江蘇林洋能源股份有限公司

Jiangsu Linyang Energy Co., Ltd.

人權管理制度

Human Rights Management System

文件編號：LY-HR-002    版本：V1.0    生效日期：2026年1月1日

Document No.: LY-HR-002    Version: V1.0    Effective Date: January 1, 2026

第一條 人權承諾
Article 1 Human Rights Commitment

1.1 總體承諾
1.1 Overall Commitment

公司承諾尊重和保護所有利益相關者的人權，將人權考量融入企業戰略與日常運營。公司人權承諾由公司管理層批準并對外公開，適用于公司總部、各管控單位及所屬產業公司，并與公司業務決策、供應鏈管理、員工關系管理及并購活動同步推進。

The Company commits to respecting and protecting the human rights of all stakeholders and to integrating human rights considerations into its corporate strategy and daily operations. This human rights commitment is approved by Company management and publicly disclosed; it applies to the Company's headquarters, all controlled units and industrial subsidiaries, and is advanced in parallel with business decisions, supply chain management, employee relations management and merger and acquisition activities.

1.2 遵循國際公認標準
1.2 Adherence to Internationally Recognized Standards

公司認同并承諾遵循《世界人權宣言》《經濟、社會及文化權利國際公約》《公民權利和政治權利國際公約》《聯合國工商業與人權指導原則》，以及國際勞工組織（ILO）關于童工、強迫勞動、結社自由與集體談判權、歧視與最惠國待遇等核心公約，并遵守所在國關于人權保護、勞動用工的法律法規。

The Company endorses and commits to observing the Universal Declaration of Human Rights, the International Covenant on Economic, Social and Cultural Rights, the International Covenant on Civil and Political Rights, the UN Guiding Principles on Business and Human Rights, and the core ILO conventions on child labor, forced labor, freedom of association and collective bargaining, discrimination and most-favored-nation treatment, and complies with host-country laws and regulations on human rights protection and labor and employment.

合規底線說明：當所在國法律標準與上述國際標準存在差異時，公司不以所在國法律為依據降低自身適用的合規標準。

Compliance floor: Where host-country legal standards differ from the aforementioned international standards, the Company will not use local law as a basis for lowering the compliance standards applicable to itself.

1.3 禁止人口販賣
1.3 Prohibition of Human Trafficking

公司不參與任何形式的人口販賣活動，不與涉及人口販賣的供應商或業務伙伴合作。公司禁止在招聘過程中扣押員工身份證件、收取抵押物或以其他方式限制人身自由；禁止使用欺騙、脅迫、扣押證件、暴力威脅或以扣減工資作為支付條件等方式招募人員。

The Company does not participate in human trafficking in any form and does not cooperate with suppliers or business partners involved in human trafficking. The Company prohibits withholding employees' identity documents, collecting collateral or otherwise restricting personal freedom during recruitment, as well as recruiting personnel through deception, coercion, document withholding, threats of violence or deduction of wages as a condition of payment.

1.4 禁止強迫勞動
1.4 Prohibition of Forced Labor

公司不得直接或間接聘用任何形式的強迫或非自愿勞動，包括奴隸勞動、監獄勞動、契約勞動及抵債勞動等。公司尊重員工自由權利，包括雇傭自由、辭工自由、加班自由及行動自由；公司不要求員工支付招聘費用、押金或保證金，不以扣押證件、預付工資或限制人身自由等方式阻礙員工依法離職。

The Company shall not directly or indirectly employ any form of forced or involuntary labor, including slave labor, prison labor, indentured labor and bonded labor. The Company respects employees' rights to freedom, including freedom of employment, resignation, overtime and movement; it does not require employees to pay recruitment fees, deposits or bonds, and does not obstruct lawful resignation by withholding documents, advancing wages or restricting personal freedom.

1.5 禁止童工
1.5 Prohibition of Child Labor

公司禁止使用童工，制定保護未成年工的管理方針和程序，確保公司活動符合國家標準及相關適用的國際公約要求。公司招聘時查驗身份證件與年齡證明，不雇傭未達到法定最低就業年齡的人員；對已入職的未成年工落實不占用法定節假日、每日不超過規定工作時長、定期健康檢查等特殊保護措施，并依法辦理用工登記。

The Company prohibits child labor and has established management policies and procedures for the protection of juvenile workers, ensuring that Company activities comply with national standards and applicable international conventions. Identity documents and age certificates are verified during recruitment, and no one below the statutory minimum working age is employed; special protection measures for employed juvenile workers include no work on statutory holidays, daily working hours not exceeding the prescribed limit, and periodic health examinations, with employment registration completed in accordance with law.

1.6 結社自由與集體談判權
1.6 Freedom of Association and Collective Bargaining

公司尊重員工的結社自由和集體談判權，構建開放、透明、民主的溝通機制；不干預員工依法組織和參加工會、開展集體協商等正當活動，不因員工行使結社權利而給予任何不利待遇。

The Company respects employees' freedom of association and right to collective bargaining and builds open, transparent and democratic communication mechanisms; it does not interfere with employees' lawful activities such as organizing and joining labor unions and conducting collective bargaining, and does not subject employees to any detrimental treatment for exercising rights of association.

1.7 反歧視
1.7 Anti-Discrimination

公司反對任何形式的歧視，保障所有員工享有平等的就業和發展機會。在招聘、錄用、晉升、薪酬、績效、培訓、崗位分配和解除勞動關系等環節，不因民族、種族、國籍、性別、宗教信仰、年齡、婚育狀況、殘疾、健康狀況、戶籍或其他法定受保護特征而區別對待。

The Company opposes discrimination in any form and guarantees all employees equal employment and development opportunities. In recruitment, hiring, promotion, compensation, performance assessment, training, job assignment and termination of employment, no differential treatment is applied on the basis of ethnicity, race, nationality, gender, religious belief, age, marital or parental status, disability, health status, household registration or any other legally protected characteristic.

1.8 重點關注領域
1.8 Priority Areas of Focus

公司特別關注婦女權益保障、未成年人保護、殘障人士平等就業、員工職業健康與安全、外來務工人員權益保障、移民及跨境用工人員權益保障，以及運營地周邊社區的人權影響。

The Company pays particular attention to the protection of women's rights, the protection of minors, equal employment for persons with disabilities, employee occupational health and safety, the rights of migrant workers, the rights of migrant and cross-border workers, and the human rights impacts on communities surrounding its operating sites.

1.9 適用范圍
1.9 Scope of Application

公司人權承諾的適用范圍包括自有運營點、承包商以及合作伙伴。公司要求供應商和合作伙伴在其運營中尊重和保護人權，不與使用童工、強迫勞動或嚴重侵害人權的供應商或業務合作伙伴合作。對公司不擁有但參與管理的合資企業，公司將根據其實際影響力與控制程度，采取與自身相當程度的盡職調查與改善措施。

This human rights commitment applies to the Company's own operating sites, contractors and business partners. The Company requires suppliers and business partners to respect and protect human rights in their operations, and does not cooperate with suppliers or business partners that use child labor or forced labor or seriously violate human rights. For joint ventures in which the Company does not hold ownership but participates in management, the Company will apply due diligence and improvement measures equivalent to its own, commensurate with its actual influence and degree of control.

1.10 禁止報復
1.10 Prohibition of Retaliation

公司禁止對善意提出人權關切、參與人權調查或舉報涉嫌人權違規行為的人員實施任何形式的報復或不利待遇，包括但不限于降薪、調崗、考核降級、取消培訓與晉升機會、解除勞動關系等。任何疑似報復行為均按公司問責制度從嚴處理。

The Company prohibits any form of retaliation or detrimental treatment against persons who raise human rights concerns in good faith, participate in human rights investigations or report suspected human rights violations, including but not limited to salary reduction, reassignment, downgraded assessment, denial of training and promotion opportunities, or termination of employment. Any suspected retaliation is handled strictly under the Company's accountability system.

第二條 人權盡職調查流程
Article 2 Human Rights Due Diligence Process

2.1 目標與總體框架
2.1 Objectives and Overall Framework

公司建立全公司范圍的人權盡職調查程序，以確保人權風險的系統識別、評估、緩釋和補救。程序遵循“識別—評估—緩釋—跟蹤與溝通—補救”的閉環邏輯，各環節明確責任部門、輸出成果與完成時限。

The Company has established a Company-wide human rights due diligence procedure to ensure the systematic identification, assessment, mitigation and remediation of human rights risks. The procedure follows the closed-loop logic of "identify – assess – mitigate – track and communicate – remediate", with responsible departments, deliverables and deadlines defined for each step.

2.2 盡職調查的頻率與觸發條件
2.2 Frequency and Trigger Conditions of Due Diligence

定期開展：公司人權盡職調查至少每年開展一次，覆蓋全公司范圍。

Periodic conduct: Human rights due diligence is conducted at least once a year, covering the entire Company.

事件觸發：出現下列情形時啟動專項盡職調查：

Event-triggered conduct: A special due diligence is initiated under any of the following circumstances:

1. 新建、收購或參股設立企業實體；

1. Establishment of a new entity, or an acquisition or equity participation;

2. 新進入高風險國家或地區、新增高風險采購品類；

2. Entry into a new high-risk country or region, or addition of high-risk procurement categories;

3. 供應商發生所有權、控制權或生產場地重大變更；

3. Major changes in a supplier's ownership, control or production sites;

4. 收到員工、當地社區、政府部門、工會、媒體或非政府組織提出的人權投訴或舉報；

4. Receipt of human rights complaints or reports from employees, local communities, government authorities, labor unions, media or non-governmental organizations;

5. 發生工傷致死、群體性事件、罷工、重大環境社會事件；

5. Occurrence of fatal work injuries, mass incidents, strikes or major environmental and social incidents;

6. 經評估發現既有緩釋措施已失效或存在系統性缺陷。

6. Assessment findings that existing mitigation measures have become ineffective or that systemic deficiencies exist.

2.3 風險識別
2.3 Risk Identification

識別范圍包括：

The scope of identification includes:

1. 公司自身運營中的人權風險識別；

1. Identification of human rights risks in the Company's own operations;

2. 公司價值鏈或與其業務相關的其他活動中的人權風險識別；

2. Identification of human rights risks in the Company's value chain or other activities related to its business;

3. 新業務關系中的人權風險識別（合并、收購、合資企業等）。

3. Identification of human rights risks in new business relationships (mergers, acquisitions, joint ventures, etc.).

信息來源與渠道：員工申訴與舉報記錄、供應商自評問卷、現場審核記錄、第三方盡職調查與審核報告、公開信息檢索（政府公告、國際組織與非政府組織報告、媒體報道）、工會與員工代表反饋、客戶與業務伙伴反饋、外部舉報平臺與熱線。

Information sources and channels: employee grievance and report records, supplier self-assessment questionnaires, on-site audit records, third-party due diligence and audit reports, public information searches (government announcements, reports of international and non-governmental organizations, media reports), feedback from labor unions and employee representatives, feedback from customers and business partners, and external reporting platforms and hotlines.

2.4 風險評估
2.4 Risk Assessment

對識別的人權風險進行系統性定期審查，評估風險的嚴重程度和發生可能性，重點關注強迫勞動、人口販賣、童工、結社自由、集體談判權、歧視等高風險領域。評估結論按“高、中、低”三級分類，并按附錄一《人權風險評估矩陣》判定。涉及童工、強迫勞動、人口販賣、重大人身傷害與死亡的，直接評定為高風險，不受矩陣結果限制。

Identified human rights risks are systematically and periodically reviewed to assess their severity and likelihood, with particular focus on high-risk areas such as forced labor, human trafficking, child labor, freedom of association, collective bargaining and discrimination. Assessment conclusions are classified into three levels (high, medium, low) in accordance with Appendix 1, the Human Rights Risk Assessment Matrix. Risks involving child labor, forced labor, human trafficking, major personal injury or death are directly rated as high risk, irrespective of the matrix results.

2.5 風險緩釋
2.5 Risk Mitigation

根據風險影響水平制定相應的風險緩解措施，由負責的團隊和管理層對人權緩解措施進行監測和審查，以最大限度減少風險并將風險控制在可接受的水平。每項緩釋措施須明確責任部門、具體措施、完成時限與驗證方式，并納入第十二條跟蹤機制統一管理。

Risk mitigation measures are formulated according to the level of risk impact, and the responsible teams and management monitor and review human rights mitigation measures to minimize risks and keep them at an acceptable level. Each mitigation measure must specify the responsible department, specific actions, completion deadline and verification method, and is managed under the tracking mechanism referred to in Article 12.

2.6 跟蹤與溝通
2.6 Tracking and Communication

對人權風險緩釋措施的執行情況進行持續跟蹤，定期向管理層報告，并與受影響的利益相關方保持溝通。公司每年向管理層提交《人權盡職調查年度執行報告》，說明高風險事項進展、整改成效與趨勢變化。重大人權事件不受常規報告周期限制，應在知悉后24小時內啟動內部升級報告。

The implementation of human rights risk mitigation measures is continuously tracked, reported periodically to management, and communicated with affected stakeholders. The Company submits an Annual Human Rights Due Diligence Implementation Report to management each year, describing progress on high-risk matters, remediation results and trend changes. Major human rights incidents are not subject to the regular reporting cycle and require internal escalation reporting within 24 hours of becoming aware.

2.7 補救機制
2.7 Remediation Mechanism

對于被認定造成或加劇人權影響的公司活動，采取經濟和非經濟補償形式的補救行動，以減輕對受影響人群造成的消極影響。補救以恢復受影響方權益為首要目標，不以內部紀律處分或終止合作關系替代。

For Company activities found to have caused or contributed to human rights impacts, remedial action in the form of financial and non-financial compensation is taken to mitigate the negative impacts on affected people. Remediation aims primarily at restoring the rights and interests of affected parties and shall not be replaced by internal disciplinary action or termination of business relationships.

2.8 責任不轉嫁
2.8 Non-Transfer of Responsibility

公司不得將人權責任轉嫁給承包商、供應商或其他第三方。公司對自身雇傭行為與供應鏈管理行為承擔直接責任，并通過合同約束、審核與整改要求、供應商分級、暫停合作及必要時的終止合作，對承包商與供應商施加與其風險相稱的影響力。

The Company shall not transfer its human rights responsibilities to contractors, suppliers or other third parties. The Company bears direct responsibility for its own employment practices and supply chain management, and exerts influence commensurate with the risk on contractors and suppliers through contractual constraints, audit and remediation requirements, supplier grading, suspension of cooperation and, where necessary, termination of cooperation.

2.9 獨立性與專業支持
2.9 Independence and Professional Support

當風險復雜或公司內部專業能力不足時，公司應聘請具備相應資質的第三方專業機構（如審計機構、律師事務所、認證機構、可持續發展專業機構）開展盡職調查或提供技術支持，其工作范圍、結論獨立性與調查權限不受公司干預。

Where risks are complex or internal expertise is insufficient, the Company shall engage qualified third-party professional institutions (such as audit firms, law firms, certification bodies and sustainability consultancies) to conduct due diligence or provide technical support, and their scope of work, independence of conclusions and investigative authority shall not be subject to Company interference.

2.10 人權盡職調查覆蓋范圍
2.10 Scope of Human Rights Due Diligence

公司人權盡職調查將逐步覆蓋自有員工、婦女、兒童、當地社區等權利主體，以及自有運營、供應鏈和業務合作伙伴。

The Company's human rights due diligence will progressively cover rights-holders including its own employees, women, children and local communities, as well as its own operations, supply chain and business partners.

第三條 人權風險評估
Article 3 Human Rights Risk Assessment

3.1 評估頻次
3.1 Assessment Frequency

人權風險評估至少每年開展一次；出現第二條 2.2 所列事件觸發情形時，對相關范圍開展加頻評估。

Human rights risk assessments are conducted at least once a year; when any trigger event listed in Article 2.2 occurs, more frequent assessments are conducted for the relevant scope.

3.2 評估范圍
3.2 Assessment Scope

3.2.1 自有運營：評估公司各生產基地、辦公場所及運營環節中存在的人權風險，重點覆蓋招聘與錄用、工時與加班、工資與社保、福利與住宿、職業健康與安全、保安與安保人員管理、工會與員工溝通、離職與遣散程序等環節。

3.2.1 Own operations: Assess human rights risks in the Company's production bases, offices and operating processes, focusing on recruitment and hiring, working hours and overtime, wages and social insurance, benefits and accommodation, occupational health and safety, management of security guards and security personnel, labor union and employee communication, and resignation and severance procedures.

3.2.2 供應鏈：評估供應商及承包商在勞工實踐、工作條件等方面存在的人權風險，區分自有工廠、承包商工廠與次級供應商，按風險等級實施差異化審核頻次。

3.2.2 Supply chain: Assess human rights risks of suppliers and contractors in labor practices, working conditions and other aspects, distinguishing own factories, contractor factories and sub-tier suppliers, and applying differentiated audit frequencies by risk level.

3.2.3 客戶及其他利益相關方：評估公司產品和服務對客戶及社區人權的潛在影響。

3.2.3 Customers and other stakeholders: Assess the potential human rights impacts of the Company's products and services on customers and communities.

3.3 評估方法
3.3 Assessment Methods

采用文件審查、問卷調查、員工與管理層訪談、現場走訪、第三方審核、抽樣核驗等方法組合。必要時開展不預先通知的現場檢查或以獨立第三方身份進行走訪，以提高信息的真實性與有效性。

A combination of methods is used, including document review, questionnaires, employee and management interviews, site visits, third-party audits and sample verification. Where necessary, unannounced on-site inspections or visits in the capacity of an independent third party are conducted to improve the authenticity and validity of information.

3.4 利益相關方參與
3.4 Stakeholder Engagement

評估過程應聽取受影響利益相關方的意見，包括員工及其代表、工會、承包商一線工人、供應商一線人員及當地社區代表，以識別單一渠道難以發現的隱性問題。

The assessment process shall solicit the views of affected stakeholders, including employees and their representatives, labor unions, front-line workers of contractors, front-line personnel of suppliers and local community representatives, in order to identify hidden issues that a single channel can hardly detect.

3.5 評估結論應用
3.5 Application of Assessment Results

評估結論形成人權風險清單與整改任務清單，納入公司年度人權工作計劃。高風險事項須明確責任部門、完成時限與驗證方式，并按第十四條執行。

Assessment results are consolidated into a human rights risk list and a remediation task list, which are incorporated into the Company's annual human rights work plan. High-risk matters must specify the responsible department, completion deadline and verification method, and are handled in accordance with Article 14.

第四條 人權風險緩釋與補救
Article 4 Human Rights Risk Mitigation and Remediation

針對已識別的重大人權風險，公司將采取以下預防、減緩、糾正和補救行動：

For identified major human rights risks, the Company will take the following preventive, mitigating, corrective and remedial actions:

4.1 預防措施
4.1 Preventive Measures

通過政策宣貫、合同約束、供應商準入審查等方式，從源頭預防人權風險的發生。主要措施包括：將《供應商人權行為準則》作為采購合同必備條款；在供應商準入與年度復評中設置人權審查項；建立覆蓋自有運營與供應鏈的人權責任人清單；對管理層與相關崗位人員開展年度培訓。

Human rights risks are prevented at source through policy communication, contractual constraints and supplier admission screening. Key measures include: making the Supplier Human Rights Code of Conduct a mandatory clause in procurement contracts; including human rights review items in supplier admission and annual re-assessment; establishing a list of human rights responsible persons covering own operations and the supply chain; and conducting annual training for management and personnel in relevant positions.

4.2 減緩措施
4.2 Mitigating Measures

對已識別的風險制定專項緩解計劃，明確責任部門、整改措施和完成時限。高風險事項應指定專項負責人并按月跟蹤進展；整改完成須經責任部門驗證，必要時安排復核。

Special mitigation plans are formulated for identified risks, specifying the responsible department, remediation measures and completion deadlines. A dedicated owner is assigned to high-risk matters with monthly progress tracking; completion of remediation must be verified by the responsible department, with re-review arranged where necessary.

4.3 糾正措施
4.3 Corrective Measures

對已發生的人權違規行為及時進行糾正，追究相關方責任。糾正措施包括：立即制止違規行為、恢復受影響人員權益、對責任人員依規問責、對責任供應商實施警告、限期整改、降級、暫停合作直至終止合作。紀律處分與合作關系調整不得替代對受影響人員的補救。

Human rights violations that have occurred are promptly corrected and responsible parties held accountable. Corrective measures include immediately stopping the violation, restoring the rights and interests of affected persons, holding responsible personnel accountable in accordance with rules, and imposing warnings, deadline-based remediation, downgrading, suspension of cooperation or termination of cooperation on responsible suppliers. Disciplinary action and adjustments to business relationships shall not replace remediation for affected persons.

4.4 補救措施
4.4 Remedial Measures

對受人權問題影響的個人或群體提供適當的補救，包括但不限于經濟補償、恢復權益、道歉及制度改進等。補救方案應與受影響方協商確定方式，并明確告知公司已采取的防止再次發生的措施。

Appropriate remediation is provided to individuals or groups affected by human rights issues, including but not limited to financial compensation, restoration of rights, apology and institutional improvement. Remediation plans are determined through consultation with affected parties, who are clearly informed of the measures the Company has taken to prevent recurrence.

4.5 升級機制
4.5 Escalation Mechanism

發生致人死亡或重傷、疑似強迫勞動、童工、人口販賣、集體報復等重大人權事件時，應在知悉后24小時內向公司人權管理領導小組報告，同時報備集團相關管理部門，暫停涉事場所或供應商的相關作業，啟動獨立調查。

In the event of a major human rights incident such as death or serious injury, suspected forced labor, child labor, human trafficking or collective retaliation, a report shall be made to the Company's Human Rights Management Leading Group within 24 hours of becoming aware, with simultaneous notification to the relevant group management departments; operations at the site or supplier concerned shall be suspended and an independent investigation initiated.

4.6 有效性驗證與經驗反饋
4.6 Effectiveness Verification and Lessons Learned

公司對緩釋與補救措施的有效性進行驗證，可通過回頭訪談、整改復核、趨勢指標對比等方式實施，并將有效做法固化為制度、流程與培訓內容，推動同類風險在前端環節得到預防。

The Company verifies the effectiveness of mitigation and remediation measures through follow-up interviews, remediation reviews and comparison of trend indicators, and consolidates effective practices into policies, processes and training content so that similar risks are prevented at the front end.

第五條 人權管理組織架構與職責分工
Article 5 Human Rights Management Structure and Division of Responsibilities

5.1 組織架構
5.1 Organizational Structure

公司設立人權管理領導小組，由公司管理層負責人擔任組長，成員包括人力資源、采購與供應鏈、法務合規、安全環保、工會等相關部門負責人。

The Company establishes a Human Rights Management Leading Group, headed by a member of Company management and comprising the heads of Human Resources, Procurement and Supply Chain, Legal and Compliance, Safety and Environmental Protection, and the Labor Union.

領導小組職責：批準人權管理制度與年度工作計劃；審議年度盡職調查報告；決策重大人權事件處置方案；審定對外披露內容。

Duties of the Leading Group: approve the human rights management system and annual work plan; review the annual due diligence report; decide on handling plans for major human rights incidents; and approve external disclosure content.

5.2 部門職責
5.2 Departmental Responsibilities

5.3 責任不虛化
5.3 Non-Dilution of Responsibilities

領導小組各成員部門應指定人權管理聯系人，明確本單位人權風險臺賬與年度自查安排。聯系人名單及職責應每年更新一次。

Each member department of the Leading Group shall designate a human rights management contact person and define its human rights risk register and annual self-inspection arrangements. The list of contact persons and their duties shall be updated annually.

第六條 員工申訴與舉報
Article 6 Employee Grievance and Reporting

6.1 渠道
6.1 Channels

公司設置人權申訴與舉報專用渠道，包括內部專用郵箱(linyanghr@linyang.com.cn)、書面信函（南京市建鄴區牡丹江街2號林洋能源17樓）、舉報熱線（+86 025-86312121）、工會渠道，并提供匿名舉報方式；同時對外公布獨立于公司管理層的外部舉報渠道及所在地監管部門投訴渠道。

The Company has established dedicated human rights grievance and reporting channels, including a dedicated internal email (linyanghr@linyang.com.cn), written correspondence (17/F, Linyang Energy, No. 2 Mudanjiang Street, Jianye District, Nanjing), a reporting hotline (+86 025-86312121) and labor union channels, with anonymous reporting available; external reporting channels independent of Company management and complaint channels of local regulatory authorities are also publicly disclosed.

6.2 受理與時限
6.2 Receipt and Time Limits

人力資源部在收到申訴或舉報后3個工作日內完成受理并登記，10個工作日內反饋處理進展；重大事項立即啟動升級報告，不受常規時限約束。

The Human Resources Department registers and accepts grievances or reports within 3 working days of receipt, and provides progress feedback within 10 working days; major matters trigger immediate escalation reporting and are not subject to the regular time limits.

6.3 調查
6.3 Investigation

由獨立于被投訴部門及被調查業務單元的調查小組開展，必要時聘請外部專業機構參與。調查過程應保護舉報人隱私與個人信息，對涉及員工個人身份、健康、家庭等敏感信息嚴格控制知悉范圍。

Investigations are conducted by an investigation team independent of the department complained against and the business unit under investigation, with external professional institutions engaged where necessary. The investigation process protects the privacy and personal information of reporters, and access to sensitive information such as employees' identity, health and family circumstances is strictly controlled.

6.4 處理與反饋
6.4 Handling and Feedback

調查結論以適當方式向申訴舉報人反饋。認定違規的，依第十四條采取糾正與補救措施，并納入風險臺賬跟蹤至閉環。

Investigation conclusions are fed back to complainants and reporters in an appropriate manner. Where a violation is confirmed, corrective and remedial measures are taken under Article 14, and the matter is tracked in the risk register until closed.

6.5 禁止報復
6.5 Prohibition of Retaliation

嚴禁對善意申訴、舉報及配合調查的人員實施任何形式的打擊報復，違者從重問責。對員工提出的人權關切，公司不得以調崗、降薪、解除勞動關系等方式變相施壓。

Any form of retaliation against persons who file grievances or reports in good faith or assist investigations is strictly prohibited and subject to heavier accountability. The Company shall not bring disguised pressure to bear on employees raising human rights concerns through reassignment, salary reduction or termination of employment.

6.6 記錄與保密
6.6 Records and Confidentiality

申訴舉報臺賬由人力資源部專人管理，保存期限不少于五年；接觸人員負有保密義務。

The grievance and reporting register is managed by a designated person in the Human Resources Department and retained for at least five years; all persons with access are bound by confidentiality obligations.

第七條 培訓與宣貫
Article 7 Training and Communication

1. 員工培訓：新員工入職必修人權與勞動權益課程；全員年度培訓不少于一次；招聘、采購、安保、派遣用工管理等高風險崗位須開展專項培訓。

1. Employee training: New hires must complete human rights and labor rights courses upon onboarding; all employees receive training at least once a year; specialized training is required for high-risk positions such as recruitment, procurement, security and dispatched labor management.

2. 供應商宣貫：通過采購合同附件、供應商會議、審核前培訓等方式，向供應商及承包商傳達公司人權要求。

2. Supplier communication: The Company's human rights requirements are communicated to suppliers and contractors through procurement contract annexes, supplier meetings and pre-audit training.

3. 管理層培訓：公司管理層及各部門負責人每年接受人權管理專題培訓。

3. Management training: Company management and department heads receive dedicated human rights management training each year.

4. 效果評估：培訓后通過測試、問卷與訪談評估有效性，評估結果作為下一年度培訓計劃調整依據。

4. Effectiveness evaluation: Training effectiveness is evaluated through tests, questionnaires and interviews, and the results serve as the basis for adjusting the next year's training plan.

第八條 記錄、檔案與信息披露
Article 8 Records, Archives and Information Disclosure

1. 記錄要求：人權盡職調查、風險評估、緩釋跟蹤、申訴受理與調查、補救實施等記錄應真實、完整、可追溯，保存期限不少于五年；涉及嚴重人權違規的，延長至十年。

1. Record requirements: Records of human rights due diligence, risk assessment, mitigation tracking, grievance receipt and investigation, and remedy implementation shall be authentic, complete and traceable, retained for at least five years and extended to ten years for serious human rights violations.

2. 臺賬管理：建立人權風險臺賬與整改任務臺賬，實行動態更新、閉環銷項。

2. Records management: Human rights risk registers and remediation task registers are maintained with dynamic updating and closed-loop clearance.

3. 內部報告：每年向管理層提交《人權盡職調查年度執行報告》；重大事件即時提交專項報告。

3. Internal reporting: An Annual Human Rights Due Diligence Implementation Report is submitted to management each year; a special report is submitted immediately for major incidents.

4. 外部披露：通過社會責任報告、可持續發展報告或公司官網等渠道，披露人權承諾、盡職調查機制、年度進展與關鍵績效數據，做到真實、平衡、可驗證。

4. External disclosure: The human rights commitment, due diligence mechanisms, annual progress and key performance data are disclosed through CSR reports, sustainability reports or the Company website in a truthful, balanced and verifiable manner.

5. 第三方鑒證：鼓勵對關鍵數據與關鍵流程引入獨立第三方鑒證。

5. Third-party assurance: Independent third-party assurance of key data and processes is encouraged.

第九條 考核與問責
Article 9 Performance Assessment and Accountability

1. 績效考核：將人權管理履職情況納入各產業公司及相關部門年度績效考核，考核結果與評優、晉升、薪酬激勵掛鉤。

1. Performance assessment: Performance of human rights management duties is included in the annual performance assessment of industrial subsidiaries and relevant departments, with results linked to recognition, promotion and compensation incentives.

2. 責任追究：對玩忽職守、瞞報漏報、打擊報復、偽造記錄、拒不配合調查等行為，依據公司問責制度處理；涉嫌違法犯罪的，移交司法機關。

2. Accountability: Dereliction of duty, concealment of reporting, retaliation, falsification of records and refusal to cooperate with investigations are handled under the Company's accountability system; suspected criminal conduct is referred to judicial authorities.

3. 供應商問責：將人權表現納入供應商分級、續約與份額分配；對連續不符合要求的供應商實施暫停合作或退出。

3. Supplier accountability: Human rights performance is incorporated into supplier grading, contract renewal and share allocation; suppliers repeatedly failing to meet requirements are suspended or exited.

第十條 附則
Article 10 Supplementary Provisions

1. 本制度由集團人力資源部（人權管理歸口部門）負責解釋、組織修訂與實施。

1. This System is interpreted, revised and implemented by the Group Human Resources Department (the lead department for human rights management).

2. 本制度自發布之日起施行；原有相關規定與本制度不一致的，以本制度為準。

2. This System takes effect upon issuance; in case of inconsistency with prior provisions, this System prevails.

3. 本制度至少每年評審一次；法律、法規、國際標準或公司業務發生重大變化時，及時修訂。

3. This System is reviewed at least annually and revised promptly when laws, regulations, international standards or the Company's business undergo major changes.

4. 本制度未盡事宜，按國家有關法律法規及公司其他制度執行。

4. Matters not covered herein are governed by applicable national laws and regulations and other Company policies.