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岷山环能高科股份公司 2022年度精炼厂合规报告

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MINSHAN ENVIRONMENT ENERGY HIGH TECH CO., LTD.

2022 Refiners Compliance Report

(Published in January 2023)

岷山环能高科股份公司

2022年度精炼厂合规报告

(2022/01/01-2022/12/31)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

为了符合《伦敦金银市场协会负责任的白银指南》的要求,我司通过建立强大的管理体系,采用供应链尽职调查方法对所有供应商进行风险识别和评估,制定了高风险供应链的管理策略,确保供应链风险在可接受范围内,并通过独立的第三方审计的方式,确保本公司的白银供应链完全符合LBMA负责任白银指南的要求。

In order to comply with the requirements of the "London Bullion Market Association Responsible Silver Guidelines", our company has established a strong management system, adopted the supply chain due diligence method to identify and assess risks for all suppliers, and formulated the management of high-risk supply chains. strategies to ensure that supply chain risks are within an acceptable range, and through independent third-party audits to ensure that the company's silver supply chain fully complies with the LBMA Responsible Silver Guidance.

 

本报告总结了岷山环能高科股份公司2022财年内(202211-20221231日)对《伦敦金银市场协会负责任的白银指南》要求的遵守情况。

This report summarizes the compliance of MINSHAN ENVIRONMENT ENERGY HIGH TECH CO., LTD. in the fiscal year 2022 (January 1, 2022-December 31, 2022) with the requirements of the < LBMA Responsible Silver Guidance>.

 

 

Company Name:

岷山环能高科股份公司

MINSHAN ENVIRONMENT ENERGY HIGH TECH CO., LTD.

Location:

Longan District Industrial Park, Anyang City, Henan Province, China

Reporting year-end:

December 31th, 2022

Date of Report

January 20th, 2023

Senior management responsible for this report

Mr. Chen Yanwei/Compliance Director

 

公司概况

Company Overview

岷山创立于20世纪90年代,是一家集城市矿山开发、危废固废资源综合回收循环再利用、有色及稀贵金属清洁生产、高新材料和智慧能源为一体的循环经济生态企业。岷山以具有自主知识产权的“底吹熔炼-熔融还原-富氧挥发”技术为核心,配套废旧铅酸电池资源再生利用、烟气回收制酸及有色稀贵金属提纯生产线,产品是用于高端装备制造、智能制造、电子信息行业和军工航天核电等领域的高纯铅、电子级硫酸、锌合金、黄金、白银、铜、锑、铋等有色稀贵金属。

经历了20多年的发展,岷山已经成为行业内技术成熟的环保企业。其“底吹熔炼-熔融还原-富氧挥发”技术为国家发改委低碳技术创新及产业化示范工程项目。

Founded in the 1990s, Minshan is a circular economy ecological enterprise integrating urban mine development, comprehensive recovery and recycling of hazardous waste and solid waste resources, clean production of non-ferrous and precious metals, high-tech materials and smart energy. Minshan takes the "bottom blowing smelting-smelting reduction-oxygen-rich volatilization" technology with independent intellectual property rights as the core, and is equipped with waste lead-acid battery resource recycling, flue gas recovery acid production and non-ferrous rare metal purification production lines. High-purity lead, electronic grade sulfuric acid, zinc alloy, gold, silver, copper, antimony, bismuth and other non-ferrous rare and precious metals in high-end equipment manufacturing, intelligent manufacturing, electronic information industry, military aerospace nuclear power and other fields.

After more than 20 years of development, Minshan has become an environmental protection enterprise with mature technology in the industry. Its "bottom blowing smelting-smelting reduction-oxygen-rich volatilization" technology is a low-carbon technology innovation and industrialization demonstration project of the National Development and Reform Commission.

 

1. 白银冶炼和精炼生产工序

1. Silver Smelting and Refining Processes

2022年白银冶炼的主要原料来源于公司铅系统的铅阳极泥。公司的铅锭的生产原料主要为铅/银精矿,约18%的铅精矿从国外进口,余下的82%从国内采购。

The main raw material of silver smelting is lead anode slime from the lead system of the company. The companys main raw material for lead ingots is lead concentrateabout 18% of the company's lead concentrate are imported, and the remaining 82% are sourced domestically.

铅阳极泥处理的工艺流程主要是“阳极泥火焰炉还原熔炼—贵铅分银炉氧化熔炼—银电解—铸锭”

The silver smelting and refining process include anode slime reduction smelting in reducing furnaceoxidation smelting in silver separator furnace silver electrolysis refining bar casting.

 

2. 白银产品规格

2. Silver product specifications

我们公司生产出的银锭有两种规格分别是15千克±1千克和30千克±2千克。银含量不低于99.99%,质量标准符合国标GB/T 4135-2016中关于IC-Ag99.99的规定。在2022年我们公司银锭产量128955公斤。

The silver ingots produced by our company have two specifications: 15kg±1kg and 30kg±2kg. The silver content is not less than 99.99%, and the quality standard conforms to the provisions of the national standard GB/T 4135-2016 on IC-Ag99.99. In 2022, our company's silver ingot production is 128955 kilograms.

第一步:建立强大的公司供应商管理体系

Step 1: Establish strong company supplier management systems

合规声明

我们完全符合第一步:建立强大的管理体系

Compliance Statement with Requirement:

We have fully with Step 1: Establish strong Supplier management systems.

公司政策Company Policy

合规陈述:

公司于20191215日发布了《LBMA负责任白银供应链尽职调查管理体系》,该政策符合经合组织《来自受冲突影响和高风险地区的矿石负责任供应链尽职调查指南》附件 II 中规定。体系中规定了白银供应链尽职调查政策、内部的组织构架及责任、尽职调查流程、白银供应链的风险识别方法、评判标准以及管理策略,此外还规定了白银供应链尽职调查培训、供应链追溯系统、记录的保存期限、交易监控等事宜。

我司的白银供应链尽职调查政策严格禁止白银供应商有如下行为:

1. 人权侵犯行为,包括使用童工、酷刑、非人道以及侮辱人格对待方式、广泛的使用暴力或其他严重反人权强迫劳动、战争罪、反人类罪或种族灭绝罪;

2. 向非法武装组织或向通过供应链非法控制矿区、交易商、其他中介机构、运输线路的公共或私人安全部队提供直接或间接支持,或在整个供应链内非法征税或敲诈钱财或矿产品(“非法武装组织、公共或私人安全部队”);

3. 通过贿赂或欺诈掩盖白银原产地;

4. 为遵照政府有关来自受冲突及高风险区域的矿产品的提取、贸易及出口税费要求;

5. 洗钱或恐怖主义融资;

6. 资助冲突;

7. 从事高风险经营业务,例如武器、赌博、古董和艺术品、教派和其领导人;

8. 受益人是政治敏感人物或通缉人员;

9.不符合环保和可持续发展的合法要求。

官网公示网址: https://www.aymsys.com/news/16_516

 

Compliance statement:

The company has established the "LBMA Responsible Silver Supply Chain Due Diligence Management System" on December 15th, 2019, which is consistent with the model set out in Annex II of OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. The system included the silver supply chain due diligence policy, internal organizational structure and responsibilities, due diligence process, and silver supply chain risks Identification methods, evaluation criteria, and management strategies. In addition, it also stipulates the silver supply chain due diligence training, supply chain traceability system, record retention period, transaction monitoring and other matters.

According to the system requirements, documents were generated such as "Risk Assessment Method and Evaluation Form" and "Action Strategy".

In 2022, our company completed the due diligence of all silver suppliers in strict accordance with the requirements of the system, and conducted risk identification and evaluation to effectively control the risks of the silver supply chain.

Our silver supply chain due diligence policy strictly prohibits silver suppliers from doing the following:

All Silver-bearing minerals provided to your company are legitimate (the silver bars purchased from your company are used for legal purposes), which does not involve the following situations:

1. Systematic or widespread human rights abuses associated with the extraction, transport or trade of silver, including worst forms of child labor, any forms of torture, inhuman and degrading treatments, widespread sexual violence or other gross human rights violation forced or compulsory labor, war crimes, crimes against humanity or genocide;

2. Direct or indirect support to illegitimate non-state armed groups, public or private security forces which illegally control mines sites, traders, others intermediaries, transport routes through the supply chains or illegally tax or extort money or minerals through the supply chains;

3. Bribery and fraudulent misrepresentation of the origin of silver;

4. Non-compliance with taxes, fees and royalties due to Governments related to mineral extraction, trade and export from conflict affected and high-risk areas;

5. Money laundering or terrorism financing;

6. Contribution to conflict;

7. Higher-risk business activity such as arms, gaming and casino industry, antiques and art, sects and their leaders;

8. Upstream companies or their beneficial owners with significant influence are PEPs;

9.Not comfort to the legal requirement for environmental protection and sustainable development.

The official website is published: https://www.aymsys.com/news/16_516

 

管理架构Internal management structure

合规陈述:

根据体系要求,我们设立了专门的管理团队,包括一名合规总监、一名合规经理以及6名合规组成员,并明确了所有人的职责。合规相关人员的任职通告在公司官网https://www.aymsys.com/news/16_515.

合规总监:公司授权的高级管理者,对外根据我公司原料采购政策和公司的生产、财务以及销售情况等实际情况需要负责审批与供应商合作合同的签订(包括是否与高风险供应商合作的合同签订),并负责对供应商进行合规审查相关事宜。对内高级管理者根据LBMA负责任的白银指南文件,对相关员工进行培训,使相关负责人清楚的理解这一体系的目的和意义,明白自己在尽职调查政策实施中的职责。

合规经理:协助高级管理人员全面负责白银供应链尽职调查及分辨供应商的原料产地是否涉及高风险地区的相关事务,对白银供应链上的所有事情负责,确保能够在知情的情况下避免与高风险供应链的合作或交易时采取了恰当的措施,提交风险评估报告;被判定为低风险的客户保持合作,高风险的客户将会暂停合作直到对方提供相应证明文件或整改后恢复合作关系。合规经理有义务就责任供应链方面进行培训,起草和更新白银供应链政策,为高级管理者履责提供准确的信息。

原材料采购中心(国内和国外),确保矿粉、原材料供应的长期性、稳定性、安全性,并拒绝与高风险地区的相关企业、组织或国家合作。

质检中心对采购含银原料进行过磅称重,化验;生产部负责原料的出入库记录在ERP系统中保存。

贵金属事业部负责对产出银锭进行称重、打标记录,车间组织投料生产并做好投料记录和产出银锭记录,在生产过程中采用封闭式流程及ERP系统,确保白银生产加工的安全性与可追溯性。

生产部负责与原料采购中心结合,保证含银原料接收的准确性,贵金属事业部负责对白银销售前的数量的统计,保证白银实物出厂的安全性。

营销中心需根据合规经理给出的相应客户的风险报告(非高风险客户)对交货人身份信息进行确认,并在交易过程中,采用监督机制确保交易的安全性。

2022年度,管理团队严格按照体系文件要求对所有白银供应商进行了尽职调查,合规经理对所有调查结果进行了监督和审核,确保所有含银物料供应商在合作前都满足LBMA要求并得到合规总监的批准。

Compliance Statement:

According to the system requirements, we have set up a special management team, including a compliance director, a compliance manager and 6 compliance team members, and clarified the responsibilities of all. The appointment notice of compliance-related personnel is available on the company's official website https://www.aymsys.com/news/16_515.

Compliance Director: A senior manager authorized by the company, who is responsible for approving the signing of cooperation contracts with suppliers (including whether to cooperate with high-risk suppliers) according to the company's raw material procurement policy and the company's production, financial and sales conditions. Contract signing), and is responsible for matters related to compliance review of suppliers. Internal senior managers train relevant employees in accordance with the LBMA Responsible Silver Guidelines document, so that the relevant persons in charge clearly understand the purpose and significance of the system and their responsibilities in the implementation of the due diligence policy.

Compliance Manager: Assist senior management to take overall responsibility for due diligence of the silver supply chain and identify whether the origin of raw materials of suppliers involves related matters in high-risk areas, be responsible for all matters in the silver supply chain, and ensure that they can avoid conflict with others in an informed way. Appropriate measures have been taken during cooperation or transactions in high-risk supply chains, and risk assessment reports have been submitted; customers who are judged to be low-risk will continue to cooperate, and high-risk customers will suspend cooperation until the other party provides corresponding supporting documents or rectifies the relationship. Compliance managers are obliged to train on responsible supply chains, draft and update silver supply chain policies, and provide accurate information for senior managers to fulfill their responsibilities.

The raw material procurement center (domestic and foreign) ensures the long-term, stable and safe supply of mineral powder and raw materials, and refuses to cooperate with relevant enterprises, organizations or countries in high-risk areas.

The quality inspection center weighs and tests the purchased silver-containing raw materials; the production department is responsible for the incoming and outgoing records of raw materials and saves them in the ERP system.

The Precious Metals Division is responsible for the weighing and marking records of the output silver ingots. The workshop organizes the production of materials and makes records of the material input and the output of silver ingots. The closed process and ERP system are used in the production process to ensure the safety of silver production and processing. and traceability.

The production department is responsible for combining with the raw material procurement center to ensure the accuracy of receiving silver-containing raw materials, and the precious metal business department is responsible for the statistics of the quantity of silver before sales to ensure the safety of the physical silver.

The marketing center needs to confirm the identity information of the delivery person according to the risk report of the corresponding customer (non-high-risk customer) given by the compliance manager, and use a supervision mechanism to ensure the security of the transaction during the transaction process.

In 2022, the management team conducted due diligence on all silver suppliers in strict accordance with the requirements of the system documents, and the compliance manager supervised and reviewed all the findings to ensure that all suppliers of silver-containing materials met the LBMA requirements and obtained compliance before cooperation. approval of the Director of Regulations.

可追溯系统和其他供应链参与者的识别Traceability and identification of other supply chain actors

合规陈述:

公司根据管理体系要求,确定了供应链追溯体系,在业务过程中,使用ERP系统收集和保存所有供应商提供的信息,包括合同评审表、合同文本、结算方式、运输过程、重量和检验报告、生产日期、入库时间等。

海外矿粉根据海关进口报关单或提单,可以了解到矿粉的原产国及周转国的情况;国内矿粉来源部分来源于矿山并在KYC及交易的合同中体现,另一部分国内矿粉由贸易商供给出于商业保密的考虑,这部分贸易商做出口头承诺矿粉源头来自于国内矿山;通过尽职调查和后续的ERP系统链条互相配合,我们可以从成品追溯到原料、从原料追溯到成品,并能追溯每个供应商每批产品的采购合同,根据合同内容可以追溯包括贵金属类型、采购重量、分析报告以及相关尽职调查文件等信息。

Compliance Statement:

According to the requirements of the management system, the company has determined the supply chain traceability system. During the business process, the ERP system is used to collect and save the information provided by all suppliers, including the contract review form, contract text, settlement method, transportation process, weight and inspection report, Production date, storage time, etc.

According to the customs import declaration or bill of lading, overseas ore fines can know the country of origin and turnover country of ore fines; part of the source of domestic ore fines comes from mines and is reflected in the KYC and transaction contracts, and the other part of domestic ore fines is sourced from For the sake of commercial confidentiality, these traders make an export commitment that the source of mineral powder comes from domestic mines; through due diligence and the cooperation of the subsequent ERP system chain, we can trace the finished product to the raw material, and trace the raw material to the raw material. The finished product can be traced back to each suppliers purchase contract for each batch of products. According to the contract content, information including precious metal type, purchase weight, analysis report and related due diligence documents can be traced.

培训Training

合规陈述:

公司定期组织所有关于白银相关部门进行培训,2022年度共计进行了两次培训。

1. 202277日,LBMA负责任白银供应链尽职政策及管理体系;

2. 20221120日,LBMA负责任白银供应链尽职调查管理体系;

培训后进行了效果评价。

 

Compliance Statement:

The company regularly organizes training for all departments related to silver, and a total of two trainings were conducted in 2022.

1. July 7, 2022, LBMA Responsible Silver Supply Chain Due Diligence Management System;

2. On November 20, 2022, LBMA Responsible Silver Supply Chain Due Diligence Management System. The effect evaluation was carried out after the training.

记录保留Records keeping

合规陈述:

根据公司<白银供应链尽职调查管理体系>要求,所有供应商相关文档,包括尽职调查文件、风险评估表、合规文件、合同文本、检验记录以及出入库记录等均至少保存五年。

 

Compliance statement:

According to the management system requirements, all supplier-related documents, including due diligence documents, risk assessment forms, compliance documents, contract texts, inspection records, and warehouse records are kept for at least five years.

交易付款和交易监控Transaction Payment & Monitoring

合规陈述:

公司所有业务均通过官方银行渠道收款和付款,没有任何现金交易。国外进口产品结算是通过T/T付款,国内是通过银行转账付款。

根据管理体系要求,我们对每批白银产品都进行交易监督,保留相关付款凭证。合规专员负责交易监控工作,对不符或以任何形式疑似不符的交易背景进行检查,并书面确认调查结果,报告给合规总监。

2022年度没有发现不符及任何形式不符的情况。

Compliance Statement:

All business of the company is collected and paid through official bank channels without any cash transactions. The settlement of foreign imported products is paid by T/T, and the domestic payment is by bank transfer.

According to the requirements of the management system, we conduct transaction supervision on each batch of silver products and keep relevant payment vouchers. The compliance officer is responsible for transaction monitoring, checking the background of transactions that are inconsistent or suspected to be inconsistent in any form, confirm the findings in writing, and report to the compliance director.

In 2022, no discrepancies or any form of discrepancies were found.

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