江西銅業鉛鋅金屬有限公司

Jiangxi Copper Lead & Zinc Metal Co., Ltd

2023年度白銀供應鏈盡職調查合規報告

Due Diligence Management Compliance Report of Silver Supply Chain in 2023

(2023/01/01-2023/12/31)

根據《倫敦金銀市場協會負責任的白銀指南》的要求，公司通過建立強大的管理體系，對供應商進行嚴格的盡職調查，避免系統性或廣泛性的侵犯人權行為、避免產生沖突，采用供應鏈盡職調查方法對所有供應商進行風險識別和評估，制定了高風險供應鏈的管理策略，確保供應鏈風險在可接受范圍內，確保本公司的白銀供應鏈完全符合LBMA負責任白銀指南的要求。

According to the requirements of the LBMA Responsible Silver Guidance issued by LBMA, the company has established a strong management system, conducted strict due diligence on suppliers, avoided systematic or widespread human rights violations, and avoided conflicts. The supply chain due diligence method has been used to identify and evaluate risks for all suppliers, and a high-risk supply chain management strategy has been developed to ensure that supply chain risks are within an acceptable range and that the company's silver supply chain fully complies with the requirements of the LBMA Responsible Silver Guidelines.

本報告總結了江西銅業鉛鋅金屬有限公司2023財年內（2023年1月1日-2023年12月31日）對《倫敦金銀市場協會負責任的白銀指南》要求的遵守情況。

This report summarized how Jiangxi Copper Lead & Zinc Metal Co., Ltd has complied with the requirements of LBMA Responsible Silver Guidance for the fiscal year 2023 (January 1, 2023-December 31, 2023).

一、公司概況

I.Company Overview

江西銅業鉛鋅金屬有限公司于2009年9月成立，為世界500強企業-江西銅業集團有限公司所屬控股法人企業，位于江西省湖口縣高新技術產業園，現有員工1100余人，生產鉛錠、鋅錠、金錠、銀錠、硫酸等優質主產品，現已具備年產電解鉛10萬噸，電解鋅12萬噸，黃金1200公斤，白銀350噸，硫酸25萬噸的生產能力。

一期20萬噸/年鉛鋅冶煉及資源綜合利用項目首次引進基夫賽特直接煉鉛技術，與常規濕法煉鋅工藝形成國內獨一無二的鉛鋅聯合冶煉工藝,發揮出了資源利用率高、環境保護好、自動化程度高、能源消耗低等顯著優勢，2013年榮獲中國有色金屬工業科學技術一等獎。公司連續七年保持盈利，先后通過“五標一體”管理體系認證、“國家高新技術企業”認證、“國家認可實驗室”認證，獲評工信部工業領域電力需求側管理示范企業、工信部鉛鋅行業首批合規企業，授予“全國‘安康杯’競賽優秀組織單位”“‘十三五’江西省安全生產工作先進單位”“江西省品牌建設先進單位”“第八屆九江市市長質量獎”，“江銅”牌鉛錠、鋅錠獲評首屆“江西精品”稱號。2022年6月，公司取得“AEO高級認證企業”資格，入選2022年度江西省管理創新示范企業榜單，企業管理規范化、精細化、信息化之路越走越寬，位列2023年“江西百強企業”第49位。

Jiangxi Copper Lead and Zinc Metal Co., Ltd, established in September 2009, is a holding entity enterprise of Jiangxi Copper Corporation Limited, one of the world's top 500 enterprises. Located in High-tech Industrial Park, Hukou County, Jiangxi Province, it has more than 1100 employees, producing lead ingots, zinc ingots, gold ingots, silver ingots, sulfuric acid and other high-quality main products，an annual outputof electrolytic lead 100,000 tons, electrolytic zinc 120,000 tons,1200 kgs of gold, 350 tons of silver,300,000 tons of sulfuric acid.

With capacity of 200kt/a, we are the first one who developed advanced lead and zinc joint smelting process by combining world-class Kivcet Lead Smelting with conventional hydrometallurgy of zinc, having several significant advantages, like high resource utilization, environmental protection, high degree of automation, low energy consumption etc., the Company won the first prize of the 2013 China Non-ferrous Metal Industry Science and Technology Award.The Company makes profit for seven consecutive years, successively achieve the FIVE STANDARD MANAGEMENT SYSTEM CERTIFICATE, NATIONAL HIGH-TECH ENTERPRISE CERTIFICATION,NATIONAL ACCREDITATION LABORATORY CERTIFICATION.It’s a model enterprise of power demand management Ministry of Industry and Information Technology, the ministry of industrial power demand side management demonstration enterprise, the ministry of lead and zinc industry's first compliance enterprises. The Company awarded the Excellent Organization Unit of the National "Ankang Cup" Competition, the Exemplary Organization of Safety Production in Jiangxi Province during the 13th Five Year Plan, the Exemplary Organization of Brand Building in Jiangxi Province, and the Eighth Mayor of Jiujiang City Quality Award, JCC brand lead ingot, zinc ingot named the first" Jiangxi Boutique " title.The Company has obtained the qualification of "AEO Advanced Certification Enterprise"in June 2022 and was elected into the list of management innovation demonstration enterprises in Jiangxi Province in 2022, the road to standardization, refinement and informatization of enterprise management is getting wider and wider. It ranked 49th among the "Top 100 Jiangxi Enterprises" in 2023.

二、合規性概述

II. Compliance Overview

公司對所有供應商進行嚴格的盡職調查，確保原料來源合法合規。

The Company conducts strict due diligence on all suppliers to ensure that the source of raw materials is legal and compliant.

第一步：建立強大的公司管理體系

Step 1: Establish strong company management systems

合規聲明

Compliance Statement with Requirement:

我們完全遵循第一步：建立強大的管理體系，開展白銀供應鏈盡職調查工作。

We have fully complied with Step 1: Establish strong management systems and conduct due diligence in the silver supply chain

1、公司政策

1、Company Policy

合規陳述：

Presentation of compliance:

根據《LBMA 負責任的白銀指南》和經合組織《來自受沖突影響和高風險地區的礦石負責任供應鏈盡職調查指南》附件 II 中規定，公司于2021年1月4日發布了《江西銅業鉛鋅金屬有限公司LBMA負責任白銀供應鏈盡職調查管理體系》，并視情況進行更新。體系中規定了白銀供應鏈盡職調查政策、內部的組織構架及責任、盡職調查流程、白銀供應鏈的風險識別方法、評判標準以及管理策略，此外還規定了白銀供應鏈盡職調查培訓培訓、供應鏈追溯系統、記錄的保存期限、交易監控等事宜。根據體系要求，制定了《風險評估方法和評價表》、《緩解策略》等文件。

In accordance with the requirements of the LBMA Responsible Silver Guidelines and Annex II of Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas of OECD，the Company issued the Jiangxi Copper Lead and Zinc Metal Co., Ltd LBMA Responsible Silver Supply Chains Due Diligence Management Systems on January 4, 2021 and update according to the situation. Besides, these systems stipulate silver supply chain due diligence policies, organizational structure and responsibilities within the Company, due diligence process, and risk identification methods, evaluation criteria and management strategies of silver supply chains. Moreover, these systems also stipulate due diligence training of silver supply chains, traceability systems of supply chains, preservation period of records, transaction monitoring, etc. Documents such as Risk Assessment Method and Evaluation Form and Mitigation Strategy are formulated based on the requirements of these systems.

2023年度，公司嚴格按照體系要求完成所有白銀供應商盡職調查，并進行風險識別和評估，有效的管控了白銀供應鏈的風險。

The Company completed the due diligence for all silver suppliers and conducted risk identification and evaluation according to the requirements of these systems in 2023, effectively managing and controlling the risk of silver supply chains.

公司的白銀供應鏈盡職調查政策嚴格禁止白銀供應商有如下行為：

The following behaviors of silver suppliers are strictly prohibited by the due diligence policies for silver supply chains of the Company:

a. 人權侵犯行為，包括使用童工、酷刑、非人道以及侮辱人格對待方式、廣泛的使用暴力或其他嚴重反人權強迫勞動、戰爭罪、反人類罪或種族滅絕罪；

a. Human rights violations, including employing child labors, using excruciation, inhuman and degrading treatment, wide use of violence or other forced labor against human rights, war crimes, crimes against humanity or genocide;

b. 向非法武裝組織或向通過供應鏈非法控制礦區、交易商、其他中介機構、運輸線路的公共或私人安全部隊提供直接或間接支持，或在整個供應鏈內非法征稅或敲詐錢財或礦產品（“非法武裝組織、公共或私人安全部隊”）；

b. Providing direct or indirect support for illegal armed organizations or mining areas, dealers, other intermediary organizations, public or private security forces for transportation routes illegally controlled through supply chains, or  illegally taxing or extorting money or minerals in the whole supply chains (“illegal armed organizations, public or private security forces);

c. 通過賄賂或欺詐掩蓋白銀原產地；

c. Concealing the origin of silver through bribery or fraud;

d. 為遵照政府有關來自受沖突及高風險區域的礦產品的提取、貿易及出口稅費要求；

d. To comply with the government’s requirements on extraction, trade and export taxes of minerals from conflict-affected and high-risk areas;

e. 洗錢或恐怖主義融資；

e. Money laundering or terrorist financing;

f. 資助沖突；

f. Contribution to conflict；

g. 從事高風險經營業務，例如武器、賭博、古董和藝術品、教派和其領導人；

g. Engaging in high-risk business, such as weapons, gambling, antiques and artworks, religious sects and their leaders;

h. 受益人是政治敏感人物或通緝人員；

h. The beneficiaries are the politically sensitive person or wanted person;

同時，公司也將該政策發布在官方網站上，網址為www.hzqjkc.com/                                        

Meanwhile, the Company also publishes the policies on its official website at www.hzqjkc.com/    

2、管理架構

2、Internal management structure

合規陳述：

Presentation of compliance:

根據體系要求，公司已建立供應鏈盡職調查管理制度，明確了組織架構及管理職責，包括一名合規總監、一名合規經理以及若干名合規組成員組成的管理團隊，團隊負責審批供應鏈盡職調查政策和制度、合規報告，開展供應鏈盡職調查流程和系統的運行和監控。

The Company established a supply chain due diligence management system, clarifying the organizational structure and management responsibilities based on the requirements of the systems, including one Compliance Director, one Compliance Manager and several members of the compliance team.The compliance team was responsible for approving supply chain due diligence policies and systems, compliance reports, and monitoring of supply chain due diligence processes and systems.

合規總監：公司授權的高級管理者副總經理劉湖濱，劉湖濱副總自我公司建廠以來一直為我公司重要董事，且負責公司經營管理工作，對經營管理有著豐富的理論知識和實操經驗。對外根據我公司原料采購政策和公司的生產、財務以及銷售情況等實際情況需要負責審批與供應商合作合同的簽訂（包括是否與高風險供應商合作的合同簽訂），并負責對供應商進行審查相關事宜。對內高級管理者根據LBMA負責任的白銀指南文件，對相關員工進行培訓，使相關負責人清楚的理解這一體系的目的和意義，明白自己在盡職調查政策實施中的職責，并半年組織培訓重溫相關內容。

Compliance Director: Liu Hubin, a senior manager and the Deputy General Manager authorized by the Company. He has been an important director of the Company since its establishment, and is in charge of the operation and management of the Company with his rich theoretical knowledge and practical experiences of operation and management. Externally, based on the Company’s raw material purchasing policies and actual requirements of production, financial and sales situations, he takes charge of reviewing and approving the signing of cooperation contracts with suppliers (including whether to sign contracts with high-risk suppliers), and reviewing suppliers. Internally, on the basis of the LBMA Responsible Silver Guidance, senior managers are responsible for training the related employees and ensuring related personnel in charge to clearly understand the purpose & meaning of the systems and know their responsibilities in the implementation of the due diligence policies. Besides, they should also organize the training to review the related contents every six months.

合規經理（周圣兵）：協助高級管理人員全面負責白銀供應鏈盡職調查事務，對白銀供應鏈上的所有事情負責，確保在高風險供應鏈或交易時采取了恰當的措施，提交風險評估報告。并有義務就責任供應鏈方面進行培訓，起草和更新白銀供應鏈政策，為高級管理者履責提供準確的信息。

Compliance Manager (Zhou Shengbing): He assists the senior managers in fully taking charge of the silver supply chains due diligence, and is also in charge of all matters related to the silver supply chains, so as to ensure that appropriate actions are taken for high-risk supply chains or during the transaction, and to submit the risk evaluation report. Besides, it is his duty to conduct training on responsible supply chains, draft & update policies of silver supply chains, and provide accurate information for senior managers to fulfill their responsibilities.

營銷部：確保原材料精礦供應的長期性、穩定性、安全性，并拒絕與高風險地區的相關企業、組織或國家合作。

Marketing Department: It is necessary to ensure the long-term, stability and safety of the supply of raw material concentrates, and refuse to cooperate with related enterprises, organizations or countries in high-risk areas.

質量計量部負責對采購含銀原料進行過磅稱重、出入庫記錄；檢化部負責對采購含銀原料進行化驗；稀貴分廠負責對產出銀錠進行稱重、打標記錄，車間組織投料生產并做好投料記錄和產出銀錠記錄，在生產過程中采用封閉式流程，確保白銀生產加工的安全性與可追溯性。

Quality Measurement Department is in charge of weighing and making warehousing records of purchased silver-bearing materials; the Inspection and Chemical Department is responsible for testing the purchased silver-bearing materials; the rare and precious metal branch is in charge of weighing, marking and recording the produced silver ingots. Besides, the workshop should organize the production of material input and make feeding records and the records of the produced silver ingots. The closed process should be provided during the production, so as to ensure the safety and traceability of silver production and processing.

財務部負責完整保存所有客戶的交易憑證。

The responsibility of the finance department is to keep all transaction documents intact.

質量計量部負責與營銷部結合，保證含銀原料接收的準確性；稀貴分廠負責對白銀銷售前的數量的統計，保證白銀實物出廠的安全性。

Quality Measurement Department, in combination with the Marketing Department, is responsible for ensuring the accuracy of receiving silver-bearing materials; the rare and precious metal branch is in charge of calculating the quantity of silver before sales to ensure the safety of leaving the factory for the physical silver.

營銷部需對交貨人身份信息進行確認，并在交易過程中，采用監督機制確保交易的安全性，保證公司不參與恐怖主義融資。

Marketing Department should confirm the identity information of the delivery personnel, and ensure the security of the transaction with supervisory mechanism during the transaction. It is also needed to ensure that the Company does not participate in the terrorist financing.

2023年度，管理團隊嚴格按照體系文件要求對所有白銀供應商進行了盡職調查，合規經理對所有調查結果進行了監督和審核，確保所有含銀物料供應商在合作前都滿足LBMA要求并得到合規總監的批準，所有原料采購業務均簽訂合同、供應商承諾書，所有供應商均承諾含銀物料來源符合白銀指南要求。

The management team conducted due diligence for all silver suppliers in strict accordance with requirements of the system documents in 2023. Besides, the Compliance Manager implemented supervision and audit for all results of the due diligence, so as to ensure that all suppliers of silver-bearing materials meet the requirements of LBMA and are approved by the Compliance Director before cooperation.A contract and letter of commitment for suppliers were signed for all raw material procurement businesses. All suppliers promised that the source of silver-bearing materials complied with the requirements of silver guidance

3、供應鏈可追溯系統

3、Supply chain traceability system

合規陳述：

Presentation of compliance:

公司根據《LBMA負責任白銀指南》，確定了供應鏈追溯體系，在業務過程中，收集和保存所有供應商提供的信息，包括供應商名稱、產地、合同評審表、合同文本、結算方式、運輸過程、重量和檢驗報告、生產日期、入庫時間等。每批出庫銀塊都有一個唯一的編號，并有一個出庫臺帳記錄，包括日期、重量、質量等。

The Company has determined the traceability system of supply chains based on the requirements of the LBMA Responsible Silver Guide. It collects and saves all information provided by suppliers in the process of business, including supplier name, origin,the contract review form, contract text, method of settlement, transportation process, weight and inspection reports,warehousing time, etc.Each batch of outgoing silver bullion is assigned a unique number, and there is an outgoing account record, including the date, weight, quality,etc.

根據保留的所有記錄，可以完成從成品追溯到原料、從原料追溯到成品，并能追溯每個供應商每批產品的采購合同，根據合同內容可以追溯包括貴金屬類型、采購重量、分析報告以及相關盡職調查文件等信息。

Based on all saved records, it is able to trace from finished products to raw materials and from raw materials to finished products, and trace the procurement contracts about every batch of products of all suppliers. Furthermore, according to these contracts, it is able to trace a lot of information including types of precious metals, procurement weight, analysis reports and related due diligence documents, etc.

4、與供應商約定

4、Engagement with silver supplying counterparties

合規陳述：

Presentation of compliance:

根據管理體系的要求，在對供應商風險評估時，與供應商簽訂合同前，公司業務人員依據公司的合規要求，與所有白銀供應商簽署《LBMA合規承諾書》，以確保他們了解公司LBMA管理的要求和供應鏈政策。在承諾書中，白銀供應商應以書面形式承諾并承認，提供的所有原料應符合 LBMA 白銀責任指南，避免沖突區域和高風險區域開采、處理進出口金屬產品、濫用人權、融資非政府武裝實體、違法犯罪團伙、賄賂、欺詐、洗錢等。公司支持實施采掘業透明度行動計劃的倡議。2023年度簽約的所有供應商均簽署了相關的承諾書。

According to the requirements of management systems, the Company’s business personnel should sign the Letter of Commitment for LBMA Compliance with all silver suppliers as required by the Company’s compliance requirements to ensure that they are aware of the Company’s commitment to LBMA management and the supply chain policies at the time of conducting risk evaluation on suppliers and before signing the contract with suppliers. Besides, in this letter of commitment, silver suppliers should commit to, and acknowledge in writing that all raw materials provided by the seller should conform to LBMA Silver Responsible Guidance to avoid mining and handling import and export of metal products in conflict areas and high-risk areas, abuse of human rights, financing of non-governmental armed entities, illegal and criminal gangs, bribery, fraud, money laundering, etc.. . The Company supports the implementation of the initiative of the excavation industry transparency action plan.All suppliers contracted in 2023 have signed the related letter of commitment.

5、交易付款和交易監控

5、Transaction Payment & Monitoring

合規陳述：

Presentation of compliance:

公司所有業務均通過官方銀行渠道收款和付款，沒有任何現金交易，每筆貨款都經過嚴格審批后支付。國外進口精礦結算是通過信用證付款，國內是通過銀行轉賬付款。

The receipt and payment of all business of the Company should be subject to the official bank channels, without any cash transaction，and each payment is made after strict approval. The settlement of concentrates imported from abroad is made through the letter of credit, and that of domestic concentrates is made through bank transfer.

根據管理體系要求，我們對每批白銀產品都進行交易監督，保留相關付款憑證。合規專員負責交易監控工作，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，報告給合規總監。此外，我們與當地政府建立了反洗錢合作關系，任何洗錢行為我們都會第一時間通知政府，并配合政府進行洗錢調查。2023年度的交易全部采用銀行轉帳方式，未出現異常現象。

The Company supervises the transaction of every batch of silver and keeps related payment vouchers in accordance with requirements of the management systems. Besides, the Compliance Officer is responsible for monitoring the transaction and checking the background of transactions that do not meet the requirements or are suspected to not meet the requirements in any form. The findings should be confirmed in writing and reported to the Compliance Director. In addition, the Company has established an anti-money laundering partnership with the local government. It will immediately notify the government of any money laundering and cooperate with the government in money laundering investigation. Moreover, all transactions in 2023 were subject to the bank transfer without any anomaly.

6、培訓

6、Training

合規陳述：

Presentation of compliance:

公司每年采取多種方式對相關崗位以及合規小組成員宣講供應鏈盡職調查管理、LBMA 負責任的白銀指南等知識，并定期組織所有關于白銀相關部門進行培訓，以確保公司相關崗位以及合規小組成員熟悉供應鏈盡職調查管理和 LBMA 負責任的白銀指南，2023年度共計進行了兩次集中培訓，即關于供應商盡職調查能力建設會議與關于盡職調查的合規會議。培訓后進行了效果評價，并且保留培訓記錄。

The Company promotes supply chain due diligence management and LBMA responsible silver guidelines to relevant positions and compliance team members through various means every year,and regularly organizes the training for all departments related to the silver, to ensure that relevant company positions and compliance team members are familiar with supply chain due diligence management and the LBMA responsible silver guidance, a total of two training sessions were held in 2023，including conference to help suppliers to build due diligence capability and conferene on due diligence compliance. Effect evaluation was conducted after the training and training records were saved.

7、記錄保留

7、Records keeping

合規陳述：

Presentation of compliance:

根據公司<白銀供應鏈盡職調查管理體系>要求，所有供應商相關文檔，包括供應商營業執照、采礦證等資質驗證資料復印件、盡職調查文件、風險評估表、合規文件、合同文本、檢驗記錄以及出入庫記錄等均至少保存五年。

According to the requirements of the Company’s Silver Supply Chains Due Diligence Management Systems, all documents related to suppliers shall be kept for at least five years, including photocopies of qualification verification data such as the Suppliers Business License and Mining License,due diligence documents, risk evaluation forms, compliance documents, contract text, inspection records, warehousing records, etc.

8、溝通和機密申訴機制

8、Communication & Confidential grievance mechanisms

合規陳述：

Presentation of compliance:

公司建立了申訴機制，并且申訴機制在含銀物料采購過程中均向供應商進行了必要的溝通，內外部利益相關方可以匿名舉報有關白銀交易過程中的違規行為。工廠設立了意見箱，作為內部員工的舉報途徑，并由相關人員定期開箱檢查匯總舉報內容。公司盡職調查政策、電話、電子郵箱均在公司網站發布，所有員工及供應商均可以通過網絡了解這些信息，凡對政策有疑問或者發現違規行為的可以通過電話、電子郵箱等方式進行反饋。2023年度沒有舉報事件發生。

The Company has established a grievance mechanism, and necessary communication has been made with suppliers during the procurement of silver-bearing materials. Besides, the internal and external stakeholders can anonymously report violations during the silver transaction. As the report method for internal employees, the report box has been set by the factory and will be opened & checked regularly by the related personnel. The report contents will also be summarized regularly by the related personnel. The Company’s due diligence policy, telephone No. e-mail are all published on the websites of the Company, all employees and suppliers of the Company can access this information through the Internet.In case of any questions about the policy or occurrence of any violations, feedbacks can be conveyed via telephone, e-mail, etc.No report occurred in 2023.

第二步：識別和評估供應鏈風險

Step 2: Identify and assess risks in the supply chain

合規聲明

Compliance Statement with Requirement:

我們完全遵循第二步：識別和評估供應鏈風險

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

公司嚴格遵守 LBMA 白銀責任指南第二步“供應鏈風險的識別與評估”的要求，制定了高風險供應鏈的判定標準，并對識別出來的風險規定了處理程序，充分對供應鏈中的風險進行識別和評估。2023年未發現髙風險供應鏈。

The Company strictly adheres to the requirements of the second step of the LBMA Silver Responsibility Guidelines, "Identification and Evaluation of Supply Chain Risks," has developed criteria for determining high-risk supply chains, and has established procedures for handling identified risks, fully identifying and evaluating risks in the supply chain. No high-risk supply chain has been identified in 2023.

1、供應鏈風險識別

1、Identify risks in the supply chain

合規陳述：

Presentation of compliance:

公司白銀全部來源于礦產白銀,根據經合組織《受沖突影響和高風險地區礦產負責任供應鏈盡職調查指南》附件 II，識別從產地到精煉廠的供應鏈相關風險，公司在與供應商簽合同之前為每個供應商建立供應商檔案，填寫 KYC 問卷，并對其進行風險評級，密切關注來自侵犯人權、武裝沖突、非法開采等地區的白銀，以及用于賄賂、洗錢、恐怖主義融資等行為的白銀。 

All the company's silver comes from mineral sources, the Refiner shall identify relevant risks related to the supply chain from the origin to the refinery in accordance with Annex II in Guidelines for Due Diligence of Responsible Supply Chains for Minerals in Conflict-Affected and High-Risk Areas of Organization for Economic Co-operation and Development.The Company established a supplier file for each supplier for filling in a KYC questionnaire, completed the establishment of the supplier file before signing a contract with it, and performed a risk rating on it. The Company closely monitors silver originating inareas such as human rights violations, armed conflict, illegal mining, andfor use in bribery, money laundering, and terrorist financing.

管理體系中規定了供應商風險識別方法，涵蓋了含銀物料從原產地到精煉廠的所有風險，通過《供應商盡職調查表》進行風險識別，識別方法包括，建立供應鏈客戶檔案，包括：企業名稱、法定代表人、地址、聯系方式、營運方式、生產方式、交易合同等；對既有供應鏈客戶需定期進行核查，如有新建或變更的客戶，需及時對其進行檔案資料檢查，保持檔案資料庫處于最新狀態；識別每一客戶、企業和企業收益所有人，使用可靠的獨立來源文件、數據或者信息來驗證其身份；確定供應鏈中每一客戶、企業和企業收益所有人不在任何政府的洗錢、詐騙或恐怖主義通緝名單上；定期獲取供應鏈客戶商業和財務方面的詳細情況、從事白銀交易目的及商業運作情況。

The management system specifies the methods for supplier risk identification, covering all risks of silver-bearing materials from the origin to the refinery. Risk identification shall be carried out in accordance with the Due Diligence Questionnaire on Suppliers, and identification methods include establishing customer archives in the supply chain, covering: company name, legal representative, address, contact information, way of operation, way of production and trade contract; regularly checking the existing customers in the supply chain and inspecting archival data timely in case of new customers or changed customers to keep the archival database up-to-date; identifying each customer, enterprise and enterprise income owner, and verifying their identities through reliable independent-source documents, data or information; ensuring that all customers, enterprises and enterprise income owners in the supply chain are not in any wanted list of the government in connection with money laundering, defrauding or terrorism; regularly obtaining detailed information on business and finance of customers in the supply chain as well as their purposes of silver trading and business operations.

2、供應鏈風險評估

2、 Risk assessment in the supply chain

合規陳述：

Presentation of compliance:

2.1、建立供應商檔案

2.1、Establish supplier files

公司對于所有供應商均進行供應鏈的盡職管理調查，風險評判細則可參考中國政府認可的國際制裁名單、多德－弗蘭克法案第 1502 條、歐盟 CAHRA 名單、海德堡晴雨表、脆弱國家指數或類似的指數、聯合國人權事務高級專員辦事處或同等機構、金融行動特別工作組（FATF）的報告、關于高風險黃金和白銀中心/轉運中心和高洗錢風險國家/地區的可靠市場情報，填寫 KYC 問卷， 在進行合作前要求合作方提供符合供應鏈盡職調查管理制度要求的相關資質證明文件，對供應商基本情況、股東信息、提供原料類型及產地、貴金屬類型、結算方式等信息進行調查，并盡可能地將供應鏈調查向供應商的上游延伸，對于涉及零容忍供應鏈、高風險供應鏈的供應商拒絕合作。

The Company conducted due diligence investigations of all suppliers. The risk evaluation rules can be referred to the international sanctions list recognized by the Chinese government, Dude -Frank -Frank. Article 1502 of the bill, the European Union's CAHRA list, Heidelberg barometer, the fragile national index or similar index, the report of the UN High Commissioner's Office or the same institution, and the financial action group (FATF) . Regarding the reliable market intelligence of high -risk gold And silver centers/transshipment centers and countries/regions of high money laundering risks, fill in the KYC questionnaire, and request partners to provide partners with relevant qualification certification documents that meet the requirements of the supply chain investigation and management system. Basic situation, shareholders' information, providing raw materials and origin and origin, precious metal type, settlement method and other information, and extend the supply chain survey as much as possible to the upstream of the supplier. For the supply of zero tolerance supply chain, high -risk supply chain, Business refuses to cooperate.

2.2、高風險供應鏈

2.2、High risk supply chain

以下任何一條客觀存在時，則該供應鏈被判定為高風險供應鏈。合規小組成員應立即準備材料上報合規經理，由合規總監批準采取應對措施，停止交易，消除風險。

When any one of the below evaluation criteria exists objectively, the supply chain is judged as a high-risk supply chain. Members of the department compliance team shall immediately prepare materials and report them to the Compliance Manager, who shall report them to the Compliance Director approve to stop the transaction and eliminate risks.

(1) 原材料白銀來自、過境或運輸，途經沖突影響或侵犯人權風險較高的地區。

(1) The raw material silver comes from, transits or transports through areas with high risk of conflict impact or human rights violation.

(2) 原材料白銀來自一個已知儲量有限，資源有限或預期白銀產量有限的國家。

(2) The raw material silver is claimed to have come from a country with limited known reserves, limited resources or limited expected silver output.

(3) 原材料白銀來自已知具有沖突影響和侵犯人權行為的高風險地區，或者有理由懷疑它是通過該地區傳播的。

(3) The raw material silver comes from a known high-risk area with conflict impact and human rights violation, or has reason to suspect that it is transmitted through this area.

(4)白銀供應鏈中的公司或其他已知的上游公司位于洗錢、犯罪和腐敗風險較高的國家。

(4) Companies in the silver supply chain or other known upstream companies are located in a country with high risk in money laundering, crime and corruption.

(5)白銀供應鏈中公司或其他已知上游公司的實益擁有人是政治公眾人物。

(5) The beneficial owner of a company in the silver supply chain or other known upstream company is a politically exposed person.

(6)白銀供應鏈中的公司或其他已知的上游公司積極參與高風險的商業活動，如武器、賭博、賭博、古董和藝術品、鉆石、宗教和宗教領袖。

(6) Companies in the silver supply chain or other known upstream companies are actively involved in high-risk business activities such as weapons, gambling, gambling, antiques and artworks, diamonds, religion and religious leaders.

(7)中國政府確定的其他高風險情況，以及歐盟CAHRA名單，多德 - 弗蘭克法案和FATF名單等。

(7) Other high-risk circumstances identified by Chinese government and according to EU CAHRAs list, Dodd-Frank act and FATF list, etc.

2.3、風險評估結果分為兩種，高風險和非高風險。

2.3、 Risk assessment results fall into two classes: high-risk and non-high-risk.

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》，依據管理體系要求針對所有含銀原料新客戶和老客戶進行評估，公司全部含銀原料均為精礦：銀精礦供應商需要提供營業執照、承諾書、盡職調查表、運輸方式以及受益人相關調查內容。

Prior to the establishment of business relations with suppliers, the Business Department shall fill in the Due Diligence Questionnaire on Silver Supply Chain. All new and old customers of silver-bearing materials shall be evaluated in accordance with the requirements of the management system. The Company’s silver-bearing materials are all concentrates: For suppliers of silver concentrates, it is required to provide business license, letter of commitment, due diligence questionnaire, mode of transportation and beneficiary-related survey content.

對于高風險精礦供應商，我們將暫停交易，封存該供應商所有產品并立即進行強化盡職調查，實地考察或參觀高風險供應鏈，證實供應鏈盡職調查結果的文件記錄是否真實，調查結束后出具現場審計報告。

For suppliers of high-risk concentrates, we will suspend trading and mothball all products from such suppliers while carrying out intensive due diligence and field investigation or visiting the high-risk supply chain promptly to verify whether the document records of due diligence results for the supply chain are authentic. An on-site audit report will be issued after investigation.

最后，根據搜集的信息和供應鏈風險識別的結果，對每個供應商進行單獨的風險評估，填寫風險評估表，由負責評估的合規總監簽字，并填寫最終評估日期。

Finally, risk assessment shall be carried out separately for each supplier as per the information gathered and the results of risk identification in the supply chain to fill in the form of risk assessment. This form shall be signed by the Compliance Director in charge of assessment with the final assessment data filled in.

2023財年我們共計完成了45家精礦供應商的盡職調查；風險評估結果記錄在相應的 LBMA 供應鏈風險評估表中，包括評估標準、意見和理由，根據風險評估結果，所有供應商均為非高風險供應商。

In 2023 (fiscal year), we completed due diligence on 45 concentrate suppliers in total; The risk assessment results have been completely recorded in the corresponding LBMA Supply Chain Risk Assessment Form, including assessment criteria, opinions and reasons.All suppliers were non-high-risk as per the results of risk assessment.

3、交易監測

3、Transaction monitoring

合規陳述：

Presentation of compliance:

精煉廠應對在建立關系的過程中所作的交易開展適當的審查和監測，以確保交易與精煉商對供應鏈和風險狀況的了解一致。交易監測應采用基于風險的方法進行。

The refinery shall carry out appropriate review and monitoring for transactions conducted in the process of establishing relations to ensure that such transactions are consistent with the Refiner’s understanding of the supply chain and risk profile. Risk-based methods shall be adopted for transaction monitoring.

公司對所有交易情況進行監督，確保交易與供應鏈調查一致。完成了來自國內和國外的所有礦產銀供應商的盡職調查，根據風險及強化盡職調查評估結果，供應商均為非高風險供應商。

The Company monitors all transactions to ensure that the transactions are consistent with the supply chain investigation.We have completed due diligence on all domestic and foreign silver suppliers, and according to the risk and enhanced due diligence assessments, all suppliers are non-high risk suppliers.

公司對供應鏈盡職調查進行檢查，每批原料編號唯一，對于所有的原料釆購入庫均保留完整的單據資料，對于入庫的含銀礦粉保存有過磅單、水份測定記錄、品位檢測報告、結算單、財務憑證等。明確各個部門應在日常工作中收集保存的資料，由營銷部、質量計量部、檢化部、財務部對相關單據進行保存，并定期將相關資料送至檔案室進行存檔。

The Company checks the due diligence of the supply chain, including unique number of each batch of raw materials, complete documents and data of all raw materials purchased and put into storage, and weighing lists,moisture measurement records, grade detection reports, final settlements and financial vouchers of the stored silver-containing concentrate. It is required to specify data needing to be collected and preserved by each department in its daily work and the Marketing Department, the Quality Measurement Department, the Inspection and Chemical Examination Department, the Finance Department shall keep relevant documents and send them to the archives room regularly for archival purposes.

4、風險評估結果的匯報

4、Report risk assessment to the designated manager

合規陳述：

Presentation of compliance:

合規經理每年代表高級管理團隊向合規總監和最高管理層提供一份評論報告。高級管理層保留對白銀供應鏈的最終控制權和責任。如果高風險供應商，必須得到最高管理層的批準，并立即停止合作。

The Compliance Manager shall submit a review report to the Compliance Director and the top management on behalf of the senior management team every year. The senior management shall reserve the ultimate control and liability of the silver supply chain. For high-risk suppliers, approval from the top management is required for ceasing cooperation promptly.

第三步：對已識別的風險實施管理策略

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

合規聲明：

Compliance Statement with Requirement:

我們完全符合第三步：設計和實施一項管理策略應對已識別的風險

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

1、針對已識別的風險實施一項風險管理策略

1、A strategy for risk management of an identified risk

合規陳述：

Presentation of compliance:

公司建立了文件化的《風險緩解策略》，合規官負責緩解策略的落實工作，主要通過以下方式進行風險管理：

The Company has established the documented Risk Mitigation Strategy. The Compliance Officer shall be responsible for implementation of the mitigation strategy, and risk management shall be carried out mainly in the following ways:

高風險供應商：如果供應鏈盡職調查結果得出的結論是，存在洗錢、恐怖主義融資、嚴重的侵犯人權、直接或間接支持非法的政府武裝組織或通過欺詐誤導礦產品的原產地，我們將立即停止與該供應商交易，對已交易的貴金屬數量進行核實并封存，并上報至最高管理層。如果供應鏈盡職調查結果得出的結論是，可能存在洗錢、恐怖主義融資、嚴重的侵犯人權、直接或間接支持非法的政府武裝組織或通過欺詐誤導礦產品的原產地，我們將立即暫停與該供應商交易，對已交易的貴金屬數量進行核實并封存，對該供應商進行強化盡職調查，通過實地考察、委托有能力的第三方或有資質的人員對該供應商進行現場審核，出具審核報告，若現場審核的結果為高風險供應商，則停止交易并上報有關部門；若該供應商無重大風險且愿意配合整改，則監督該供應商在六個月內整改至滿足LBMA準則的要求，可以繼續進行交易。若在六個月內無法整改至滿足要求，則停止交易。如果盡職調查的結果無法充分滿足要求，不能為風險評估提供有效的證據，缺少相關資質證明，如營業執照、采礦許可證、進出口相關單據、貴金屬原產地、運輸方式等，則暫停與該供應商的交易，直至提供完整的資料并通過了風險評估。

High-risk suppliers: If it is concluded from the results of due diligence on the supply chain that there is money laundering, terrorist financing, serious violations of human rights, direct or indirect support for illegal governmental armed organizations, or fraudulent misrepresentation on the origin of minerals, we will promptly cease trading with such suppliers while checking the quantity of precious metals traded, mothballing and reporting them to the top management. If it is concluded from the results of due diligence on the supply chain that there may be money laundering, terrorist financing, serious violations of human rights, direct or indirect support for illegal governmental armed organizations, or fraudulent misrepresentation on the origin of minerals, we will promptly suspend trading with such suppliers while checking the quantity of precious metals traded and mothballing them, carrying out intensive due diligence on such suppliers, conducting on-site review on such suppliers through field investigation or by entrusting a competent third party or qualified personnel, and issuing a review report. If the results of on-site review show that it is a high-risk supplier, it is required to cease trading and report to the relevant departments;

非高風險供應商：不存在洗錢、恐怖主義融資、嚴重的侵犯人權、直接或間接支持非法的政府武裝組織或通過欺詐誤導礦產品的原產地等零容忍問題，并且提供了所有的相關盡職調查的資料，通過風險評估，結論為非高風險供應商，則繼續進行交易，并定期對其進行風險監控。

Non-high-risk suppliers: If there are no zero-tolerance problems, such as money laundering, terrorist financing, serious violations of human rights, direct or indirect support for illegal governmental armed organizations, or fraudulent misrepresentation on the origin of minerals, and all materials related to due diligence are provided with the results of risk assessment showing that it is a non-high-risk supplier, it is required to continue trading and carry out risk monitoring on a regular basis.

2、量化措施，績效監督，重新評估以及定期匯報

2、Measurable steps, monitoring of performance, periodic reassessment, regular reporting to designated senior management.

合規陳述：

Presentation of compliance:

量化手段和績效評估：根據《LBMA風險緩解策略》，如果盡職調查的結果處于低風險，但仍存在輕微不符合時，只要該公司在規定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原材料。如果白銀供應鏈盡職調查提交的資料不完善，或者不愿意配合的，這說明存在洗錢、恐怖主義融資、助長沖突、侵犯人權的行為可能性很高，我們將立即停止從其處獲取白銀原材料，直到其他信息或數據能證實其低風險。

Measurable steps and performance evaluation: In accordance with the LBMA Risk Mitigation Strategy, if the results of due diligence show that it is at low risk but there are still minor non-conforming items, we will continue to refine silver materials coming from this source provided that it adopts an improvement strategy stating clear performance objectives within the specified time. In case of incomplete information provided for the due diligence on silver supply chain or suppliers unwilling to cooperate with due diligence, which indicates that there is a high possibility of money laundering, terrorist financing, furtherance of conflicts or violations of human rights, we will stop immediately to refine silver materials from this source, until there is additional information or data available for confirming that it is at low risk.

根據2023年的盡職調查結果，所有供應商均為低風險，無供應商需要進行風險緩解的管理策略。

As per the results of due diligence in 2023, all suppliers were low-risk, and no suppliers were required to adopt a management strategy for risk mitigation.

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合規專員的簽字，付款必須有財務的LBMA合規專員的批準。

Periodic reassessment and continuous monitoring: 1. The Compliance Officer in the Raw Material Purchase Department shall organize personnel to collect all changes to suppliers’ information, continuously monitor the results of transactions, and conduct the reassessment of annual due diligence on the supply chain to decide whether to continue cooperation every year. 2. Each batch of silver 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, and the payment must be approved by the LBMA Financial Compliance Officer.

定期報告：每季度合規專員根據LBMA管理的實際情況，向合規總監和最高管理層提交匯報。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 reporting: The Compliance Officer shall quarterly submit reports to the Compliance Director and the top management in accordance with the actual situation of LBMA management. The operation of LBMA management system in this quarter shall be reported for summarization. Moreover, deficiencies and improvement measures shall be brought forward.

2023年，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。合規總監已對評估結果進行審核。并且每季度向最高管理層提交了報告。

In 2023, the Company took measureable steps to score and manage suppliers, and carried out annual supplementary risk assessment for all suppliers other than new ones. The Compliance Director reviewed the results of assessment. Moreover, reports were submitted quarterly to the top management.

第四步：安排獨立的第三方審計

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

合規聲明：

Compliance Statement with Requirement:

我們完全符合第四步：安排獨立的第三方審計

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

合規陳述：

Presentation of compliance:

公司嚴格遵守 LBMA 白銀責任指南第四步“對精煉商的盡職調查實踐開展獨立的第三方審計”的要求，委托必維認證（北京）有限公司進行合理鑒證，審計報告將在年度審計完成后在公司官網（http://www.hzqjkc.com/）進行公布。

The Company strictly abided by the requirements of“ arrange for an independent third-party audit of the

refiner due diligence” in Step 4 of LBMA Responsible and Silver Guidance. Bureau Veritas Certification (Beijing) Co., Ltd. is responsible for reasonable authentication，the audit report will be posted on the official website of the Company after the annual audit was completed（http://www.hzqjkc.com/）.

第五步：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:

我們完全符合第五步：供應鏈盡職調查報告

We have fully complied with Step 5: Report on supply chain due diligence

合規陳述：

Presentation of compliance:

公司根據 LBMA 負責任的白銀指南制定了《江西銅業鉛鋅金屬有限公司白銀盡職調查合規報告（2023 年）》，并在公司網站（http://www.hzqjkc.com/）予以公示。

The Company has prepared the "Jiangxi Copper Lead & Zinc Metal Co., Ltd Due Diligence Management Compliance Report of Silver Supply Chain in 2023" in accordance with LBMA Responsible Silver Guidance and has made it public on the Company's website（http://www.hzqjkc.com/）.

三、結論

III.Conclusion

公司在截至2023年12月31日的報告年度報告中，通過供應鏈盡職管理體系，實施了盡職調查管理政策，識別和評估了供應鏈相關風險，實施風險管理策略，對供應鏈盡職調查工作進行了獨立的第三方審計，及時編制了供應鏈盡職調查報告，因此，公司完全遵守了LBMA 負責任的白銀指南。

The Company established and improved a supply chain due diligence management system, identified and evaluated supply chain related risks, designed and implemented risk management strategies, and conducted independent third-party audits of supply chain due diligence work in the annual report submitted as of December 31, 2023，and prepared a supply chain due diligence report. Therefore, the Company has fully complied with the LBMA Responsible Silver Guidance.

在未來的工作中，公司致力于在現有白銀供應鏈盡職調查制度的基礎上持續改進，并將負責任的白銀供應鏈流程與公司相應制度更有效地結合起來，并且將定期對內部發現的所有糾正措施進行監控。

In future work, the Company will be committed to continuous improvement on the basis of the existing due diligence system for the silver supply chain, and will more effectively integrate responsible silver supply chain processes with the Company's corresponding systems. Any identified corrective actions will be monitored internally on a regular basis.

四、其他

IV. Others

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If users of this report wish to provide any feedback to us with respect to this report, please feel free to contact us by telephone 0792-6376404 or email lijian1211@126.com.