社会责任

浙江格派钴业新材料有限公司

申诉管理机制

Zhejiang Greatpower Cobalt Materials Co., Ltd.

Appeal Management Mechanism

 

第一条：目的

Article 1: purpose

浙江格派钴业新材料有限公司（以下简称浙江格派）鼓励利益相关方认真负责地对公司的社会责任管理尤其是供应链尽责管理，提出意见或建议，以帮助公司改进工作；同时，也接受员工、供应商、客户等利益相关方的申诉，并提供正当、畅通的渠道与妥善、公正的方式来处理申诉，不断提升公司管理能力和信息透明度，建立和谐互利的各利益相关方关系，维护其合法权益，优化企业发展的内外部环境。

Zhejiang Greatpower Cobalt Industry New Materials Co., Ltd. (hereinafter referred to as Zhejiang Greatpower) encourages stakeholders to seriously and responsibly put forward opinions or suggestions on the company's social responsibility management, especially the supply chain due diligence management, to help the company improve its work; At the same time, it also accepts appeals from employees, suppliers, customers and other stakeholders, and provides proper and smooth channels and appropriate and fair ways to handle appeals, continuously improves the company's management ability and information transparency, establishes a harmonious and mutually beneficial relationship between stakeholders, safeguards their legitimate rights and interests, and optimizes the internal and external environment for enterprise development.

第二条：适用范围

Article 2：Scope of Application

本管理制度适用于基于浙江格派产品、ESG管理、矿产原料供应链、运营行为、业务关系而与浙江格派存在直接或潜在联系的利益相关方（“申诉人”），包括但不限于：

This management system applies to stakeholders ("Appellant"), who have direct or potential relation with Zhejiang Greatpower based on their products, ESG management, mineral raw material supply chain, operations and business relationships, including but not limited to:

1. 公共部门（包括政府部门）及其代表；

The public sector (including government departments) and their representatives;

2. 浙江格派业务伙伴，包括客户、供应商和合作商；

Zhejiang Greatpower’s Business Partners, including customers, suppliers and partners;

3. 社会组织和媒体；

Social organizations and media;

4. 股东和投资者；

Shareholders and investors;

5. 公司各运营所在地的社区居民；

Residents in the communities where the company operates;

6. 公司内部员工。

Employees of the company.

其中公司内部员工的申诉举报，常规依据《员工申诉举报制度》中的内容及流程执行，如通过内部申诉举报无法解决的，也适用于本制度。

The appeals of employees of the company are usually carried out according to the process of the Employee Appeal and Report System. If the issue cannot be resolved, this system also applies.

第三条：申诉事项

Article 3：Appealing Matters

申诉人可就与浙江格派的产品、ESG管理、矿产原料供应链、经营管理决策与活动、业务关系、外部非业务关系（包括政府关系）相关，且实际或可能违反适用于公司的法律法规或其他要求的情况，尤其是实际或可能违反以下各项文件中的要求的情况提出申诉：

The appellant shall lodge the appeal in relation to Zhejiang Greatpower's products, ESG management, mineral raw material supply chain, business management decisions and activities, business relations, external non-business relations (including government relations), where there is or is likely to be a violation of laws, regulations or other requirements applicable to the company, in particular where there is or is likely to be a violation of the requirements set forth in:

1. 《负责任矿产的供应链政策》 ；

Supply Chain Policy of Responsible Mineral ;

2. 《供应商行为准则》 ；

Code of conduct for suppliers;

3. 《中国负责任矿产供应链尽责管理指南》 ；

Chinese due diligence guidelines for responsible mineral supply chains;

4. 《中国对外矿业投资社会责任指引》。

Chinese Guidelines for social responsibilities in outbound mining investment.

5. 《环境、社会和治理（ESG）政策》。

Environmental, Social and Governance (ESG) Policy.

6. 《商业道德行为准则》。

Code of conduct for ethical business.

第四条：申诉原则

Article 4：Principles for Appealing

申诉人向本公司提出申诉，以及浙江格派接受和处理申诉均应遵循以下五个原则：

The Appellant shall lodge an appeal and the Company shall accept and handle the appeal based on the following five principles:

1、事实原则：申诉人应根据具体事实而非公司的战略、政策或方针提出申诉，并充分、完整地提供基于事实的证据和材料，浙江格派接受和处理申诉则应以查清事实为基本出发点并根据查清的事实做出处理；

Fact principle: The Appellant shall lodge an appeal according to concrete facts rather than the Company’s strategy, policy or guideline, and provide fact-based evidence and materials adequately and completely, and Zhejiang Greatpower shall take ascertaining the fact as a basic starting point when accepting and handling the appeal and handle the appeal according to the facts ascertained;

2、关联原则：申诉人可为自身或代表其他个人、群体或组织提出申诉，只要申诉事项与公司的产品及其供应链、ESG管理、经营管理决策与活动、业务关系、外部非业务关系相关，浙江格派不接受也不处理与浙江格派不存在任何关联的申诉；

Relevance principle: The Appellant may lodge an appeal for itself or on behalf of other individuals, groups or organizations, as long as the appealing matters are related to the Company’s products and supply chain, ESG management, operation management decisions and activities, business relations and external non-business relations. Zhejiang Greatpower neither accepts nor handles any appeal not related to the Company;

3、程序原则：申诉人提出申诉和参与申诉，应严格遵照本管理制度规定的程序和流程，浙江格派接受和处理申诉也应严格按照本管理制度的要求进行；

Procedure principle: The Appellant shall lodge an appeal and participate in it in strict accordance with the procedure and process stipulated in this management system, and Zhejiang Greatpower shall accept and handle the appeal in strict accordance with the requirements of this management system;

4、保密原则：申诉人和浙江格派均应在保密的原则下，对申诉进行严肃认真处理，在申诉处理过程中，申诉人和浙江格派相关人员应保守秘密，不在处理程序结束前就申诉进程和内容做公开披露。

我们非常鼓励具名申诉，以利于调查的开展，但同时我们也接受匿名申诉，以保证申诉人得到最大程度的保护；

Confidentiality principle: Both the Appellant and Zhejiang Greatpower shall handle the appeal seriously on the confidentiality principle, and relevant personnel of the Appellant and the Company shall keep secret in the process of handling the appeal without disclosing the progress and content of the appeal before the end of the handling procedure.

We strongly encourage named appeals to facilitate the investigation, but we also accept anonymous appeals to ensure that the Appellant receives maximum protection.

5、及时原则：申诉人应在知道或理应知道相关事实后的合理时间内及时提出申诉，以便调查和处理，浙江格派在接收到申诉后，应及时处理并给予答复，但浙江格派不予受理自申诉人知道或理应知道相关事实超过两年的申诉。

Timeliness principle: The Appellant shall lodge an appeal timely within a reasonable time after knowing or having reason to know relevant facts, to facilitate investigation and handling, and Zhejiang Greatpower shall handle the appeal timely and make a reply upon receipt of the appeal, but it will not accept any appeal exceeding two years since the Appellant knows or has reason to know relevant facts.

第五条：申诉组织

Article 5：Appealing Organization

内控审计部：总部内控审计部是申诉接收、处理、答复的具体负责部门，由其协调公司相关部门提出申诉解决方案，并形成分析调查报告与处理意见上报至公司最高管理层。

ICA Department: The ICA Department of headquarters is responsible for receiving, processing and responding to appeals, and coordinates with the relevant departments of the company in proposing solutions for appeals, repare analysis and investigation reports to the top management.

第六条：申诉渠道

Article 6：Channel for Appealing

内控审计部代表公司接收申诉。

ICA Department receives appeals on behalf of the company.

申诉邮箱为：jubao@greatpowercn.com

The appeal email is jubao@greatpowercn.com

第七条：申诉程序

Article :7：Appeal Procedure

所有申诉应严格遵循以下处理程序：

All appeals should be handled in strict accordance with the following procedures:

1、申诉人申诉时须按照公司统一制定并提供的《申诉信息记录表》（附件一），说明相关事实和申诉的诉求；

The Appellant shall state the relevant facts and the appeal in accordance with the "Appeal Information Record Form" (Annex I) formulated and provided by the company in a unified manner;

2、内控审计部接到申诉后，应首先研判该项申诉是否符合本管理制度第二到第四条的受理条件，并在 5 个工作日内与申诉人确认收到申诉。如不符合受理条件，则应在与申诉人确认收到申诉的同时告知申诉人该申诉不符合受理条件，且申诉终止，并应填写《申诉处理意见表》（参照附件二）；

Upon receipt of an appeal, the ICA Department shall study and judge whether the appeal meets the conditions for acceptance set out in Articles 2 to 4 of this management system and confirm receipt of the appeal within 5 working days. If it does not meet the criteria for acceptance, the Appellant shall be informed that the appeal does not meet the conditions for acceptance and the appeal shall be  terminated. the Supply Chain Management Office shall fill out the“Opinions for Handling of Appeals Form” (refer to Annex II) ;

3、如果申诉符合受理条件，内控审计部在接到申诉后，应会同相关部门讨论研究，进行调查和取证，必要时获取公司高层管理者的意见和支持，并应在接到申诉之日起 15 个工作日内向申诉人做出答复和处理意见。如果申诉人接受该答复即可终结该申诉；如果申诉人不接受内控审计部所做答复和处理意见，则应将相关情况在 5 个工作日内向格派最高管理层报告；

If the appeal meets the conditions for acceptance, the ICA Department shall, study and discuss with the relevant departments, conduct investigation and evidence collection, and obtain the opinion and support of the senior management of the company as necessary, the appellant shall be provided with a response and opinion on the matter within 15 working days from the date of receipt of the appeal. If the appellant accepts the response, the appeal will be closed; if the appellant does not accept the response and handling comments made by the ICA Department, the situation will be reported to the top management of GreatPower within 5 working days;

4、在申诉提交到最高管理层后，内控审计部应在 5 个工作日内组织讨论是否进一步开展补充调查和取证，并应在30 个工作日内再次向申诉人做出答复，提出最终解决方案，如果申诉人接受该项方案，则申诉正式终结；

After the appeal is submitted, the ICA Department shall organize to discuss whether to further conduct a supplementary investigation and obtain evidence within 5 working days, and give a reply to the Appellant again and propose a final solution at company level within 30 workdays, and if the Appellant accepts the solution, the appeal will end officially;

5、如果申诉人对公司最终解决方案仍然不能接受，则可以寻求企业以外的解决途径，包括但不限于第三方进行调解、聘请外部专家参与审查及磋商，以及司法途径；

 If the Appellant still does not accept the company's final solution, he or she may seek alternative solutions outside the company, including but not limited to mediation by third party, hiring external experts for review and consultation, and judicial ways;

6、如果同一申诉人或不同申诉人就经由本条各款处理过的相同申诉再次提出申诉的，内控审计部告知其前述申诉结果，并不予接受申诉；但申诉人如对申诉结果的执行不满意，可就此再次提出申诉。

If the same or different appellants lodge another appeal against the same appeal handled according to this article, the ICA Department shall inform them of the result of the above appeal without accepting the appeal; however, if the Appellant is dissatisfied with the execution of the result of appeal, it may lodge another appeal.

第八条：申诉结果

Article 8：Outcome of Appeal

申诉人接受答复、处理意见或解决方案后，应配合公司填写《申诉信息记录表》“申诉人确认”部分，承诺接受《申诉信息记录表》所列申诉结果，并不再就同一问题提出申诉或诉诸其他争端解决机制，并签名确认。

After accepting the reply, handling suggestions or solutions, the Appellant shall cooperate with the Company in filling out the “Appellant’s Confirmation” section in the Appeal Information Record Form, promise to accept the result listed in the Record Form, no longer lodge an appeal against the same problem or resort to other dispute settlement mechanisms, and sign for confirmation.

申诉处理结果应记录为一式两份的《申诉处理意见表》（附件二），一份交申诉人保存，一份由公司内控审计部存档。

The outcome of the appeal should be recorded in two copies of the Opinions for Handling of Appeals Form (Annex II), one copy to be kept by The Appellant and the other copy to be filed by the ICA Department.

第九条：申诉跟进

Article 9：Follow-up of Appeal

申诉处理结果应从两个层面加以跟进：

The appeal handling result should be followed up at two levels:

1、申诉结果得出并被申诉人接受后，由内控审计部会同相关部门负责对申诉结果的执行情况进行跟踪和监督。

After the result of the appeal is accepted by the Appellant, the ICA Department together with the relevant departments are responsible for tracking and monitoring the implementation of the outcome of the appeal.

2、内控审计部应就申诉结果所显示的公司在管理制度上的改进机会向公司最高管理层提出建议。

The ICA Department shall make recommendations to the company's top management regarding opportunities for improvement in the management system as indicated by the outcome of the appeal.

第十条： 申诉者保护

Article 10：Appellant protection

浙江格派承诺不会因申诉行为对申诉者采取任何形式的报复，对于未能遵守保密原则导致申诉者利益受损害的雇员，公司将酌情予以处罚，严重者可解除劳动合同，送交司法机关处理。

Zhejiang Greatpower promises that it will not take any form of revenge against the Appellant because of the appeal. The company will impose appropriate penalties on employees who fail to observe the principle of confidentiality and whose interests are harmed, and may terminate the employment contract if the case is serious, to the judiciary for processing.

第十一条：制度实施

Article 11：System Implementation

1、本制度自 2024 年 8 月 1 日实施；

The system shall be implemented from August 1, 2024;

2、本制度由内控审计部最终解释并负责修改。

The system shall be finally explained and amended by the ICA Department.

 

 

附件一：申诉信息记录表
Annex I: Appeal Information Record Form

附件二：申诉处理意见表
Annex II: Opinions for Handling of Appeals Form