英特派鉑業(yè)股份有限公司

ITP  Co.,Ltd.

 程序文件

Procedure Document

文件名稱: 負(fù)責(zé)任采購(gòu)申訴機(jī)制

Document Name:  Responsible Procurement Complaint Mechanism

1 目的

1 Purpose

為加強(qiáng)英特派鉑業(yè)股份有限公司鉑供應(yīng)鏈合規(guī)性管理，根據(jù) 《LPPM負(fù)責(zé)任鉑指南》的要求，確保公司的供應(yīng)鏈無侵犯人權(quán)、沖突、洗錢及恐怖分子籌資等行為。公司制定了含鉑物料的申訴制度，凡公司的供應(yīng)商都應(yīng)配合公司盡職調(diào)查小組的審查。各供應(yīng)商應(yīng)遵守國(guó)家相關(guān)法律法規(guī)，對(duì)供應(yīng)的鉑確保來源和去向合規(guī)。允許公司鉑金和/或鈀金供應(yīng)鏈中的利益相關(guān)方（受影響人員或舉報(bào)者）對(duì)采礦、貿(mào)易、加工和出口的過程中存在/潛在存在的風(fēng)險(xiǎn)進(jìn)行申訴并確保得到妥善處理。

To strengthen platinum supply chain compliance management of ITP Co.,Ltd. and ensure that the Company’s supply chain is free from human right violation, conflict, money laundering and terrorist financing in accordance with the requirements of the LPPM Responsible Platinum and Palladium Guidance, the Company has developed complaint system for materials containing platinum and palladium. All suppliers of the Company shall cooperate with the review of the due diligence team of the Company. In addition, all suppliers shall comply with relevant national laws and regulations to ensure compliance of the source and destination of the supplied platinum and palladium. Stakeholders (affected persons or whistleblowers) in the Company’s platinum supply chain should be allowed to make complaint about and address risks that exist/potentially exist during mining, trading, processing and export.

2 依據(jù)

2 Basis

《LPPM 負(fù)責(zé)任鉑指南》、《LPPM 負(fù)責(zé)任的鉑供應(yīng)鏈盡職調(diào)查管理體系》、《英特派鉑業(yè)股份有限公司鉑負(fù)責(zé)任采購(gòu)供應(yīng)鏈管理政策》

LPPM Responsible Platinum and Palladium Guidance, LPPM Responsible Platinum Supply Chain Due Diligence Management System, Responsible Platinum Procurement Supply Chain Management Policy of ITP Co., Ltd.

3 適用范圍

3 Scope of application

本程序適用于本公司的相關(guān)方及本公司涉及負(fù)責(zé)任礦物采購(gòu)相關(guān)工作的部門、單位及人員、以及任何與我司鉑供應(yīng)鏈相關(guān)的利益相關(guān)者。

This procedure is applicable to interested parties of the Company and the departments, units and personnel of the Company in connection with the work related to responsible mineral procurement, as well as any stakeholders related to our platinum supply chain.

4 管理機(jī)構(gòu)及職責(zé)

4 Management organization and responsibilities

公司設(shè)立申訴工作處理小組，成員風(fēng)險(xiǎn)總監(jiān)、合規(guī)風(fēng)控官、合規(guī)專員組成，工作組負(fù)責(zé)對(duì)申訴的處理。

The Company shall set up a complaint handling team composed of compliance director, compliance risk control officer and compliance specialists. The working team shall be responsible for handling the complaint.

5 工作程序

5 Working procedure

5.1 申訴信息的收集

5.1 Collection of complaint information

公司設(shè)立聯(lián)系/申訴渠道：

The Company has established contact/complaint channels:

電話：0510-83789626                     郵箱： wxitp@wxitp.com

在英特派鉑業(yè)股份有限公司官網(wǎng) www.wxitp.com 中予以公布，電話、電子郵箱用于接收相關(guān)的詢問和申訴，由公司合規(guī)專員定期查看。

The information is disclosed on the official website of ITP Co., Ltd. www.361000.org.cn, with telephone and e-mail used to receive relevant inquiries and complaints, and the Compliance Officer of the Company is responsible for checking such information regularly.

工作中接收到的相關(guān)方關(guān)于負(fù)責(zé)任供應(yīng)鏈的與采礦、貿(mào)易、加工和出口情況有關(guān)的疑慮方面的信息。Information is received from interested parties in the course of their work with regard to concerns related to the mining, trading, processing and export of responsible supply chains.

5.2 申訴的內(nèi)容

  5.2 Complaint  content

相關(guān)方對(duì)公司的供應(yīng)鏈管理提起申訴時(shí)，該申訴需包含以下內(nèi)容：

When an interested party files a complaint against the supply chain management of the Company, the complaint shall include the following:

具體說明向何種決定提起申訴及理由；

Specify the decision to which the complaint is filed and the reasons for it;

附相關(guān)書面證據(jù)；

Attach relevant written evidence;

具體說明在提出申訴之前采取了哪些步驟來解決問題；

Specify the steps taken to resolve the issue before the complaint is filed;

5.3  申訴信息的分類

5.3 Classification   of   complaint   information

        公司需對(duì)接收到的詢問和申訴信息進(jìn)行分類識(shí)別，申訴信息分為一般信息、特殊/重要申訴信息、不予受理信息。

The Company shall classify and identify the received inquiry and complaint information which is divided into general information, special/important complaint information and non-acceptance information.

5.3.1          一般信息：相關(guān)方對(duì)公司負(fù)責(zé)任礦物供應(yīng)鏈管理的咨詢、供方的調(diào)查問卷等。

5.3.1             General information: interested parties’ consultation on the Company’s responsible mineral supply chain management, questionnaire of suppliers, etc.

5.3.2            特殊或重要申訴信息：

5.3.2          Special/important  complaint  Information:

管理不符合 LPPM 要求的信息；

Managing information that does not meet LPPM requirements;

對(duì)供應(yīng)商的礦物采購(gòu)涉及公司識(shí)別的高風(fēng)險(xiǎn)區(qū)域的信息；

Information for mineral procurement of suppliers involving high-risk areas identified  by  the  Company;

對(duì)供應(yīng)商的礦物采購(gòu)不符合公司的供應(yīng)鏈政策的信息。

Information for mineral procurement of suppliers failing to comply with the Company’s supply chain policy.

5.3.3          不予受理信息：

5.3.3          Non-acceptance information:

瑣碎的、惡意的、無理取鬧的或似乎是為了獲得競(jìng)爭(zhēng)優(yōu)勢(shì)而產(chǎn)生的投訴。

Petty, malicious, unwarranted complaints or complaints that appear to be made to gain a competitive advantage.

沒有令人信服的客觀證據(jù)支持的投訴。

Complaint not supported by convincing objective evidence.

5.4  申訴的處理

5.4 Complaint handling

5.4.1          關(guān)于匿名申訴

5.4.1          Anonymous complaint

支持匿名申訴，申訴工作處理小組不得對(duì)工作小組以外的任何人泄露申訴人信息，對(duì)于可能涉及申訴人信息的申訴內(nèi)容予以保密，如申訴內(nèi)容與工作小組成員有利害關(guān)系，工作小組應(yīng)立即要求該成員避嫌。如發(fā)現(xiàn)有任何打擊報(bào)復(fù)申訴人的情況，公司將對(duì)相關(guān)涉事員工按公司章程嚴(yán)肅從重處理，如涉嫌違法犯罪，立即報(bào)案并移送司法機(jī)關(guān)處理。

Anonymous complaint shall be supported. The complaint handling team shall not disclose the information of the complainant to anyone other than the working team. The contents of the complaint that may involve the information of the complainant shall be kept confidential. The working team shall require the members to withdraw immediately if the contents of the complaint have an interest with the members of the working team. In case of any retaliation against the complainant, the Company will seriously deal with the relevant employees in accordance with the articles of association. If they are suspected of violating the law or crime, they shall be immediately reported to the judicial authority for handling.

5.4.2          申訴處理流程

5.4.2          Complaint handling process

申訴處理小組工作組應(yīng)在收到申訴后 10 個(gè)工作日內(nèi)確認(rèn)收到申訴，在基于申訴是否符合 5.3 的基礎(chǔ)上確認(rèn)接受或拒絕申訴。

The complaint handling working team shall acknowledge receipt of the complaint within 10 working days upon receipt of the complaint and confirm acceptance or rejection of the complaint based on compliance with 5.3.

如果申訴被拒絕，應(yīng)向申訴方提供書面解釋，并記錄在案。不得采取進(jìn)一步行動(dòng)。

If the complaint is rejected, a written explanation shall be provided for the complainant and documented. No further action shall be taken.

對(duì)特殊重要申訴信息由申訴處理小組在決定受理后 45 個(gè)工作日內(nèi)對(duì)上訴或投訴進(jìn)行調(diào)查、審查和裁決。處理小組應(yīng)盡最大努力在截止日期前完成工作。在極少數(shù)情況下可能需要額外的時(shí)間。申訴處理小組應(yīng)采取合理措施，包括召開一次或多次會(huì)議，以作出合理決定。這類措施的例子包括:

With regard to special and important complaint information, the complaint handling team shall investigate, review and adjudicate the grievance or complaint within 45 working days after making the decision to accept it. The handling team shall make all endeavors to complete the work by the deadline.  Additional time may be required in rare cases. The complaint handling team shall take reasonable steps, including holding one or more meetings to make a reasonable decision. Examples of such measures include:

咨詢專家

Consulting experts

請(qǐng)求申訴方或其他人提供更多信息

Request more information from the complainant or others

申訴方不合作可被視為中止該程序的理由。申訴處理小組應(yīng)協(xié)商一致決定是否中止申訴程序。

Non-cooperation by the complainant could be considered as grounds for suspending the procedure. The complaint handling team shall decide whether to suspend the complaint procedure through consensus.

申訴決定以書面形式傳達(dá)給申訴方，申訴決定應(yīng)包含：

The complaint decision shall be conveyed to the complainant in writing and shall include:

申訴決定

Complaint     decision

申訴決定是如何以及何時(shí)做出的

How   and   when   the  complaint   decision  is    made

任何新的建議

Any  new  suggestions

合規(guī)專員定期總結(jié)風(fēng)險(xiǎn)情況處理結(jié)果，并在公司官網(wǎng)公示申訴內(nèi)容、處理方式及處理結(jié)果，合規(guī)風(fēng)控官負(fù)責(zé)全程監(jiān)督風(fēng)險(xiǎn)減緩措施的實(shí)施并每日向合規(guī)總監(jiān)匯報(bào)進(jìn)度，在風(fēng)險(xiǎn)減緩措施實(shí)施完成后，由合規(guī)總監(jiān)定期評(píng)估措施的有效性并作出總結(jié)和評(píng)價(jià)。

The Compliance Officer shall regularly summarize the risk handling results and publicize the complaint contents, handling methods and results on the official website of the Company. The Compliance Risk Control Officer shall be responsible for supervising the implementation of risk mitigation measures during the whole process and reporting the progress to the Compliance Director every day. The Compliance Director shall regularly evaluate the effectiveness of the measures and make summary and evaluation after the implementation of the risk mitigation measures is completed.

5.5 申訴的記錄

5.5 Complaint record

申訴工作處理小組應(yīng)將收到的申訴記錄在案，包括以下內(nèi)容:

The complaint handling team shall record the complaints received, including the following:

何人何時(shí)提交申訴；

Who files the complaint and when the complaint is filed;

申訴的類型、問題或主題以及隨申訴提交的信息；

Type, issue or subject of the complaint and the information submitted with the complaint;

接受或拒絕決定。

Decision for acceptance or rejection.