江 西 銅 業(yè) 鉛 鋅 金 屬 有 限 公 司JIANGXI COPPER LEAD & ZINC METAL CO.,LTD

申訴機(jī)制

                      Grievance Mechanism

編制： 李  健

                     Prepared by: Li Jian

審核： 周圣兵

                     Reviewed by: Zhou Shengbing

批準(zhǔn)： 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(qiáng)精煉廠白銀供應(yīng)鏈合規(guī)性管理，根據(jù)《LBMA負(fù)責(zé)任白銀指南》第二版的要求，確保供應(yīng)鏈無(wú)侵犯人權(quán)、洗錢(qián)及恐怖分子籌資等行為。我司制定了含銀物料和銷(xiāo)售審查制度，供應(yīng)商都應(yīng)配合公司盡職調(diào)查小組的審查。各供應(yīng)商應(yīng)遵守國(guó)家相關(guān)法律法規(guī)，對(duì)供應(yīng)的白銀確保來(lái)源和去向合規(guī)。允許公司的相關(guān)方（受影響人員或舉報(bào)者）說(shuō)出與采礦、貿(mào)易、加工和出口情況有關(guān)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(jù)

《LBMA負(fù)責(zé)任白銀指南》第二版、《負(fù)責(zé)任的白銀供應(yīng)鏈盡職調(diào)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(guān)方及本公司涉及負(fù)責(zé)任礦物采購(gòu)相關(guān)工作的部門(mén)、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(jī)構(gòu)及職責(zé)

公司設(shè)立申訴工作處理小組，成員由風(fēng)險(xiǎn)總監(jiān)、合規(guī)風(fēng)控官、合規(guī)專員組成，工作組負(fù)責(zé)對(duì)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(shè)立聯(lián)系/申訴渠道：

合規(guī)總監(jiān)：劉湖濱 0792-6376007  [email protected]

合規(guī)風(fēng)控官：李健 0792-6376404  [email protected]

Establish contact/appeal channels for the company:

Compliance Director: Liu Hubin  0792-6376007  [email protected]

Compliance and Risk Officer: Li Jian  0792-6376404  [email protected]

公司在官網(wǎng)www.nbwudaoshijie.com/中《LBMA負(fù)責(zé)任的白銀公告》中予以公布，電話、電子郵箱用于接收相關(guān)的詢問(wèn)和申訴，由公司合規(guī)專員定期查看。

The company publishes the "LBMA Responsible Silver Announcement" on its official website www.nbwudaoshijie.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(guān)方關(guān)于負(fù)責(zé)任供應(yīng)鏈的與采礦、貿(mào)易、加工和出口情況有關(guān)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(nèi)容

相關(guān)方對(duì)公司的供應(yīng)鏈管理提起申訴時(shí)，該申訴需包含以下內(nèi)容：

（1）具體說(shuō)明向何種決定提起申訴及理由；

（2）附相關(guān)書(shū)面證據(jù)；

（3）具體說(shuō)明在提出申訴之前采取了哪些步驟來(lái)解決問(wèn)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(lèi)

公司需對(duì)接收到的詢問(wèn)和申訴信息進(jìn)行分類(lèi)識(shí)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(guān)方對(duì)公司負(fù)責(zé)任礦物供應(yīng)鏈管理的咨詢、供方的調(diào)查問(wèn)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(duì)供應(yīng)商的礦物采購(gòu)涉及公司識(shí)別的高風(fēng)險(xiǎn)區(qū)域的信息；

（3）對(duì)供應(yīng)商的礦物采購(gòu)不符合公司的供應(yīng)鏈政策的信息。

5.3.3 不予受理信息：

（1）瑣碎、惡意、無(wú)理取鬧或似乎是為了獲得競(jìng)爭(zhēng)優(yōu)勢(shì)而產(chǎn)生的投訴。

（2）沒(méi)有令人信服的客觀證據(jù)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(guān)于匿名申訴

支持匿名申訴，申訴工作處理小組不得對(duì)工作小組以外的任何人泄露申訴人信息，對(duì)于可能涉及申訴人信息的申訴內(nèi)容予以保密，如申訴內(nèi)容與工作小組成員有利害關(guān)系，工作小組應(yīng)立即要求該成員避嫌。如發(fā)現(xiàn)有任何打擊報(bào)復(fù)申訴人的情況，公司將對(duì)相關(guān)涉事員工按公司章程嚴(yán)肅從重處理，如涉嫌違法犯罪，立即報(bào)案并移送司法機(jī)關(guān)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(yīng)在收到申訴后 10 個(gè)工作日內(nèi)確認(rèn)收到申訴，在基于申訴是否符合5.3的基礎(chǔ)上確認(rèn)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(yīng)向申訴方提供書(shū)面解釋，并記錄在案。不得采取進(jìn)一步行動(dòng)。

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(duì)特殊重要申訴信息由申訴處理小組在決定受理后45個(gè)工作日內(nèi)對(duì)上訴或投訴進(jìn)行調(diào)查、審查和裁決。處理小組應(yīng)盡最大努力在截止日期前完成工作。在極少數(shù)情況下可能需要額外的時(shí)間。申訴處理小組應(yīng)采取合理措施，包括召開(kāi)一次或多次會(huì)議，以作出合理決定。這類(lèi)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(qǐng)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(yīng)協(xié)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(shū)面形式傳達(dá)給申訴方，申訴決定應(yīng)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(shí)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(guī)專員定期總結(jié)風(fēng)險(xiǎn)情況處理結(jié)果，并在公司官網(wǎng)公示申訴內(nèi)容、處理方式及處理結(jié)果，合規(guī)風(fēng)控官負(fù)責(zé)全程監(jiān)督風(fēng)險(xiǎn)減緩措施的實(shí)施并每日向合規(guī)總監(jiān)匯報(bào)進(jìn)度，在風(fēng)險(xiǎn)減緩措施實(shí)施完成后，由合規(guī)總監(jiān)定期評(píng)估措施的有效性并作出總結(jié)和評(píng)價(jià)。

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(yīng)將收到的申訴記錄在案，包括以下內(nèi)容:

The appeal handling team should record the appeals received, including the following content:

（1）何人何時(shí)提交申訴；

（2）申訴的類(lèi)型、問(wèn)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.