理：
Two、Risk management for serious infringement acts：
如果我们有合理理由认为该风险存在，即上游供应商正从实施第1条所规定的严重侵权行为的任何一方进行采购或与该方有关联，我们将立即中止或中断与该供应商的合作。
If we have reasonable grounds to believe that there is such risk, namely upstream suppliers are purchasing items from or related to such party with serious infringement acts specified in Article 1, we will immediately stop or suspend cooperation with such suppliers.
三、关于直接或间接支持非国家武装团体：
Three: Direct or indirect support to non-state armed groups:
我们不会容忍任何通过矿产开采、运输、贸易、处理或出口为非国家武装团体提供直接或间接的支持。通过矿产开采、运输、贸易、处理或出口为非国家武装团体提供 “直接或间接的支持”包括且不限于从非国家武装团体或其关联方购买矿产，向其进行付款，或以其他方式为其提供 后勤支援或设备等。这些武装团体或关联方：
We will not tolerate any direct or indirect support to non-state armed group through mineral exploration, transportation, transaction, processing or export. “direct or indirect support” to non-state armed groups through mineral exploration, transportation, transaction, processing or export includes but is not limited to purchase mineral products from non-state armed groups or related parties, making payments to them or providing assistance or equipment for them in other ways. These armed groups or related parties:
i)非法控制矿址，或以其他方式控制运输路线、矿产交易点以及供应 链的上游行为主体；
i) Control the mine site illegally or control transport routes, mineral product transaction points and upstream subjects of the supply chain in other ways;
ii) 在矿址入口、运输路线沿线或矿产交易点非法征税或者勒索钱财或矿产；
ii) Impose taxes or extort money or mineral products illegally at entrance of the mine site, along the transport route or at mineral product transaction points;
iii)对中间商、出口企业、或国际贸易者非法征税或勒索。
iii) Impose taxes or extort money from middlemen, export enterprises or international traders illegally.
四、对向非国家武装团体提供直接或间接支持的风险管理：
Four、Risk management for direct or indirect support to non-state armed groups:
如果我们有理由认为，上游供应商从向非国家武装团体提供直接或间接支持的任何一方进行采购或与之存在关系，我们将立即中止或中断与该供应商的合作。
If we have reasons to believe that upstream suppliers are purchasing items from or related to such party providing direct or indirect support for non-state armed groups, we will immediately stop or suspend cooperation with such suppliers.
五、关于公共或私人安全武装：
Five、Public or private security forces:
1、我们认可矿址及/或其周边地区以及/或运输道路沿线的公共或私人安全武装的作用仅是维护法治，包括保障人权、保护矿工、设备和设施安全、保护矿址或运输路线以使合法的开采和贸易不受干扰。
1、We acknowledge that the function of public or private security forces at the mine site and/or around it and/or along transport routes is only to safeguard rule of law, including maintaining human rights, protecting safety of miners, equipment and facilities, protecting the mine site or transport routes to make legal exploration and transaction free from interference.
2、在我们或我们供应链上的任何企业与公共或私人安全武装签订了合约的情况下，我们承诺或者将规定，在与这类安全武装进行合作的过程中将 遵守《安全与人权自愿原则》的规定。尤其是，我们将会支持或采取措 施运用筛查政策，确保已知的实施过严重侵犯人权行为的个人或安全武装单位不被录用。
2、When contracts have been signed by and between any enterprise in the supply chain and us and public or private security forces, we undertake or will specify that provisions of Voluntary Principles on Security and Human Rights will be followed during cooperation with such security forces. In particular, we will support or take measures and apply screening policy to ensure that individuals or security forces that have committed serious infringement acts will not be employed.
3、我们将支持或采取措施与中央或地方政府、国际组织和民间社会组织开 展合作，共同为如何提高公共安全武装安保费用的透明度、相称性和问 责性找到可行的解决方案。
3、We will support cooperation or take measures to cooperate with the central government or local governments, international organizations and social organizations, with a view to jointly finding feasible solutions to improvement of transparency, proportionality and accountability for security expenses of public safety.
4、 我们将支持或采取措施与当地政府、国际组织和民间社会组织开展互动， 避免或最大限度地降低公共或私人安全武装驻扎在矿址给弱势群体带来 的负面影响，尤其是对小作坊矿工的负面影响，在这种情况下，供应链上的矿产是通过小作坊或小规模采矿的方式开采出来的小作坊。
4、 We will support communication or take measures to communicate with local governments, international organizations and social organizations to avoid or minimize negative influence of stationing of public or private security forces at the mine site on vulnerable groups, especially miners of small sites. Under this condition, mineral products of the supply chain are from small sites or small sites which exploit mines through small-scale mining.
六、对公共或私人安全武装的风险管理：
Six、Risk management for public or private security forces:
如果我们发现在一定程度上存在此类风险，将根据企业在供应链上所处 的具体位置，立即制定、采用和实施上游供应商及其他利益相关方风险 管理计划，从而使第五段中所述的为公共或私人安全武装提供直接或间接支持的风险得到遏制或降低。如果风险管理计划实施六个月未起作用，我们将暂时停止或中断与上游供应商的合作。我们发现在一定程度上有可能存在有违上述行为的情况下，将采取同样的应对措施。
If we find that such risks exist to a certain degree, we will immediately formulate, adopt and implement risk management plans for upstream suppliers and other interested parties according to the specific position of the enterprise in the supply chain, with a view to restricting or reducing risk of providing direct or indirect support to public or private security forces mentioned in paragraph 5. If no effect is observed six months after the risk management plan is implemented, we will temporarily stop or interrupt the cooperation with upstream suppliers. We will take the same countermeasures if we find that violation of above acts may exist to a certain degree.
七、关于行贿受贿及矿产原产地的欺诈性失实陈述：
Seven、Bribery and fraudulent misrepresentation of place of origin of mineral products:
我们不会提出、承诺、进行或索要任何贿赂，并且抵制诱惑，不会为了掩盖或伪造矿产原产地，虚报矿产开采、贸易、处理、运输、出口等活动应向政府缴纳的税收、费用和特许开采费而行贿。
We will not offer, promise, conduct or ask for any bribe, and will resist the temptation. We will not offer bribes for the purpose of covering up or falsifying the place of origin of mineral products and falsely report taxes, fees and royalties to be paid to the government for mineral exploration, transaction, processing, transportation and export activities.
八、关于洗钱及恐怖主义融资
Eight、Money laundering and terrorist financing
如果我们有理由认为，供应链中存在因开采、贸易、处理、运输、出口、在矿址入口、运输路线沿线、上游供应商矿产交易地等进行非法征税或勒索而得的矿产所引起或与之相关的洗钱风险或恐怖主义融资，我们将支持并采取措施，并按照规定及时向国务院公安部门、国家安全部门和反洗钱行政主管部门报告，为有效消除洗钱行为及恐怖主义融资做出贡献。
If we have reason to believe that, the existence in the supply chain of the risk of money-laundering or terrorist financing arising from or related to the illegal taxation or extortion of minerals derived from the exploitation, trade, processing, transport, export, at the entrance to the mine site, along the transport route, at the trading place of the upstream supplier's minerals, we will support and take measures and report in a timely manner to the public security department of the State Council, the National Security Department and the anti-money-laundering administrative authority, as required, in order to contribute to the effective elimination of money-laundering and the financing of terrorism.
九、关于向政府支付的税收、费用及特许费：
Nine、Taxes, fees and royalties paid to the government:
我们将确保向政府支付所有与受冲突影响和高风险区域矿石开采、贸易、出口相关的合法税收、费用和特许费，并且承诺根据企业在供应链上所处位置依照《采掘行业透明度行动计划》（ EITI）中的各项原则对此类支付进行披露。
We will ensure that we will pay the government all legal taxes, fees and royalties related to ore mining, transaction and export in conflict-affected and high-risk areas, and promise to disclose such payments according to the position of the enterprise in the supply chain and the principles of Extractive Industry Transparency Initiative (EITI).
十、对行贿受贿及矿产原产地的欺诈性失实陈述、洗钱、恐怖主义融资及向政府支付的税收、费用、特许费的风险管理：
Ten、Risk management for bribery and fraudulent misrepresentation of place of origin of mineral products, money laundering and taxes, fees and royalties paid to the government:
据企业在供应链上所处的具体位置，我们承诺与供应商、中央或地方政府机关、国际组织、民间社会以及受影响的第三方酌情进行合作，本着在合理的时间跨度内采取显著措施防范或降低有负面影响的风险之目的，对绩效进行改善或跟踪。风险降低措施未起作用的，我们将暂时停止或中断与上游供应商的合作。
According to the specific position of the enterprise in the supply chain, we promise to cooperate with suppliers, central or local government agencies, international organizations, social organizations and affected third parties as appropriate to improve or track the performance with a view to taking significant measures to prevent or reduce the risks with negative influences within a reasonable time frame. If no effect is observed upon execution of risk reduction measures, we will temporarily stop or interrupt the cooperation with upstream suppliers.
3499拉斯维加斯官网认可的合格供应商提供的黄金产品必须符合LBMA RGG管理体系的各项要求，公司的相关对接单位须认真核实供应商信息，建立供应商信息管理档案，并不定期考察评估供应商风险。
Gold products provided by qualified suppliers recognized by us must conform to all requirements of LBMA RGG management system. Our related cooperative organizations must carefully verify supplier information and establish supplier information management archives. In addition, supplier risk shall be irregularly assessed and evaluated.
十一、对环境和可持续性发展的风险管理
Twelve、Risk management for environment and sustainable development
3499拉斯维加斯官网认可的合格供应商需要满足当地环境和可持续发展的法律要求。
Qualified suppliers recognized by us need to satisfy legal requirements of local environmental and sustainable development.
若发现有违反环境和可持续性发展等要求的，可进行限期整改。若整改不到位的，则暂时停止或中断合作。
Rectification can be made within a specific time limit in case violations against environmental and sustainable development requirements are found. If the rectification still does not conform to requirements, we will temporarily stop or interrupt the cooperation.
十二、精炼商须通过查询有关下列 ESG 因素的政策和实践，并使用精炼商工具包，解决其原生金供应链中的ESG 因素。 ESG 考量因素基于风险厘定，以反映对手方的性质、规模和复杂性。ESG因素：遵守经营所在国家/地区的环境、健康、安全和劳工法规及/或公司政策。
Thirteen、Refiners must address the ESG factors in their mined gold supply chain by querying policies and practices regarding the following ESG factors and using the Refiner Toolkit. ESG considerations are risk-based to reflect the nature, size and complexity of the counterparty。ESG factor：Comply with environmental, health, safety and Labour laws and/or company policies in the country/region where operations are conducted.
1、环境管理，包括：空气、水、土地污染和事件管理计划水管理，特别是在缺水地区未经授权从世界遗产地和保护区采购
1、Environmental management, including: Air, water and land pollution and incident management plans, Water management, particularly unauthorized procurement from World Heritage Sites and protected areas where water is scarce。
2、危险化学品（包括汞和氰化物）的储存、处理和处置注：LBMA认识到汞主要用于手工和小规模开采（ASM）来源，因此并不禁止这类供应链。相反，LBMA要求精炼商与这些手工供应链合作，帮助它们建立安全使用汞的流程，限制对环境、健康和安全的负面影响，并找到汞的替代解决方案。精炼商应与上游生产商合作，鼓励他们遵守国际氟化物管理守则。
2、Storage, handling, and disposal of hazardous chemicals (including mercury and cyanide) Note: The LBMA recognizes that mercury is primarily used in artisanal and small-scale mining (ASM) sources and does not prohibit such supply chains. Instead, the LBMA requires refiners to work with these artisanal supply chains to help them establish processes of using mercury safely, limit negative environmental, health and safety impacts, and find alternative solutions to mercury. Refiners should work with upstream producers to encourage them to comply with the international Code of fluoride management.
3、劳工问题的管理，包括薪酬、工作时间、集体谈判、歧视、多样性、纠纷和工人权益保障。
3、Management of Labour issues, including pay, working hours, collective bargaining, discrimination, diversity, disputes and protection of workers' rights.
4、社区参与和管理方案（土地征用和社区重新安置、文化遗产地和土著人民、关闭规划和保护弱势群体）。
4、Community participation and management programme (land acquisition and community resettlement, cultural heritage sites and indigenous peoples, closure planning and protection of vulnerable groups).
十三、了解客户或对手方（KYC）
Fourteen 、Know Your Customer or counterparty (KYC)
每年度按照最新KYC调查表中的内容对供应链客户开展尽职调查，KYC调查资料必须存档至少5年以上。
Conduct annual due diligence on supply chain customers in accordance with the latest KYC questionnaire. KYC survey data must be archived for at least 5 years.
十四、员工培训
Fifteen、Staff training
每年为所有参与黄金供应链的员工制定持续的黄金供应链培训计划，每年开展4次培训。培训内容包括供应链政策、LBMA 负责任黄金指南、供应链反洗钱及反恐怖主义融资政策、KYC调查表、供应链风险等内容。培训过程应记录培训内容，并对员工的出勤状况及其对供应链风险和尽职调查流程的认知进行适当监控。
Develop an ongoing gold supply chain training program for all employees involved in the gold supply chain, with 4 training sessions per year. The training content includes supply chain policy, LBMA Responsible Gold Guidance, Supply chain anti-money laundering and anti-terrorist financing policy, KYC questionnaire, supply chain risk and so on. Training sessions should be documented and staff attendance and awareness of supply chain risks and due diligence processes properly monitored.
十五、申诉机制
Sixteen、Complaint mechanism
3499拉斯维加斯官网的黄金供应链管理政策每年将公布于3499手机版拉斯维加斯官网，若您发现3499拉斯维加斯官网在黄金供应链中的矿产开采、冶炼、运输、加工贸易等存在上述情况，可通过以下方式联系我们，将您的意见和建议及时反馈给我们。我们将保护您的隐私，对举报人信息严格保密，杜绝任何行为的打击报复。
Our company's Gold Supply Chain Management Policy will be published annually in the official website of Yunnan Gold&Mineral Group Co., Ltd, if you find the existence of the above-mentioned situation in the mining, smelting, transportation, processing trade, etc. of our gold supply chain, you may contact us through the following ways to give us your comments and suggestions timely. We will protect your privacy, keep the informant's information strictly confidential, and prevent any retaliation.
网 址：/
Website: /
电话∶ +86-(0)871-63818301 +86-(0)871-63806159
Tel: +86-(0)871-63818301 +86-(0)871-63806159
邮件：dianjin@ygmg.net
Email: dianjin@ygmg.net
云南滇金投资有限公司
Yunnan Dianjin Investment Co., Ltd.