深 圳 市 點 金 貴 金 屬 精 煉 有 限 公 司

Shenzhen Point Gold Refining Co., Ltd.

程序文件

Procedure Document

文件名稱: 黃金白銀負責任采購申訴程序

Document name: Responsible Gold and Silver Procurement Complaint Procedure

文件編號：DJJL/B-007-2023

Document No.: DJJL/B-007-2023

版本：A

Version: A

1目的

1 Purpose

為加強深圳市點金貴金屬精煉有限公司黃金/白銀供應鏈合規性管理，根據 《LBMA負責任黃金/白銀指南》的要求，確保公司的供應鏈無侵犯人權、洗錢及恐怖分子籌資等行為。公司制定了含黃金/白銀物料和銷售審查制度，凡公司的供應商都應配合公司盡職調查小組的審查。各供應商應遵守國家相關法律法規，對供應的黃金/白銀確保來源和去向合規。允許公司黃金/白銀供應鏈中的利益相關方（受影響人員或舉報者）對采礦、貿易、加工和出口的過程中存在/潛在存在的風險進行申訴并確保得到妥善處理。

The Company has established a review system for materials containing Gold and Silver and sales in accordance with the requirements of LBMA Responsible Gold and Silver Guidance to strengthen the compliance management of Gold and Silver supply chain of Shenzhen Point Gold Refining Co., Ltd. and ensure that supply chain of the Company is free from human rights violations, money laundering and terrorist financing. All suppliers of the Company shall cooperate with the Due Diligence Team of the Company for review. All suppliers shall abide by relevant national laws and regulations and ensure the compliance of the source and destination of Gold and Silver supplied. Stakeholders (affected persons or whistleblowers) in the Gold and Silver supply chain of the Company shall be allowed to complain about the existing/potential risks in the process of mining, trade, processing and export and it shall be ensured that such complaints are handled properly.

2依據

2 Basis

《LBMA負責任黃金/白銀指南》、《LBMA負責任的黃金/白銀供應鏈盡職調查管理體系》、《深圳市點金貴金屬精煉有限公司供應鏈政策》

LBMA Responsible Gold and Silver Guidance, LBMA Responsible Gold and Silver Supply Chain Due Diligence Management System, and Supply Chain Policy of Shenzhen Point Gold Refining Co., Ltd.

3、適用范圍

3. Scope of application

本程序適用于涉及本公司的黃金和/或白銀負責任采購供應鏈的任何內外部的任何利益相關方，包括任何單位，政府組織，非政府組織，個人等。

The Procedure is applicable to any internal and external stakeholders involved in the responsible Gold and/or Silver procurement supply chain of the Company,including any organization, government organization, non-governmental organization, individual, etc.

4 管理機構及職責

4 Management organization and duties

公司設立申訴工作處理小組，成員合規總監、合規風控官、合規專員組成，工作組負責對申訴的處理。

The Company has established a Complaint Handling Team composed of Compliance Control Director, Compliance Risk Control Officer and Compliance Officer, and the team is responsible for handling complaints.

5 工作程序

5 Working procedure

5.1申訴信息的收集

5.1 Collection of complaint information 

公司設立聯系/申訴渠道：

The Company has established contact/complaint channels:

合規總監 郭子成 0755-25508906  guozicheng@pointgold.com

Compliance Director: GuoZicheng 0755-25508906  guozicheng@163.com

合規風控官  黃靜 0755-25508906  huangjing@pointgold.com

Compliance Risk Control Officer: Huang Jing 0755-25508906 huangjing@pointgold.com

在深圳市點金貴金屬有限公司集團官網http://www.mashylw.com/news/lbmareport/165.html中予以公布，電話、電子郵箱用于接收相關的詢問和申訴，由公司合規專員定期查看。

It is published on the official website of Shenzhen Point Gold Precious Metals Co., Ltd. (http://www.mashylw.com/news/lbmareport/165.html) with telephone and e-mail addresses provided to receive relevant inquiries and complaints. The Compliance Officer of the Company will regularly check them.

工作中接收到的相關方關于負責任供應鏈的與采礦、貿易、加工和出口情況有關的疑慮方面的信息。

Information will be received at work from interested parties on concerns about responsible supply chain in connection with mining, trade, processing and export.

5.2申訴的內容

5.2 Complaint contents

相關方對公司的供應鏈管理提起申訴時，該申訴需包含以下內容：

When interested parties lodge a complaint against supply chain management of the Company, the complaint shall include the following contents:

具體說明向何種決定提起申訴及理由；

Specify the decision against which the complaint is lodged and the reasons;

附相關書面證據；

Attach relevant written evidence;

具體說明在提出申訴之前采取了哪些步驟來解決問題；

Specify the steps taken to solve the problem before lodging a complaint;

5.3 申訴信息的分類

5.3 Classification of complaint information

公司需對接收到的詢問和申訴信息進行分類識別，申訴信息分為一般信息、特殊/重要申訴信息、不予受理信息。

The Company shall classify and identify the received inquiry and complaint information, and the complaint information is divided into general information, special/important complaint information and inadmissible information.

5.3.1一般信息：相關方對公司負責任礦物供應鏈管理的咨詢、供方的調查問卷等。

5.3.1 General information: related parties’ consultation on the Company’s responsible mineral supply chain management, suppliers’ questionnaires, etc.

5.3.2 特殊或重要申訴信息：

5.3.2 Special or important complaint information:

管理不符合LBMA要求的信息；

Information for management not conforming to LBMA requirements;

對供應商的礦物采購涉及公司識別的高風險區域的信息；

Information of mineral procurement from suppliers involving high-risk areas identified by the Company;

對供應商的礦物采購不符合公司的供應鏈政策的信息。

Information of mineral procurement from suppliers not conforming to supply chain policy of the Company.

5.3.3不予受理信息：

5.3.3 Inadmissible information:

瑣碎的、惡意的、無理取鬧的或似乎是為了獲得競爭優勢而產生的投訴。

Petty, malicious, unreasonable or complaint seemingly for the purpose of gaining a competitive advantage.

沒有令人信服的客觀證據支持的投訴。

Complaints not supported by convincing objective evidence.

5.4 申訴的處理

5.4 Handling of complaint

5.4.1關于匿名申訴

5.4.1 About anonymous complaint

支持匿名申訴，申訴工作處理小組不得對工作小組以外的任何人泄露申訴人信息，對于可能涉及申訴人信息的申訴內容予以保密，如申訴內容與工作小組成員有利害關系，工作小組應立即要求該成員避嫌。如發現有任何打擊報復申訴人的情況，公司將對相關涉事員工按公司章程嚴肅從重處理，如涉嫌違法犯罪，立即報案并移送司法機關處理。

Anonymous complaint is supported. The Complaint Handling Team shall not disclose the complainant’s information to anyone outside the team and keep confidential the contents of the complaint that may involve information of the complainant. If the contents of the complaint have interest with members of the team, the team shall immediately require the members to withdraw. If any retaliation against the complainant is found, the Company will seriously handle relevant employees in accordance with the Company’s Articles of Association. If they are suspected of violating laws and committing crimes, the case will be reported and referred to the judiciary authorities for handling. 

5.4.2申訴處理流程

5.4.2 Complaint handling procedure

申訴處理小組工作組應在收到申訴后 10 個工作日內確認收到申訴，在基于申訴是否符合5.3的基礎上確認接受或拒絕申訴。

The Complaint Handling Team shall confirm the receipt of the complaint within 10 business days upon receipt of the complaint, and confirm the acceptance or rejection of the complaint based on whether the complaint meets 5.3.

如果申訴被拒絕，應向申訴方提供書面解釋，并記錄在案。不得采取進一步行動。

If the complaint is rejected, a written explanation shall be provided for the complainant and recorded. No further action shall be taken.

對特殊重要申訴信息由申訴處理小組在決定受理后45個工作日內對上訴或投訴進行調查、審查和裁決。處理小組應盡最大努力在截止日期前完成工作。在極少數情況下可能需要額外的時間。申訴處理小組應采取合理措施，包括召開一次或多次會議，以作出合理決定。這類措施的例子包括:

With regard to particularly important complaint information, the Complaint Handling Team shall investigate, review and decide the grievance or complaint within 45 business days after deciding to accept it. The team shall make best endeavors to finish the work before the deadline. Extra time may be needed in a very few cases. The Complaint Handling Team shall take reasonable measures, including convening one or more meetings, to make a reasonable decision. Examples of such measures include:

咨詢專家

Consultant expert

請求申訴方或其他人提供更多信息

Request the complainant or others to provide more information

申訴方不合作可被視為中止該程序的理由。申訴處理小組應協商一致決定是否中止申訴程序。

If the complainant refuses to cooperate, it can be deemed as a reason for suspending the procedure. The Complaint Handling Team shall decide whether to suspend the complaint procedure through consensus.

申訴決定以書面形式傳達給申訴方，申訴決定應包含：

The complaint decision shall be conveyed to the complainant in written form and the complaint decision shall include:

申訴決定

Complaint decision

申訴決定是如何以及何時做出的

How and when was the complaint decision made?

任何新的建議

Any new suggestions

合規專員定期總結風險情況處理結果，并在公司官網公示申訴內容、處理方式及處理結果，合規風控官負責全程監督風險減緩措施的實施并每日向合規總監匯報進度，在風險減緩措施實施完成后，由合規總監定期評估措施的有效性并作出總結和評價。

The Compliance Officer shall regularly summarize risk handling results, and publicize the complaint contents, handling methods and handling results in the official website of the Company. The Compliance Risk Control Officer is responsible for supervising the implementation of risk mitigation measures throughout the process and reporting the progress to the Compliance Director daily. After implementation of the risk mitigation measures is completed, the Compliance Director shall regularly evaluate the effectiveness of the measures and makes summary and evaluation.

5.5申訴的記錄

5.5 Record of complaint

申訴工作處理小組應將收到的申訴記錄在案，包括以下內容:

The Complaint Handling Team shall record the complaints received, including the following contents:

何人何時提交申訴；

Who submitted the complaint and time;

申訴的類型、問題或主題以及隨申訴提交的信息；

Type, problem or theme of the complaint and the information submitted with the complaint;

接受或拒絕決定。

Accept or reject the decision.