深 圳 市 点 金 贵 金 属 精 炼 有 限 公 司

Shenzhen Point Gold Refining Co., Ltd.

程序文件

Procedure Document

文件名称: 黄金白银负责任采购申诉程序

Document name: Responsible Gold and Silver Procurement Complaint Procedure

文件编号：DJJL/B-007-2023

Document No.: DJJL/B-007-2023

版本：A

Version: A

1目的

1 Purpose

为加强深圳市点金贵金属精炼有限公司黄金/白银供应链合规性管理，根据 《LBMA负责任黄金/白银指南》的要求，确保公司的供应链无侵犯人权、洗钱及恐怖分子筹资等行为。公司制定了含黄金/白银物料和销售审查制度，凡公司的供应商都应配合公司尽职调查小组的审查。各供应商应遵守国家相关法律法规，对供应的黄金/白银确保来源和去向合规。允许公司黄金/白银供应链中的利益相关方（受影响人员或举报者）对采矿、贸易、加工和出口的过程中存在/潜在存在的风险进行申诉并确保得到妥善处理。

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依据

2 Basis

《LBMA负责任黄金/白银指南》、《LBMA负责任的黄金/白银供应链尽职调查管理体系》、《深圳市点金贵金属精炼有限公司供应链政策》

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、适用范围

3. Scope of application

本程序适用于涉及本公司的黄金和/或白银负责任采购供应链的任何内外部的任何利益相关方，包括任何单位，政府组织，非政府组织，个人等。

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 管理机构及职责

4 Management organization and duties

公司设立申诉工作处理小组，成员合规总监、合规风控官、合规专员组成，工作组负责对申诉的处理。

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申诉信息的收集

5.1 Collection of complaint information 

公司设立联系/申诉渠道：

The Company has established contact/complaint channels:

合规总监 郭子成 0755-25508906  guozicheng@pointgold.com

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

合规风控官  黄静 0755-25508906  huangjing@pointgold.com

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

在深圳市点金贵金属有限公司集团官网https://www.pointgold.com/news/lbmareport/165.html中予以公布，电话、电子邮箱用于接收相关的询问和申诉，由公司合规专员定期查看。

It is published on the official website of Shenzhen Point Gold Precious Metals Co., Ltd. (https://www.pointgold.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.

工作中接收到的相关方关于负责任供应链的与采矿、贸易、加工和出口情况有关的疑虑方面的信息。

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申诉的内容

5.2 Complaint contents

相关方对公司的供应链管理提起申诉时，该申诉需包含以下内容：

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

具体说明向何种决定提起申诉及理由；

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

附相关书面证据；

Attach relevant written evidence;

具体说明在提出申诉之前采取了哪些步骤来解决问题；

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

5.3 申诉信息的分类

5.3 Classification of complaint information

公司需对接收到的询问和申诉信息进行分类识别，申诉信息分为一般信息、特殊/重要申诉信息、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：相关方对公司负责任矿物供应链管理的咨询、供方的调查问卷等。

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

5.3.2 特殊或重要申诉信息：

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;

对供应商的矿物采购涉及公司识别的高风险区域的信息；

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

对供应商的矿物采购不符合公司的供应链政策的信息。

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:

琐碎的、恶意的、无理取闹的或似乎是为了获得竞争优势而产生的投诉。

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

没有令人信服的客观证据支持的投诉。

Complaints not supported by convincing objective evidence.

5.4 申诉的处理

5.4 Handling of complaint

5.4.1关于匿名申诉

5.4.1 About anonymous complaint

支持匿名申诉，申诉工作处理小组不得对工作小组以外的任何人泄露申诉人信息，对于可能涉及申诉人信息的申诉内容予以保密，如申诉内容与工作小组成员有利害关系，工作小组应立即要求该成员避嫌。如发现有任何打击报复申诉人的情况，公司将对相关涉事员工按公司章程严肃从重处理，如涉嫌违法犯罪，立即报案并移送司法机关处理。

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申诉处理流程

5.4.2 Complaint handling procedure

申诉处理小组工作组应在收到申诉后 10 个工作日内确认收到申诉，在基于申诉是否符合5.3的基础上确认接受或拒绝申诉。

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.

如果申诉被拒绝，应向申诉方提供书面解释，并记录在案。不得采取进一步行动。

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

对特殊重要申诉信息由申诉处理小组在决定受理后45个工作日内对上诉或投诉进行调查、审查和裁决。处理小组应尽最大努力在截止日期前完成工作。在极少数情况下可能需要额外的时间。申诉处理小组应采取合理措施，包括召开一次或多次会议，以作出合理决定。这类措施的例子包括:

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:

咨询专家

Consultant expert

请求申诉方或其他人提供更多信息

Request the complainant or others to provide more information

申诉方不合作可被视为中止该程序的理由。申诉处理小组应协商一致决定是否中止申诉程序。

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.

申诉决定以书面形式传达给申诉方，申诉决定应包含：

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

申诉决定

Complaint decision

申诉决定是如何以及何时做出的

How and when was the complaint decision made?

任何新的建议

Any new suggestions

合规专员定期总结风险情况处理结果，并在公司官网公示申诉内容、处理方式及处理结果，合规风控官负责全程监督风险减缓措施的实施并每日向合规总监汇报进度，在风险减缓措施实施完成后，由合规总监定期评估措施的有效性并作出总结和评价。

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申诉的记录

5.5 Record of complaint

申诉工作处理小组应将收到的申诉记录在案，包括以下内容:

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

何人何时提交申诉；

Who submitted the complaint and time;

申诉的类型、问题或主题以及随申诉提交的信息；

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

接受或拒绝决定。

Accept or reject the decision.