江 西 铜 业 铅 锌 金 属 有 限 公 司JIANGXI COPPER LEAD & ZINC METAL CO.,LTD
申诉机制
Grievance Mechanism
编制： 李 健
Prepared by: Li Jian
审核： 周圣兵
Reviewed by: Zhou Shengbing
批准： 刘湖滨
Approved by: Liu Hubin
生效日期：2024-12-13
Effective date: December 13, 2024
1．目的
为加强精炼厂白银供应链合规性管理，根据《LBMA负责任白银指南》第二版的要求，确保供应链无侵犯人权、洗钱及恐怖分子筹资等行为。我司制定了含银物料和销售审查制度，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，对供应的白银确保来源和去向合规。允许公司的相关方（受影响人员或举报者）说出与采矿、贸易、加工和出口情况有关的疑虑并得到妥善处理。
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．依据
《LBMA负责任白银指南》第二版、《负责任的白银供应链尽职调查管理政策》
2. Based on
The second edition of the LBMA Responsible Silver Guidance, Responsible Silver Supply Chain Due Diligence Management Policy
3．适用范围
3. Scope of application
本程序适用于本公司的相关方及本公司涉及负责任矿物采购相关工作的部门、单位及人员。
This program is applicable to relevant parties of our company and departments, units, and personnel involved in responsible mineral procurement work
4．管理机构及职责
公司设立申诉工作处理小组，成员由风险总监、合规风控官、合规专员组成，工作组负责对申诉的处理。
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 申诉信息的收集
5.1 Collection of Appeal Information
公司设立联系/申诉渠道：
合规总监：刘湖滨 0792-6376007 liuhubin-1@163.com
合规风控官：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
公司在官网www.jxccqx.com/中《LBMA负责任的白银公告》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。
The company publishes the "LBMA Responsible Silver Announcement" on its official website www.jxccqx.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 received from relevant parties in the workplace regarding concerns related to responsible supply chain in mining, trade, processing, and export situations.
5.2 申诉的内容
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：
（1）具体说明向何种决定提起申诉及理由；
（2）附相关书面证据；
（3）具体说明在提出申诉之前采取了哪些步骤来解决问题；
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 申诉信息的分类
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。
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。
5.3.2 特殊或重要申诉信息：
（1）管理不符合LBMA要求的信息；
（2）对供应商的矿物采购涉及公司识别的高风险区域的信息；
（3）对供应商的矿物采购不符合公司的供应链政策的信息。
5.3.3 不予受理信息：
（1）琐碎、恶意、无理取闹或似乎是为了获得竞争优势而产生的投诉。
（2）没有令人信服的客观证据支持的投诉。
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 申诉的处理
5.4 Handling of appeals
5.4.1 关于匿名申诉
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。
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 申诉处理流程
5.4.2 Appeal Handling Process
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 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 appeal is rejected, a written explanation should be provided to the complainant and recorded in the record. 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:
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） 咨询专家
(1) Consulting experts
（2）请求申诉方或其他人提供更多信息
(2) Requesting the appellant or others to provide more information
（3）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。
(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）申诉决定以书面形式传达给申诉方，申诉决定应包含：
(4) The appeal decision shall be communicated in writing to the appellant and shall include:
①申诉决定
②申诉决定是如何以及何时做出的
③任何新的建议
① Appeal decision
② How and when was the appeal decision made
③ 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 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 申诉的记录
5.5 Record of appeals
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 appeal handling team should record the appeals received, including the following content:
（1）何人何时提交申诉；
（2）申诉的类型、问题或主题以及随申诉提交的信息；
（3）接受或拒绝决定。
(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.