江 西 銅 業 鉛 鋅 金 屬 有 限 公 司JIANGXI COPPER LEAD & ZINC METAL CO.,LTD
申訴機制
Grievance Mechanism
編制： 李 健
Prepared by: Li Jian
審核： 周圣兵
Reviewed by: Zhou Shengbing
批準： 劉湖濱
Approved by: Liu Hubin
生效日期：2024-12-13
Effective date: December 13, 2024
1．目的
為加強精煉廠白銀供應鏈合規性管理，根據《LBMA負責任白銀指南》第二版的要求，確保供應鏈無侵犯人權、洗錢及恐怖分子籌資等行為。我司制定了含銀物料和銷售審查制度，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，對供應的白銀確保來源和去向合規。允許公司的相關方（受影響人員或舉報者）說出與采礦、貿易、加工和出口情況有關的疑慮并得到妥善處理。
1. Purpose
To strengthen the compliance management of the silver supply chain, in accordance with the requirements of the second edition of the LBMA Responsible Silver Guidelines, ensure that the supply chain is free from human rights violations, money laundering, and terrorist financing. Our company has established a review system for silver containing materials and sales, and suppliers should cooperate with the due diligence team's review. Each supplier shall comply with relevant national laws and regulations, and ensure compliance with the source and destination of the supplied silver. Allow relevant parties (affected individuals or whistleblowers) of the company to express doubts related to mining, trade, processing, and export situations and receive proper handling.
2．依據
《LBMA負責任白銀指南》第二版、《負責任的白銀供應鏈盡職調查管理政策》
2. Based on
The second edition of the LBMA Responsible Silver Guidance, Responsible Silver Supply Chain Due Diligence Management Policy
3．適用范圍
3. Scope of application
本程序適用于本公司的相關方及本公司涉及負責任礦物采購相關工作的部門、單位及人員。
This program is applicable to relevant parties of our company and departments, units, and personnel involved in responsible mineral procurement work
4．管理機構及職責
公司設立申訴工作處理小組，成員由風險總監、合規風控官、合規專員組成，工作組負責對申訴的處理。
4. Management organization and responsibilities
The company has established an appeal handling team, consisting of a risk director, compliance and risk control officer, and compliance specialist. The working group is responsible for handling appeals.
5．工作程序
5. Work Procedures
5.1 申訴信息的收集
5.1 Collection of Appeal Information
公司設立聯系/申訴渠道：
合規總監：劉湖濱 0792-6376007 liuhubin-1@163.com
合規風控官：李健 0792-6376404 Lijian1211@126.com
Establish contact/appeal channels for the company:
Compliance Director: Liu Hubin 0792-6376007 liuhubin-1@163.com
Compliance and Risk Officer: Li Jian 0792-6376404 lijian1211@126.com
公司在官網www.400-0981-598.com/中《LBMA負責任的白銀公告》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。
The company publishes the "LBMA Responsible Silver Announcement" on its official website www.400-0981-598.com. Telephone and email addresses are used to receive relevant inquiries and appeals, which are regularly reviewed by the company's compliance officer
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 received from relevant parties in the workplace regarding concerns related to responsible supply chain in mining, trade, processing, and export situations.
5.2 申訴的內容
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：
（1）具體說明向何種決定提起申訴及理由；
（2）附相關書面證據；
（3）具體說明在提出申訴之前采取了哪些步驟來解決問題；
5.2 Content of appeal
When relevant parties file an appeal against the company's supply chain management, the appeal must include the following content:
(1) Provide specific instructions on which decision to appeal to and the reasons behind it;
(2) Attached with relevant written evidence
(3) Please specify the steps taken to resolve the issue before filing the appeal;
5.3 申訴信息的分類
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。
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。
5.3.2 特殊或重要申訴信息：
（1）管理不符合LBMA要求的信息；
（2）對供應商的礦物采購涉及公司識別的高風險區域的信息；
（3）對供應商的礦物采購不符合公司的供應鏈政策的信息。
5.3.3 不予受理信息：
（1）瑣碎、惡意、無理取鬧或似乎是為了獲得競爭優勢而產生的投訴。
（2）沒有令人信服的客觀證據支持的投訴。
5.3 Classification of Appeal Information
The company needs to classify and identify the received inquiry and appeal information, which is divided into general information, special/important appeal information, and non acceptance information.
5.3.1 General information: Consultations from relevant parties regarding responsible mineral supply chain management of the company, survey questionnaires from suppliers, etc.
5.3.2 Special or important appeal information:
(1) Manage information that does not meet LBMA requirements;
(2) The procurement of minerals from suppliers involves information on high-risk areas identified by the company;
(3) Information on mineral purchased from suppliers that does not comply with the company's supply chain policy
5.3.3 Unacceptable Information:
(1) Complaints that are trivial, malicious, unreasonable, or seem to arise in order to gain a competitive advantage;
(2) Complaints without convincing objective evidence to support.
5.4 申訴的處理
5.4 Handling of appeals
5.4.1 關于匿名申訴
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。
5.4.1 Regarding anonymous appeals
Support anonymous appeals, and the appeal handling team shall not disclose the information of the appellant to anyone outside the working group. The appeal content that may involve the appellant's information shall be kept confidential. If the appeal content has an interest in a member of the working group, the working group shall immediately require the member to avoid suspicion. If any retaliation against the appellant is found, the company will seriously deal with the relevant employees in accordance with the company's articles of association. If suspected of illegal activities, the case will be reported immediately and transferred to judicial authorities for processing.
5.4.2 申訴處理流程
5.4.2 Appeal Handling Process
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 working group of the appeal handling group shall confirm receipt of the appeal within 10 working days after receiving it, and confirm acceptance or rejection of the appeal based on whether it meets the requirements of 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 appeal is rejected, a written explanation should be provided to the complainant and recorded in the record. 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:
For special important appeal information, the appeal handling team shall investigate, review, and make a ruling on the appeal or complaint within 45 working days after deciding to accept it. The processing team should make every effort to complete the work before the deadline. In rare cases, additional time may be required. The appeal handling team should take reasonable measures, including convening one or more meetings, to make a reasonable decision. Examples of such measures include:
（1） 咨詢專家
(1) Consulting experts
（2）請求申訴方或其他人提供更多信息
(2) Requesting the appellant or others to provide more information
（3）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。
(3) The failure of the complainant to cooperate may be considered as a reason for suspending the procedure. The appeal handling team should reach a consensus on whether to suspend the appeal process.
（4）申訴決定以書面形式傳達給申訴方，申訴決定應包含：
(4) The appeal decision shall be communicated in writing to the appellant and shall include:
①申訴決定
②申訴決定是如何以及何時做出的
③任何新的建議
① Appeal decision
② How and when was the appeal decision made
③ 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 regularly summarizes the results of risk situation handling, and publicly displays the content, handling methods, and handling results of appeals on the company's official website. The compliance risk control officer is responsible for supervising the implementation of risk mitigation measures throughout the process and reporting progress to the compliance director daily. After the implementation of risk mitigation measures is completed, the compliance director regularly evaluates the effectiveness of the measures and makes a summary and evaluation.
5.5 申訴的記錄
5.5 Record of appeals
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 appeal handling team should record the appeals received, including the following content:
（1）何人何時提交申訴；
（2）申訴的類型、問題或主題以及隨申訴提交的信息；
（3）接受或拒絕決定。
(1) Who and when has submitted an appeal;
(2) The type, issue or theme of the appeal, and the information submitted with the appeal;
(3) Accept or reject the decision.