江蘇林洋能源股份有限公司

Jiangsu Linyang Energy Co., Ltd.

供應(yīng)商管理規(guī)定

Regulations on Supplier Management

文件編號：LY-SC-002    版本：V13.0    生效日期：2026年1月8日

Document No.: LY-SC-002    Version: V13.0    Effective Date: January 8, 2026

1 職責(zé)
1 Responsibility

1.1 采購部
1.1 Purchasing Department

a. 開發(fā)潛在供應(yīng)商，主導(dǎo)新供應(yīng)商開發(fā)及審核過程，收集先期資料。

Execute new supplier sourcing and the supplier investigation and audit process, and collect preliminary documentation from suppliers.

b. 供應(yīng)商資料日常維護，根據(jù)供應(yīng)商交貨能力，價格，售后等指標完成供應(yīng)商評分及日常管理考核，組織質(zhì)量、技術(shù)等部門年度供應(yīng)商審核。

Maintain supplier records, complete supplier rating and routine management assessment based on delivery capability, price and after-sales performance, and lead the annual supplier audit with the Quality, Technical and other departments.

c. 配合質(zhì)量部門追蹤處理供應(yīng)商產(chǎn)品質(zhì)量問題和投訴，配合輔導(dǎo)供應(yīng)商品質(zhì)提升，8D報告的分發(fā)與回收。

Support the Quality Department in tracking and resolving supplier quality issues and complaints, coach suppliers on quality improvement, and distribute and collect 8D reports.

d. 督促供應(yīng)商持續(xù)改善，降低供應(yīng)商成本。

Drive continuous improvement at suppliers and reduce supplier costs.

1.2 質(zhì)量部
1.2 Quality Department

a. 參與新供應(yīng)商資質(zhì)評定、現(xiàn)場審核、樣品驗證，負責(zé)對供應(yīng)商供貨質(zhì)量狀況進行評價；并根據(jù)此評價提出暫停或解除其合格供應(yīng)商資格的建議。

Participate in the qualification assessment, on-site audit and sample verification of new suppliers, evaluate supplier delivery quality performance, and recommend suspension or disqualification based on the evaluation.

b. 根據(jù)供應(yīng)商交貨質(zhì)量狀況，完成供應(yīng)商質(zhì)量評分以及實施供應(yīng)商年度審核。

Complete the supplier quality score based on delivery quality performance and carry out annual supplier audits.

c. 主導(dǎo)供應(yīng)商品質(zhì)異常問題改善，追蹤供應(yīng)商改善過程，確認改善效果。

Lead the improvement of supplier quality abnormalities, monitor the supplier’s improvement process and verify the effectiveness of the measures.

1.3 技術(shù)部
1.3 Technical Department

a. 參與對新供應(yīng)商進行資質(zhì)評定、現(xiàn)場審核和樣品驗證，負責(zé)在供應(yīng)商績效評價過程中對供應(yīng)商績效考核表中的技術(shù)部分進行評價。

Participate in the qualification assessment, on-site audit and sample verification of new suppliers, and evaluate the technical section of the supplier performance assessment form.

b. 參與年度供應(yīng)商審核，對供應(yīng)商能力評估表中的技術(shù)部分進行評估。

Participate in annual supplier audits and assess the technical section of the supplier capability assessment form.

1.4 生技部
1.4 Production Technical Department

a. 參與對新供應(yīng)商資質(zhì)進行評定、現(xiàn)場審核和輔料樣品驗證。

Participate in the qualification assessment, on-site audit and auxiliary material sample verification of new suppliers.

1.5 銷售部（新增）
1.5 Sales Department (New)

a. 提出市場及客戶對供應(yīng)商的特定要求，參與客戶指定供應(yīng)商的審批與合規(guī)性審查。

Raise market and customer-specific supplier requirements, and participate in the approval and compliance review of customer-designated suppliers.

b. 參與供應(yīng)商服務(wù)響應(yīng)、交付配合等商務(wù)績效的評價。

Participate in evaluating commercial performance such as service responsiveness and delivery coordination.

1.6 法務(wù)與監(jiān)察部（新增）
1.6 Legal and Supervision Functions (New)

a. 審核供應(yīng)商合同、廉潔條款及合規(guī)承諾，參與供應(yīng)商環(huán)境、社會與治理風(fēng)險的合規(guī)審查。

Review supplier contracts, integrity clauses and compliance undertakings, and participate in compliance review of supplier environmental, social and governance risks.

b. 受理供應(yīng)商舉報與申訴，對違規(guī)推薦、指定供應(yīng)商等行為進行調(diào)查。

Handle supplier reports and grievances, and investigate improper supplier recommendation or designation.

1.7 內(nèi)部審計部（新增）
1.7 Internal Audit Department (New)

a. 對供應(yīng)商準入、評價、退出流程的執(zhí)行情況進行獨立審計，每年至少覆蓋一次高風(fēng)險供應(yīng)商。

Independently audit the execution of supplier admission, evaluation and exit processes, covering high-risk suppliers at least once a year.

b. 對采購價格、采購集中度及關(guān)聯(lián)交易進行專項審計并跟蹤整改。

Conduct dedicated audits of procurement prices, procurement concentration and related-party transactions, and track remediation.

1.8 ESG管理歸口部門（新增）
1.8 ESG Management Function (New)

a. 統(tǒng)籌供應(yīng)商環(huán)境、勞工與人權(quán)、商業(yè)道德等可持續(xù)供應(yīng)鏈要求的制定、培訓(xùn)與落實。

Coordinate the development, training and implementation of sustainable supply chain requirements covering environment, labor and human rights, and business ethics.

b. 組織供應(yīng)商 ESG 風(fēng)險評估與綠色供應(yīng)鏈數(shù)據(jù)統(tǒng)計。

Organize supplier ESG risk assessment and green supply chain data collection.

1.9 職責(zé)分工總表
1.9 Responsibility Matrix

2 供應(yīng)商選擇
2 Supplier Selection

2.1 供應(yīng)商搜索方法
2.1 Supplier Search Methods

采購工程師將基于物料和業(yè)務(wù)要求去判斷是否該供應(yīng)商的產(chǎn)品/服務(wù)符合需求。供應(yīng)商搜索渠道包括：

Purchasing engineers determine whether a supplier’s products or services meet requirements based on material and business needs. Search channels include:

（1）電話黃頁；（2）第三方推薦；（3）展覽會、交易會或展柜調(diào)查；（4）客戶推薦；（5）通過互聯(lián)網(wǎng)搜索。

(1) Telephone yellow pages; (2) third-party recommendation; (3) exhibitions, trade fairs or showroom surveys; (4) customer recommendation; (5) internet search.

公司鼓勵優(yōu)先在通過 ISO 9001、ISO 14001、ISO 45001 認證及已建立 ESG 管理體系的供應(yīng)商中搜索，并優(yōu)先考慮具備綠色產(chǎn)品認證、再生材料使用及碳足跡核算能力的供應(yīng)商。

The Company encourages searching first among suppliers certified to ISO 9001, ISO 14001 and ISO 45001 or operating an ESG management system, and gives preference to suppliers with green product certification, recycled material use and carbon footprint accounting capabilities.

2.2 供應(yīng)商必備的資質(zhì)
2.2 Required Qualifications of Suppliers

按供應(yīng)商類別與主體類型，必備資質(zhì)如下：

Required qualifications by supplier class and entity type are as follows:

針對不同環(huán)保類別的供應(yīng)商需要提交的資質(zhì)材料如下：

Qualification materials required for suppliers of different environmental protection categories are as follows:

自本規(guī)定實施起，新增供應(yīng)商還應(yīng)提交：ISO 14001 或 ISO 45001 認證證書（Ⅰ類供應(yīng)商必備，Ⅱ、Ⅲ類鼓勵）、不使用有害物質(zhì)保證書、不使用沖突礦產(chǎn)承諾書、供應(yīng)商行為準則簽署頁，以及近一年內(nèi)的環(huán)保、安全與勞動用工合規(guī)證明。上述材料納入供應(yīng)商檔案管理并隨年度審核更新。

For suppliers newly added from the effective date of this Regulation, the following are also required: ISO 14001 or ISO 45001 certification (mandatory for Class Ⅰ, encouraged for Classes Ⅱ and Ⅲ), a hazardous substances undertaking, a conflict minerals commitment, the signed Supplier Code of Conduct, and evidence of environmental, safety and labor compliance within the past year. These materials are kept in the supplier file and updated with the annual audit.

2.3 供應(yīng)商選擇準則
2.3 Supplier Selection Criteria

2.3.1 質(zhì)量管控能力和產(chǎn)品可靠性符合公司要求，具有權(quán)威第三方質(zhì)量體系認證證書、產(chǎn)品具有權(quán)威第三方機構(gòu)測試報告的供應(yīng)商優(yōu)先；

Suppliers whose quality control capability and product reliability meet the Company’s requirements, and that hold authoritative third-party quality system certification and products with authoritative third-party test reports, are preferred.

2.3.2 技術(shù)研發(fā)和制造工藝符合公司要求，具有權(quán)威第三方認證的專利、軟件著作權(quán)等知識產(chǎn)權(quán)，被評定為高新技術(shù)企業(yè)、擁有企業(yè)技術(shù)中心的供應(yīng)商優(yōu)先；

Suppliers whose R&D capability and manufacturing process meet the Company’s requirements, and that hold authoritative third-party certified patents, software copyrights or other intellectual property, are recognized as high-tech enterprises or operate enterprise technology centers, are preferred.

2.3.3 價格及付款條件符合公司要求，具有權(quán)威第三方評價在行業(yè)領(lǐng)先的供應(yīng)商優(yōu)先；

Suppliers whose prices and payment terms meet the Company’s requirements, and that are assessed by authoritative third parties as industry leaders, are preferred.

2.3.4 交貨周期符合公司要求，提供按需備料服務(wù)的供應(yīng)商優(yōu)先；

Suppliers whose lead time meets the Company’s requirements, and that provide on-demand material stocking services, are preferred.

2.3.5 供應(yīng)商必須保證勞工權(quán)益、提供安全和健康的工作環(huán)境、預(yù)防環(huán)境污染、實施綠色生產(chǎn)、節(jié)能減排計劃、遵守商業(yè)道德規(guī)范。在環(huán)境保護、職業(yè)健康和安全及社會責(zé)任方面具備權(quán)威第三方機構(gòu)認證的供應(yīng)商優(yōu)先。

Suppliers must safeguard labor rights, provide a safe and healthy working environment, prevent environmental pollution, implement green production and energy-saving and emission-reduction plans, and comply with business ethics. Suppliers certified by authoritative third parties in environmental protection, occupational health and safety, and social responsibility are preferred.

2.3.6 供應(yīng)商準入禁止情形（新增）：存在下列情形之一的，不得準入為合格供應(yīng)商：（1）被列入國家企業(yè)信用信息公示系統(tǒng)嚴重違法失信名單或被列為失信被執(zhí)行人；（2）近三年發(fā)生重大安全、環(huán)保事故或受到生態(tài)環(huán)境、應(yīng)急管理、人力資源社會保障等部門重大行政處罰；（3）存在使用童工、強迫勞動、嚴重違反職業(yè)健康安全要求的情形；（4）存在商業(yè)賄賂、串標或其他嚴重失信行為；（5）無法提供合法有效的營業(yè)執(zhí)照、生產(chǎn)許可或強制性產(chǎn)品認證；（6）被聯(lián)合國、中國政府或其他適用司法轄區(qū)列入制裁名單。

Prohibited admission circumstances (new): a supplier may not be admitted as a qualified supplier if any of the following applies: (1) it is listed as seriously illegal or dishonest on the National Enterprise Credit Information Publicity System or as a dishonest judgment debtor; (2) it has had a major safety or environmental incident or received major administrative penalties from ecological environment, emergency management, human resources and social security authorities in the past three years; (3) it uses child labor, forced labor or seriously violates occupational health and safety requirements; (4) it has engaged in commercial bribery, bid rigging or other serious dishonest conduct; (5) it cannot provide a valid business license, production license or compulsory product certification; (6) it is subject to sanctions imposed by the United Nations, the Chinese government or any other applicable jurisdiction.

2.3.7 供應(yīng)商 ESG 評價維度（新增）：供應(yīng)商選擇應(yīng)同步評價其環(huán)境、社會與治理表現(xiàn)，包括環(huán)境管理體系與污染物排放、能源與碳排放強度、有害物質(zhì)與化學(xué)品管控、勞工與人權(quán)保障、職業(yè)健康安全、反腐敗與商業(yè)道德、信息安全與數(shù)據(jù)保護。同等商務(wù)條件下，ESG 評價結(jié)果較優(yōu)的供應(yīng)商優(yōu)先。

ESG evaluation dimensions (new): supplier selection also evaluates environmental, social and governance performance, including environmental management systems and pollutant emissions, energy and carbon intensity, hazardous substances and chemicals control, labor and human rights protection, occupational health and safety, anti-corruption and business ethics, and information security and data protection. Where commercial conditions are equal, suppliers with better ESG results are preferred.

3 選擇程序
3 Selection Procedure

3.1 采購工程師對潛在的供應(yīng)商進行資質(zhì)調(diào)查，要求供應(yīng)商如實填寫《供應(yīng)商資質(zhì)調(diào)查表》，收集相關(guān)的證明文件并進行初步評估，評估滿足要求的供應(yīng)商由采購部在“OA平臺”中的“供應(yīng)商新增/變更申請流程”新增為臨時供應(yīng)商，同時與供應(yīng)商簽訂物料采購合同以及質(zhì)量保證協(xié)議。臨時供應(yīng)商初始限定采購額不超過10萬元，如遇特殊情況需要對臨時供應(yīng)商增加采購額度的，需要走供應(yīng)商新增/變更申請流程，經(jīng)評審?fù)夂蠓娇稍黾印?/span>

The purchasing engineer conducts a qualification investigation of potential suppliers, requiring them to truthfully complete the Supplier Qualification Investigation Form, collects supporting documents and performs a preliminary assessment. Suppliers meeting the requirements are added as temporary suppliers by the Purchasing Department through the Supplier New/Change Application Process on the OA Platform, and a material purchase contract and quality assurance agreement are signed. The initial purchase amount for a temporary supplier is capped at RMB 100,000. Any increase requires the Supplier New/Change Application Process and approval through review.

3.2 要求臨時供應(yīng)商提供樣品及技術(shù)材料，供應(yīng)商應(yīng)采用正常生產(chǎn)工藝條件下的典型產(chǎn)品作為樣品，不允許采用與量產(chǎn)條件不同的特殊原材料、生產(chǎn)工藝制造的樣品。采購工程師提出試驗申請，物料樣品由質(zhì)量部完成檢測，并提供《測試報告》；集成電路類及其他技術(shù)需要驗證的物料樣品同時送技術(shù)部完成檢測，并提交技術(shù)樣品確認報告。樣品驗證未通過的，應(yīng)進行原因分析并整改后二次送樣；二次送樣仍不合格的，取消其供應(yīng)商認證資格。

Temporary suppliers are required to provide samples and technical materials. Samples must be typical products manufactured under normal production conditions; samples made with special raw materials or processes differing from mass production conditions are not permitted. The purchasing engineer submits a test application; the Quality Department tests the material samples and issues a Test Report, and integrated circuit and other technically verifiable samples are also sent to the Technical Department for testing and confirmation. If sample verification fails, the supplier analyzes the cause and resubmits after correction; a second failure results in cancellation of supplier qualification.

3.3 樣品檢測合格后，由采購工程師將《供應(yīng)商能力評估表》發(fā)給供應(yīng)商進行自評。自評完成后由采購部組織質(zhì)量、技術(shù)、生技等相關(guān)部門人員對供應(yīng)商進行審核。生產(chǎn)制造工廠（含代理品牌在國內(nèi)的原廠）進行現(xiàn)場審核。供應(yīng)商審核結(jié)果的判定如下：

After samples pass inspection, the purchasing engineer sends the Supplier Capability Assessment Form to the supplier for self-assessment. The Purchasing Department then organizes personnel from Quality, Technical, Production Technical and other departments to audit the supplier. On-site audits are conducted at manufacturing plants (including the domestic original factories of represented brands). Audit results are determined as follows:

3.4 現(xiàn)場審核結(jié)束后應(yīng)組織評審會議，對存在的問題進行總結(jié)并告知供應(yīng)商應(yīng)采取相應(yīng)的改善措施，供應(yīng)商在規(guī)定時限內(nèi)提供整改報告，若整改不合格，則審核不通過。

After the on-site audit, a review meeting summarizes findings and informs the supplier of required corrective measures. The supplier submits a rectification report within the prescribed time limit; if the rectification is not acceptable, the audit is not passed.

3.5 現(xiàn)場審核通過后，采購部通過OA平臺中的“物料質(zhì)量評審跟蹤流程”申請小批量評審跟蹤試產(chǎn)，各部門在小批量試產(chǎn)過程中對被跟蹤的物料質(zhì)量信息進行詳細的記錄，并在OA流程上及時進行反饋。小批量試產(chǎn)結(jié)束后由質(zhì)量和技術(shù)分管副總根據(jù)試產(chǎn)結(jié)果共同做出最終判定。

After the on-site audit is passed, the Purchasing Department applies for small-batch review and trial production tracking through the Material Quality Review Tracking Process on the OA Platform. Departments record detailed quality information on the tracked materials during trial production and provide timely feedback through the OA process. After the small-batch trial, the vice presidents in charge of quality and technology jointly make the final determination based on the results.

3.6 小批量跟蹤試產(chǎn)合格后，由采購部在“OA平臺”中的“質(zhì)量跟蹤單”申請中批量跟蹤試產(chǎn)，各部門在中批量試產(chǎn)過程中對被跟蹤的物料質(zhì)量信息進行詳細的記錄，并在OA流程上及時進行反饋。中批量試產(chǎn)結(jié)束后由質(zhì)量和技術(shù)分管副總根據(jù)試產(chǎn)結(jié)果共同做出最終判定。

After the small-batch trial passes, the Purchasing Department applies for medium-batch trial production tracking through the Quality Tracking Form on the OA Platform. Departments record detailed quality information during the medium-batch trial and provide timely feedback through the OA process. After the medium-batch trial, the vice presidents in charge of quality and technology jointly make the final determination.

3.7 中批量試產(chǎn)跟蹤合格后，由采購部在“OA平臺”中的“供應(yīng)商新增/變更申請流程”申請將臨時供應(yīng)商轉(zhuǎn)為合格供應(yīng)商，申請時需提交 2.2 條要求的材料、樣品檢測報告、供應(yīng)商能力評估表、小批跟蹤結(jié)果和中批跟蹤結(jié)果，經(jīng)批準后列入《合格供應(yīng)商名單》。

After the medium-batch trial passes, the Purchasing Department applies through the Supplier New/Change Application Process on the OA Platform to convert the temporary supplier into a qualified supplier, submitting the materials required in Section 2.2, the sample test report, the supplier capability assessment form, and the small-batch and medium-batch tracking results. Upon approval, the supplier is entered in the Qualified Supplier List.

3.8 由新產(chǎn)品研發(fā)導(dǎo)入的新物料和新供應(yīng)商，根據(jù)新產(chǎn)品研發(fā)過程中的技術(shù)部試制流程進行驗證。

New materials and new suppliers introduced through new product development are verified according to the Technical Department’s trial production process for new product development.

3.9 客供料和客戶指定的供應(yīng)商，不適用以上流程。新增市場客戶指定類供應(yīng)商時，流程必須經(jīng)銷售員及銷售副總審批同意。如有客戶或其他人員直接或間接違規(guī)推薦指定供應(yīng)商，將反饋公司監(jiān)察部和相關(guān)部門領(lǐng)導(dǎo)。客戶指定供應(yīng)商只允許購買指定客戶的特定物料。

The above process does not apply to customer-supplied materials and customer-designated suppliers. Adding a market customer-designated supplier requires approval by the salesperson and the vice president of sales. Any customer or other person who directly or indirectly recommends a designated supplier in violation of regulations will be reported to the Supervision Department and the relevant department heads. A customer-designated supplier may only supply the specific materials of the designated customer.

3.10 現(xiàn)有的合格供應(yīng)商如果再增加新品類、新品牌物料，則需要進行評估，必要時進行補充審核（如是代理商，新品牌物料已在其余代理商正常供貨，可只審核其代理授權(quán)書符合性），在評估和審核通過后，由采購部在“OA平臺”中“供應(yīng)商新增/變更申請流程”申請增加新品類物料。

If an existing qualified supplier adds new categories or new brand materials, an evaluation is required and, where necessary, a supplementary audit (for agents, if the new brand material is already supplied normally by other agents, only the conformity of the agency authorization letter need be reviewed). After evaluation and audit are passed, the Purchasing Department applies to add the new material category through the Supplier New/Change Application Process on the OA Platform.

3.11 供應(yīng)商準入的 ESG 附加程序（新增）：（1）Ⅰ類供應(yīng)商及高風(fēng)險地區(qū)供應(yīng)商在準入前應(yīng)完成 ESG 問卷自評與合規(guī)聲明，必要時開展現(xiàn)場 ESG 審核或委托第三方審核；（2）新增供應(yīng)商須簽署《供應(yīng)商行為準則》并作出不使用沖突礦產(chǎn)、不使用有害物質(zhì)承諾；（3）涉及境外供應(yīng)商的，應(yīng)開展制裁名單、出口管制及反商業(yè)賄賂盡職調(diào)查；（4）準入評審結(jié)論應(yīng)記錄 ESG 評價意見，不符合項須完成整改后方可轉(zhuǎn)為合格供應(yīng)商。

Additional ESG admission procedures (new): (1) Class Ⅰ suppliers and suppliers in high-risk regions complete an ESG self-assessment questionnaire and compliance declaration before admission, with an on-site ESG audit or third-party audit where necessary; (2) new suppliers sign the Supplier Code of Conduct and undertake not to use conflict minerals or hazardous substances; (3) for overseas suppliers, due diligence covers sanctions lists, export controls and anti-bribery; (4) admission decisions record ESG evaluation conclusions, and non-conformities must be rectified before conversion to qualified supplier status.

4 供應(yīng)商績效評估
4 Supplier Performance Evaluation

4.1 月度對供應(yīng)商按照質(zhì)量、技術(shù)、商務(wù)等方面的績效表現(xiàn)進行評估，具體按照公司《供應(yīng)商績效考核表》執(zhí)行；由1-12月份評估的結(jié)果匯總為供應(yīng)商年度績效評定結(jié)果。

Suppliers are evaluated monthly on quality, technology and commercial performance in accordance with the Company’s Supplier Performance Scorecard. The twelve monthly results are consolidated into the annual supplier performance evaluation result.

4.2 供應(yīng)商績效評價結(jié)果：

Supplier performance evaluation results:

A、考核結(jié)果在90分及以上的供應(yīng)商，優(yōu)先采購；

A. Suppliers scoring 90 points or above are given priority in procurement;

B、考核結(jié)果大于等于80分，低于90分的供應(yīng)商，維持原有采購策略；

B. Suppliers scoring 80 or above but below 90 retain the existing procurement strategy;

C、考核結(jié)果大于等于70分，低于80分的供應(yīng)商，要求其對不足部分進行整改，除要求其對不足部分進行整改外，需要時可組織供應(yīng)商現(xiàn)場驗證并協(xié)助改進；

C. Suppliers scoring 70 or above but below 80 are required to rectify identified deficiencies; where necessary, on-site verification and assistance with improvement are organized.

D、考核結(jié)果低于70分的，限期整改，還需組織供應(yīng)商現(xiàn)場審核，不合格的取消其原合格供應(yīng)商資格。

D. Suppliers scoring below 70 must rectify within a specified period and undergo an on-site audit; those failing are disqualified as qualified suppliers.

4.3 按照以下原則對供應(yīng)商進行年度審核：

Annual audits are conducted according to the following principles:

4.3.1 參照第 6 章風(fēng)險系數(shù)規(guī)則，對供應(yīng)商風(fēng)險系數(shù)18分及以上的（代理商、分銷商且原產(chǎn)地在國外的除外、客戶指定除外）每年進行現(xiàn)場審核；供應(yīng)商風(fēng)險系數(shù)12分的文件審核或供應(yīng)商約談。另外，I類供應(yīng)商每3年至少進行一次現(xiàn)場審核或文件審核；II類供應(yīng)商每5年至少進行一次現(xiàn)場審核或文件審核。

Referring to the risk coefficient rules in Chapter 6, suppliers with a risk coefficient of 18 points or above (excluding agents and distributors whose origin is outside China, and customer-designated suppliers) undergo an on-site audit every year; suppliers with a risk coefficient of 12 undergo a document review or interview. In addition, Class I suppliers undergo an on-site or document audit at least every three years, and Class II suppliers at least every five years.

4.3.2 對在年度績效評估中平均分低于80分的供應(yīng)商，由質(zhì)量部將該供應(yīng)商加入年度審核計劃表。

The Quality Department adds suppliers with an annual average score below 80 to the annual audit plan.

4.3.3 在年度供應(yīng)商績效評估過程中，由技術(shù)、質(zhì)量、采購三方中任何一方提出并經(jīng)過評審三方一致同意需要對該物料供應(yīng)商進行現(xiàn)場審核的，由質(zhì)量部將該供應(yīng)商加入年度審核計劃表。

During the annual supplier performance evaluation, if any of the Technical, Quality or Purchasing functions proposes an on-site audit and all three agree upon review, the Quality Department adds the supplier to the annual audit plan.

4.3.4 針對當(dāng)年發(fā)生兩次及以上物料上線批不合格的，或者市場發(fā)生嚴重質(zhì)量問題的供應(yīng)商，除了針對問題進行分析外，由質(zhì)量部組織實施現(xiàn)場審核。

For suppliers with two or more rejected production batches in the same year or serious quality problems in the market, the Quality Department organizes an on-site audit in addition to analyzing the issues.

4.4 年度審核可以結(jié)合物料質(zhì)量狀況選擇性的對某些模塊進行審核。對供應(yīng)商進行現(xiàn)場審核過程中發(fā)現(xiàn)的不符合項，由質(zhì)量部通過書面的方式反饋給供應(yīng)商，供應(yīng)商應(yīng)該在20個工作日內(nèi)完成審核問題改善報告(CAPA)，措施執(zhí)行后由質(zhì)量部對其改善的有效性進行確認。

Annual audits may selectively review certain modules based on material quality status. Non-conformities found during on-site audits are communicated in writing by the Quality Department, and the supplier completes a corrective and preventive action report (CAPA) within 20 working days. After implementation, the Quality Department verifies the effectiveness of the actions.

4.5 供應(yīng)商連續(xù)一年未供貨，再供貨時應(yīng)重新進行樣品測試和小批量試用，必要時還需進行現(xiàn)場實地考察。

A supplier that has not supplied for one consecutive year must repeat sample testing and small-batch trial use before resuming supply, and an on-site inspection is conducted where necessary.

4.6 供應(yīng)商 ESG 績效評價（新增）：公司每年對Ⅰ類供應(yīng)商及高風(fēng)險供應(yīng)商開展 ESG 績效評價，評價內(nèi)容包括環(huán)境合規(guī)與污染物排放、能源與碳排放強度、有害物質(zhì)與化學(xué)品管理、勞工與人權(quán)保障、職業(yè)健康安全、反腐敗與商業(yè)道德、信息安全。ESG 評價結(jié)果納入供應(yīng)商綜合評級：ESG 評價為高風(fēng)險的供應(yīng)商，應(yīng)制定并實施整改計劃，整改期間限制新增業(yè)務(wù)；連續(xù)兩年未改善的，按第 5 章啟動退出程序。

Supplier ESG performance evaluation (new): the Company evaluates the ESG performance of Class Ⅰ and high-risk suppliers annually, covering environmental compliance and pollutant emissions, energy and carbon intensity, hazardous substances and chemicals management, labor and human rights protection, occupational health and safety, anti-corruption and business ethics, and information security. ESG results are incorporated into the overall supplier rating. Suppliers rated high-risk on ESG must prepare and implement a remediation plan, during which new business is restricted; suppliers failing to improve for two consecutive years enter the withdrawal procedure under Chapter 5.

4.7 績效結(jié)果應(yīng)用（新增）：績效評價結(jié)果作為采購份額分配、新項目導(dǎo)入、年度審核安排及合格供應(yīng)商名單調(diào)整的依據(jù)。對評價為 A 級的供應(yīng)商，可優(yōu)先納入戰(zhàn)略供應(yīng)商并簽訂長期協(xié)議；對連續(xù)兩年評價為 D 級的，應(yīng)啟動退出評估。

Application of performance results (new): evaluation results inform procurement share allocation, new project introduction, annual audit scheduling and adjustment of the Qualified Supplier List. Grade A suppliers may be prioritized as strategic suppliers with long-term agreements; suppliers rated D for two consecutive years enter an exit assessment.

5 供應(yīng)商退出
5 Supplier Withdrawal

5.1 連續(xù)二年未供貨的合格供應(yīng)商，由采購部發(fā)起“供應(yīng)商新增/變更申請流程”將供應(yīng)商類別轉(zhuǎn)為淘汰供應(yīng)商，當(dāng)其要求重新供貨時，必須重新按照供應(yīng)商導(dǎo)入流程進行。

For a qualified supplier that has not supplied for two consecutive years, the Purchasing Department initiates the Supplier New/Change Application Process to change its category to eliminated supplier. If it requests to resume supply, it must complete the full supplier introduction process again.

5.2 對于供應(yīng)商在交貨中出現(xiàn)質(zhì)量、環(huán)境、安全、道德誠信等嚴重問題時，由質(zhì)量部提出經(jīng)相關(guān)部門評審?fù)夂螅刹少彶堪l(fā)起“供應(yīng)商新增/變更申請流程”將供應(yīng)商類別轉(zhuǎn)為淘汰供應(yīng)商。淘汰供應(yīng)商五年內(nèi)不允許再次進入供應(yīng)商名單。

Where a supplier has serious quality, environmental, safety or ethical integrity issues in delivery, the Quality Department proposes and relevant departments review and agree, after which the Purchasing Department initiates the Supplier New/Change Application Process to change the category to eliminated supplier. An eliminated supplier may not re-enter the supplier list within five years.

5.3 其他退出情形（新增）：出現(xiàn)下列情形之一的，應(yīng)啟動供應(yīng)商退出程序：（1）被吊銷營業(yè)執(zhí)照、喪失必需資質(zhì)或強制性產(chǎn)品認證；（2）被列入嚴重違法失信名單、失信被執(zhí)行人名單或適用制裁名單；（3）發(fā)生重大安全、環(huán)保事故或重大違法違規(guī)行為，造成嚴重影響；（4）存在商業(yè)賄賂、串標、圍標或提供虛假材料；（5）嚴重違反《供應(yīng)商行為準則》，包括使用童工、強迫勞動、重大職業(yè)健康安全違規(guī)或嚴重環(huán)境污染；（6）拒不配合審核、整改或提供虛假整改證據(jù)；（7）連續(xù)兩年 ESG 績效評價為高風(fēng)險且未有效改善；（8）因戰(zhàn)略調(diào)整、業(yè)務(wù)終止等原因不再需要該品類供應(yīng)。

Other withdrawal circumstances (new): the supplier withdrawal procedure is triggered where: (1) the business license is revoked or required qualifications or compulsory product certification are lost; (2) the supplier is listed as seriously illegal or dishonest, as a dishonest judgment debtor, or on an applicable sanctions list; (3) a major safety or environmental incident or major legal violation occurs with serious impact; (4) commercial bribery, bid rigging, collusive bidding or submission of false materials occurs; (5) the Supplier Code of Conduct is seriously violated, including child labor, forced labor, major occupational health and safety violations or serious environmental pollution; (6) the supplier refuses to cooperate with audits or rectification or provides false remediation evidence; (7) the supplier is rated high-risk on ESG for two consecutive years without effective improvement; (8) the category is no longer required due to strategic adjustment or business termination.

5.4 退出程序（新增）：（1）提出：由采購部或質(zhì)量部提出退出建議，說明理由并附證據(jù)材料；（2）評審：由采購部組織質(zhì)量、技術(shù)、生技、法務(wù)、內(nèi)審等部門評審，Ⅰ類及戰(zhàn)略供應(yīng)商的退出須報分管副總審批；（3）告知：以書面形式告知供應(yīng)商退出決定及理由，并給予10個工作日的陳述申辯期；（4）執(zhí)行：變更供應(yīng)商類別、關(guān)閉未結(jié)訂單、處理庫存與在制品、收回模具與圖紙、辦理系統(tǒng)權(quán)限注銷；（5）檔案：退出記錄、評審意見及溝通文件歸檔保存不少于10年。

Withdrawal procedure (new): (1) Initiation: the Purchasing or Quality Department proposes withdrawal with reasons and supporting evidence; (2) Review: the Purchasing Department organizes review by Quality, Technical, Production Technical, Legal and Internal Audit, with Class Ⅰ and strategic supplier withdrawals approved by the responsible vice president; (3) Notification: the decision and reasons are communicated in writing, with 10 working days for the supplier to respond; (4) Execution: change the supplier category, close open orders, handle inventory and work in progress, recover tooling and drawings, and deactivate system access; (5) Records: withdrawal records, review opinions and communications are retained for at least 10 years.

5.5 退出后的過渡管理（新增）：對涉及關(guān)鍵物料或單一來源的供應(yīng)商退出，采購部應(yīng)提前識別替代供應(yīng)商并完成驗證，確保供應(yīng)連續(xù)性；退出前應(yīng)完成在制品、售后備件及質(zhì)量責(zé)任的交接，已售產(chǎn)品的質(zhì)量責(zé)任與召回義務(wù)不因退出而免除。

Transition management after withdrawal (new): where withdrawal involves key materials or a single source, the Purchasing Department identifies and verifies alternative suppliers in advance to ensure supply continuity. Handover of work in progress, after-sales spare parts and quality responsibilities is completed before exit; quality liability and recall obligations for delivered products survive withdrawal.

6 供應(yīng)商風(fēng)險系數(shù)對應(yīng)的質(zhì)量管控方式
6 Quality Control Method Corresponding to Supplier Risk Coefficient

供應(yīng)商風(fēng)險系數(shù) = 物料重要程度 × 質(zhì)量績效等級 × 采購額等級。各風(fēng)險分值對應(yīng)的質(zhì)量管控方式如下：

Supplier risk coefficient = material importance × quality performance level × purchase amount level. The quality control method for each risk score is as follows:

風(fēng)險分值的取值規(guī)則：物料重要程度（Ⅰ類物料3分、Ⅱ類物料2分、Ⅲ類物料1分）、質(zhì)量績效等級（平均質(zhì)量績效低于44分為3分、44分（含）至45分為2分、45分及以上為1分）、采購額等級（年采購額1000萬元及以上為3分、100萬元（含）至1000萬元為2分、100萬元以下為1分）。三項相乘即為供應(yīng)商風(fēng)險系數(shù)。

Scoring rules: material importance (Class Ⅰ = 3, Class Ⅱ = 2, Class Ⅲ = 1), quality performance level (average score below 44 = 3, 44 to below 45 = 2, 45 and above = 1) and purchase amount level (annual purchase of RMB 10 million and above = 3, RMB 1–10 million = 2, below RMB 1 million = 1). The supplier risk coefficient is the product of the three factors.

風(fēng)險系數(shù)對應(yīng)的管控要求（新增）：（1）風(fēng)險系數(shù)27分及18分的供應(yīng)商，除年度現(xiàn)場審核外，應(yīng)制定年度質(zhì)量提升計劃并每季度跟蹤；（2）風(fēng)險系數(shù)12分的供應(yīng)商，應(yīng)在文件審核或約談后 30 個工作日內(nèi)完成不符合項整改；（3）風(fēng)險系數(shù)9分及以下的供應(yīng)商，實行異常觸發(fā)式管理，發(fā)生質(zhì)量異常時啟動專項改善并評估是否升級管控。

Control requirements by risk coefficient (new): (1) suppliers at 27 and 18 points prepare an annual quality improvement plan and are tracked quarterly in addition to the annual on-site audit; (2) suppliers at 12 points complete rectification of non-conformities within 30 working days after the document review or interview; (3) suppliers at 9 points or below are managed on an exception-triggered basis, with dedicated improvement initiated and escalation assessed when quality abnormalities occur.

7 供應(yīng)商管理流程
7 Supplier Management Process

供應(yīng)商管理實行“搜索—資質(zhì)評估—樣品驗證—供應(yīng)商審核—小批量試產(chǎn)—中批量試產(chǎn)—列入合格供應(yīng)商名單—定期績效監(jiān)控—退出”的全生命周期閉環(huán)管理，各環(huán)節(jié)如下：

Supplier management follows a full life-cycle closed loop: search — qualification assessment — sample verification — supplier audit — small-batch trial — medium-batch trial — entry into the Qualified Supplier List — regular performance monitoring — withdrawal. The stages are as follows:

流程中的關(guān)鍵控制點（新增）：（1）臨時供應(yīng)商采購額上限10萬元，超限須履行評審；（2）樣品驗證、現(xiàn)場審核、小批量試產(chǎn)、中批量試產(chǎn)四個環(huán)節(jié)任一未通過均不得轉(zhuǎn)入下一環(huán)節(jié)；（3）合格供應(yīng)商名單（AVL）為唯一有效采購依據(jù)，未列入名單的供應(yīng)商不得下單；（4）供應(yīng)商變更須通過 SPCN 流程審批后方可執(zhí)行；（5）各環(huán)節(jié)記錄納入供應(yīng)商檔案，保存期限不少于10年。

Key control points in the process (new): (1) the purchase amount for temporary suppliers is capped at RMB 100,000, and any excess requires review; (2) failure at any of the four stages — sample verification, on-site audit, small-batch trial and medium-batch trial — prevents progression; (3) the Qualified Supplier List (AVL) is the sole valid basis for procurement, and no order may be placed with a supplier not listed; (4) supplier changes may only be implemented after SPCN approval; (5) records of each stage are kept in the supplier file for at least 10 years.

8 附則
8 Supplementary Provisions

本規(guī)定由采購部負責(zé)解釋和修訂，自發(fā)布之日起施行。公司既有制度與本規(guī)定不一致的，以本規(guī)定為準；本規(guī)定未盡事項，按公司相關(guān)管理制度執(zhí)行。

This Regulation is interpreted and revised by the Purchasing Department and takes effect on the date of issuance. Where existing Company policies conflict with this Regulation, this Regulation prevails; matters not covered are governed by other relevant Company policies.