浙江格派鈷業(yè)新材料有限公司
申訴管理機(jī)制
Zhejiang Greatpower Cobalt Materials Co., Ltd.
Appeal Management Mechanism
第一條：目的
Article 1: purpose
浙江格派鈷業(yè)新材料有限公司（以下簡稱浙江格派）鼓勵(lì)利益相關(guān)方認(rèn)真負(fù)責(zé)地對公司的社會(huì)責(zé)任管理尤其是供應(yīng)鏈盡責(zé)管理，提出意見或建議，以幫助公司改進(jìn)工作；同時(shí)，也接受員工、供應(yīng)商、客戶等利益相關(guān)方的申訴，并提供正當(dāng)、暢通的渠道與妥善、公正的方式來處理申訴，不斷提升公司管理能力和信息透明度，建立和諧互利的各利益相關(guān)方關(guān)系，維護(hù)其合法權(quán)益，優(yōu)化企業(yè)發(fā)展的內(nèi)外部環(huán)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.
第二條：適用范圍
Article 2：Scope of Application
本管理制度適用于基于浙江格派產(chǎn)品、ESG管理、礦產(chǎn)原料供應(yīng)鏈、運(yùn)營行為、業(yè)務(wù)關(guān)系而與浙江格派存在直接或潛在聯(lián)系的利益相關(guān)方（“申訴人”），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. 公共部門（包括政府部門）及其代表；
The public sector (including government departments) and their representatives;
2. 浙江格派業(yè)務(wù)伙伴，包括客戶、供應(yīng)商和合作商；
Zhejiang Greatpower’s Business Partners, including customers, suppliers and partners;
3. 社會(huì)組織和媒體；
Social organizations and media;
4. 股東和投資者；
Shareholders and investors;
5. 公司各運(yùn)營所在地的社區(qū)居民；
Residents in the communities where the company operates;
6. 公司內(nèi)部員工。
Employees of the company.
其中公司內(nèi)部員工的申訴舉報(bào)，常規(guī)依據(jù)《員工申訴舉報(bào)制度》中的內(nèi)容及流程執(zhí)行，如通過內(nèi)部申訴舉報(bào)無法解決的，也適用于本制度。
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.
第三條：申訴事項(xiàng)
Article 3：Appealing Matters
申訴人可就與浙江格派的產(chǎn)品、ESG管理、礦產(chǎn)原料供應(yīng)鏈、經(jīng)營管理決策與活動(dòng)、業(yè)務(wù)關(guān)系、外部非業(yè)務(wù)關(guān)系（包括政府關(guān)系）相關(guān)，且實(shí)際或可能違反適用于公司的法律法規(guī)或其他要求的情況，尤其是實(shí)際或可能違反以下各項(xiàng)文件中的要求的情況提出申訴：
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. 《負(fù)責(zé)任礦產(chǎn)的供應(yīng)鏈政策》 ；
Supply Chain Policy of Responsible Mineral ;
2. 《供應(yīng)商行為準(zhǔn)則》 ；
Code of conduct for suppliers;
3. 《中國負(fù)責(zé)任礦產(chǎn)供應(yīng)鏈盡責(zé)管理指南》 ；
Chinese due diligence guidelines for responsible mineral supply chains;
4. 《中國對外礦業(yè)投資社會(huì)責(zé)任指引》。
Chinese Guidelines for social responsibilities in outbound mining investment.
5. 《環(huán)境、社會(huì)和治理（ESG）政策》。
Environmental, Social and Governance (ESG) Policy.
6. 《商業(yè)道德行為準(zhǔn)則》。
Code of conduct for ethical business.
第四條：申訴原則
Article 4：Principles for Appealing
申訴人向本公司提出申訴，以及浙江格派接受和處理申訴均應(yīng)遵循以下五個(gè)原則：
The Appellant shall lodge an appeal and the Company shall accept and handle the appeal based on the following five principles:
1、事實(shí)原則：申訴人應(yīng)根據(jù)具體事實(shí)而非公司的戰(zhàn)略、政策或方針提出申訴，并充分、完整地提供基于事實(shí)的證據(jù)和材料，浙江格派接受和處理申訴則應(yīng)以查清事實(shí)為基本出發(fā)點(diǎn)并根據(jù)查清的事實(shí)做出處理；
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、關(guān)聯(lián)原則：申訴人可為自身或代表其他個(gè)人、群體或組織提出申訴，只要申訴事項(xiàng)與公司的產(chǎn)品及其供應(yīng)鏈、ESG管理、經(jīng)營管理決策與活動(dòng)、業(yè)務(wù)關(guān)系、外部非業(yè)務(wù)關(guān)系相關(guān)，浙江格派不接受也不處理與浙江格派不存在任何關(guān)聯(lián)的申訴；
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、程序原則：申訴人提出申訴和參與申訴，應(yīng)嚴(yán)格遵照本管理制度規(guī)定的程序和流程，浙江格派接受和處理申訴也應(yīng)嚴(yán)格按照本管理制度的要求進(jìn)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、保密原則：申訴人和浙江格派均應(yīng)在保密的原則下，對申訴進(jìn)行嚴(yán)肅認(rèn)真處理，在申訴處理過程中，申訴人和浙江格派相關(guān)人員應(yīng)保守秘密，不在處理程序結(jié)束前就申訴進(jìn)程和內(nèi)容做公開披露。
我們非常鼓勵(lì)具名申訴，以利于調(diào)查的開展，但同時(shí)我們也接受匿名申訴，以保證申訴人得到最大程度的保護(hù)；
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、及時(shí)原則：申訴人應(yīng)在知道或理應(yīng)知道相關(guān)事實(shí)后的合理時(shí)間內(nèi)及時(shí)提出申訴，以便調(diào)查和處理，浙江格派在接收到申訴后，應(yīng)及時(shí)處理并給予答復(fù)，但浙江格派不予受理自申訴人知道或理應(yīng)知道相關(guān)事實(shí)超過兩年的申訴。
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.
第五條：申訴組織
Article 5：Appealing Organization
內(nèi)控審計(jì)部：總部內(nèi)控審計(jì)部是申訴接收、處理、答復(fù)的具體負(fù)責(zé)部門，由其協(xié)調(diào)公司相關(guān)部門提出申訴解決方案，并形成分析調(diào)查報(bào)告與處理意見上報(bào)至公司最高管理層。
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.
第六條：申訴渠道
Article 6：Channel for Appealing
內(nèi)控審計(jì)部代表公司接收申訴。
ICA Department receives appeals on behalf of the company.
申訴郵箱為：jubao@greatpowercn.com
The appeal email is jubao@greatpowercn.com
申訴電話為：13262613905
The appeal phone number is 13262613905
申訴微信為：格派申訴舉報(bào)
The appeal WeChat is 格派申訴舉報(bào)
第七條：申訴程序
Article :7：Appeal Procedure
所有申訴應(yīng)嚴(yán)格遵循以下處理程序：
All appeals should be handled in strict accordance with the following procedures:
1、申訴人申訴時(shí)須按照公司統(tǒng)一制定并提供的《申訴信息記錄表》（附件一），說明相關(guān)事實(shí)和申訴的訴求；
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、內(nèi)控審計(jì)部接到申訴后，應(yīng)首先研判該項(xiàng)申訴是否符合本管理制度第二到第四條的受理?xiàng)l件，并在 5 個(gè)工作日內(nèi)與申訴人確認(rèn)收到申訴。如不符合受理?xiàng)l件，則應(yīng)在與申訴人確認(rèn)收到申訴的同時(shí)告知申訴人該申訴不符合受理?xiàng)l件，且申訴終止，并應(yīng)填寫《申訴處理意見表》（參照附件二）；
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、如果申訴符合受理?xiàng)l件，內(nèi)控審計(jì)部在接到申訴后，應(yīng)會(huì)同相關(guān)部門討論研究，進(jìn)行調(diào)查和取證，必要時(shí)獲取公司高層管理者的意見和支持，并應(yīng)在接到申訴之日起 15 個(gè)工作日內(nèi)向申訴人做出答復(fù)和處理意見。如果申訴人接受該答復(fù)即可終結(jié)該申訴；如果申訴人不接受內(nèi)控審計(jì)部所做答復(fù)和處理意見，則應(yīng)將相關(guān)情況在 5 個(gè)工作日內(nèi)向格派最高管理層報(bào)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、在申訴提交到最高管理層后，內(nèi)控審計(jì)部應(yīng)在 5 個(gè)工作日內(nèi)組織討論是否進(jìn)一步開展補(bǔ)充調(diào)查和取證，并應(yīng)在30 個(gè)工作日內(nèi)再次向申訴人做出答復(fù)，提出最終解決方案，如果申訴人接受該項(xiàng)方案，則申訴正式終結(jié)；
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、如果申訴人對公司最終解決方案仍然不能接受，則可以尋求企業(yè)以外的解決途徑，包括但不限于第三方進(jìn)行調(diào)解、聘請外部專家參與審查及磋商，以及司法途徑；
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、如果同一申訴人或不同申訴人就經(jīng)由本條各款處理過的相同申訴再次提出申訴的，內(nèi)控審計(jì)部告知其前述申訴結(jié)果，并不予接受申訴；但申訴人如對申訴結(jié)果的執(zhí)行不滿意，可就此再次提出申訴。
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.
第八條：申訴結(jié)果
Article 8：Outcome of Appeal
申訴人接受答復(fù)、處理意見或解決方案后，應(yīng)配合公司填寫《申訴信息記錄表》“申訴人確認(rèn)”部分，承諾接受《申訴信息記錄表》所列申訴結(jié)果，并不再就同一問題提出申訴或訴諸其他爭端解決機(jī)制，并簽名確認(rèn)。
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.
申訴處理結(jié)果應(yīng)記錄為一式兩份的《申訴處理意見表》（附件二），一份交申訴人保存，一份由公司內(nèi)控審計(jì)部存檔。
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.
第九條：申訴跟進(jìn)
Article 9：Follow-up of Appeal
申訴處理結(jié)果應(yīng)從兩個(gè)層面加以跟進(jìn)：
The appeal handling result should be followed up at two levels:
1、申訴結(jié)果得出并被申訴人接受后，由內(nèi)控審計(jì)部會(huì)同相關(guān)部門負(fù)責(zé)對申訴結(jié)果的執(zhí)行情況進(jìn)行跟蹤和監(jiān)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、內(nèi)控審計(jì)部應(yīng)就申訴結(jié)果所顯示的公司在管理制度上的改進(jìn)機(jī)會(huì)向公司最高管理層提出建議。
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.
第十條： 申訴者保護(hù)
Article 10：Appellant protection
浙江格派承諾不會(huì)因申訴行為對申訴者采取任何形式的報(bào)復(fù)，對于未能遵守保密原則導(dǎo)致申訴者利益受損害的雇員，公司將酌情予以處罰，嚴(yán)重者可解除勞動(dòng)合同，送交司法機(jī)關(guān)處理。
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.
第十一條：制度實(shí)施
Article 11：System Implementation
1、本制度自 2024 年 8 月 1 日實(shí)施；
The system shall be implemented from August 1, 2024;
2、本制度由內(nèi)控審計(jì)部最終解釋并負(fù)責(zé)修改。
The system shall be finally explained and amended by the ICA Department.
附件一：申訴信息記錄表
Annex I: Appeal Information Record Form
附件二：申訴處理意見表
Annex II: Opinions for Handling of Appeals Form
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