Linyang Energy丨Regulations on Supplier Management

江苏林洋能源股份有限公司

Jiangsu Linyang Energy Co., Ltd.

供应商管理规定

Regulations on Supplier Management

文件编号：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 职责
1 Responsibility

1.1 采购部
1.1 Purchasing Department

a. 开发潜在供应商，主导新供应商开发及审核过程，收集先期资料。

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

b. 供应商资料日常维护，根据供应商交货能力，价格，售后等指标完成供应商评分及日常管理考核，组织质量、技术等部门年度供应商审核。

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. 配合质量部门追踪处理供应商产品质量问题和投诉，配合辅导供应商品质提升，8D报告的分发与回收。

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. 督促供应商持续改善，降低供应商成本。

Drive continuous improvement at suppliers and reduce supplier costs.

1.2 质量部
1.2 Quality Department

a. 参与新供应商资质评定、现场审核、样品验证，负责对供应商供货质量状况进行评价；并根据此评价提出暂停或解除其合格供应商资格的建议。

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. 根据供应商交货质量状况，完成供应商质量评分以及实施供应商年度审核。

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

c. 主导供应商品质异常问题改善，追踪供应商改善过程，确认改善效果。

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

1.3 技术部
1.3 Technical Department

a. 参与对新供应商进行资质评定、现场审核和样品验证，负责在供应商绩效评价过程中对供应商绩效考核表中的技术部分进行评价。

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. 参与年度供应商审核，对供应商能力评估表中的技术部分进行评估。

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. 参与对新供应商资质进行评定、现场审核和辅料样品验证。

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

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

a. 提出市场及客户对供应商的特定要求，参与客户指定供应商的审批与合规性审查。

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

b. 参与供应商服务响应、交付配合等商务绩效的评价。

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

1.6 法务与监察部（新增）
1.6 Legal and Supervision Functions (New)

a. 审核供应商合同、廉洁条款及合规承诺，参与供应商环境、社会与治理风险的合规审查。

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

b. 受理供应商举报与申诉，对违规推荐、指定供应商等行为进行调查。

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

1.7 内部审计部（新增）
1.7 Internal Audit Department (New)

a. 对供应商准入、评价、退出流程的执行情况进行独立审计，每年至少覆盖一次高风险供应商。

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

b. 对采购价格、采购集中度及关联交易进行专项审计并跟踪整改。

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

1.8 ESG管理归口部门（新增）
1.8 ESG Management Function (New)

a. 统筹供应商环境、劳工与人权、商业道德等可持续供应链要求的制定、培训与落实。

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

b. 组织供应商 ESG 风险评估与绿色供应链数据统计。

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

1.9 职责分工总表
1.9 Responsibility Matrix

2 供应商选择
2 Supplier Selection

2.1 供应商搜索方法
2.1 Supplier Search Methods

采购工程师将基于物料和业务要求去判断是否该供应商的产品/服务符合需求。供应商搜索渠道包括：

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

（1）电话黄页；（2）第三方推荐；（3）展览会、交易会或展柜调查；（4）客户推荐；（5）通过互联网搜索。

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

公司鼓励优先在通过 ISO 9001、ISO 14001、ISO 45001 认证及已建立 ESG 管理体系的供应商中搜索，并优先考虑具备绿色产品认证、再生材料使用及碳足迹核算能力的供应商。

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 供应商必备的资质
2.2 Required Qualifications of Suppliers

按供应商类别与主体类型，必备资质如下：

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

针对不同环保类别的供应商需要提交的资质材料如下：

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

自本规定实施起，新增供应商还应提交：ISO 14001 或 ISO 45001 认证证书（Ⅰ类供应商必备，Ⅱ、Ⅲ类鼓励）、不使用有害物质保证书、不使用冲突矿产承诺书、供应商行为准则签署页，以及近一年内的环保、安全与劳动用工合规证明。上述材料纳入供应商档案管理并随年度审核更新。

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 供应商选择准则
2.3 Supplier Selection Criteria

2.3.1 质量管控能力和产品可靠性符合公司要求，具有权威第三方质量体系认证证书、产品具有权威第三方机构测试报告的供应商优先；

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 技术研发和制造工艺符合公司要求，具有权威第三方认证的专利、软件著作权等知识产权，被评定为高新技术企业、拥有企业技术中心的供应商优先；

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 价格及付款条件符合公司要求，具有权威第三方评价在行业领先的供应商优先；

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 交货周期符合公司要求，提供按需备料服务的供应商优先；

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

2.3.5 供应商必须保证劳工权益、提供安全和健康的工作环境、预防环境污染、实施绿色生产、节能减排计划、遵守商业道德规范。在环境保护、职业健康和安全及社会责任方面具备权威第三方机构认证的供应商优先。

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 供应商准入禁止情形（新增）：存在下列情形之一的，不得准入为合格供应商：（1）被列入国家企业信用信息公示系统严重违法失信名单或被列为失信被执行人；（2）近三年发生重大安全、环保事故或受到生态环境、应急管理、人力资源社会保障等部门重大行政处罚；（3）存在使用童工、强迫劳动、严重违反职业健康安全要求的情形；（4）存在商业贿赂、串标或其他严重失信行为；（5）无法提供合法有效的营业执照、生产许可或强制性产品认证；（6）被联合国、中国政府或其他适用司法辖区列入制裁名单。

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 供应商 ESG 评价维度（新增）：供应商选择应同步评价其环境、社会与治理表现，包括环境管理体系与污染物排放、能源与碳排放强度、有害物质与化学品管控、劳工与人权保障、职业健康安全、反腐败与商业道德、信息安全与数据保护。同等商务条件下，ESG 评价结果较优的供应商优先。

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 选择程序
3 Selection Procedure

3.1 采购工程师对潜在的供应商进行资质调查，要求供应商如实填写《供应商资质调查表》，收集相关的证明文件并进行初步评估，评估满足要求的供应商由采购部在“OA平台”中的“供应商新增/变更申请流程”新增为临时供应商，同时与供应商签订物料采购合同以及质量保证协议。临时供应商初始限定采购额不超过10万元，如遇特殊情况需要对临时供应商增加采购额度的，需要走供应商新增/变更申请流程，经评审同意后方可增加。

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 要求临时供应商提供样品及技术材料，供应商应采用正常生产工艺条件下的典型产品作为样品，不允许采用与量产条件不同的特殊原材料、生产工艺制造的样品。采购工程师提出试验申请，物料样品由质量部完成检测，并提供《测试报告》；集成电路类及其他技术需要验证的物料样品同时送技术部完成检测，并提交技术样品确认报告。样品验证未通过的，应进行原因分析并整改后二次送样；二次送样仍不合格的，取消其供应商认证资格。

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 样品检测合格后，由采购工程师将《供应商能力评估表》发给供应商进行自评。自评完成后由采购部组织质量、技术、生技等相关部门人员对供应商进行审核。生产制造工厂（含代理品牌在国内的原厂）进行现场审核。供应商审核结果的判定如下：

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 现场审核结束后应组织评审会议，对存在的问题进行总结并告知供应商应采取相应的改善措施，供应商在规定时限内提供整改报告，若整改不合格，则审核不通过。

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 现场审核通过后，采购部通过OA平台中的“物料质量评审跟踪流程”申请小批量评审跟踪试产，各部门在小批量试产过程中对被跟踪的物料质量信息进行详细的记录，并在OA流程上及时进行反馈。小批量试产结束后由质量和技术分管副总根据试产结果共同做出最终判定。

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 小批量跟踪试产合格后，由采购部在“OA平台”中的“质量跟踪单”申请中批量跟踪试产，各部门在中批量试产过程中对被跟踪的物料质量信息进行详细的记录，并在OA流程上及时进行反馈。中批量试产结束后由质量和技术分管副总根据试产结果共同做出最终判定。

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 中批量试产跟踪合格后，由采购部在“OA平台”中的“供应商新增/变更申请流程”申请将临时供应商转为合格供应商，申请时需提交 2.2 条要求的材料、样品检测报告、供应商能力评估表、小批跟踪结果和中批跟踪结果，经批准后列入《合格供应商名单》。

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 由新产品研发导入的新物料和新供应商，根据新产品研发过程中的技术部试制流程进行验证。

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 客供料和客户指定的供应商，不适用以上流程。新增市场客户指定类供应商时，流程必须经销售员及销售副总审批同意。如有客户或其他人员直接或间接违规推荐指定供应商，将反馈公司监察部和相关部门领导。客户指定供应商只允许购买指定客户的特定物料。

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 现有的合格供应商如果再增加新品类、新品牌物料，则需要进行评估，必要时进行补充审核（如是代理商，新品牌物料已在其余代理商正常供货，可只审核其代理授权书符合性），在评估和审核通过后，由采购部在“OA平台”中“供应商新增/变更申请流程”申请增加新品类物料。

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 供应商准入的 ESG 附加程序（新增）：（1）Ⅰ类供应商及高风险地区供应商在准入前应完成 ESG 问卷自评与合规声明，必要时开展现场 ESG 审核或委托第三方审核；（2）新增供应商须签署《供应商行为准则》并作出不使用冲突矿产、不使用有害物质承诺；（3）涉及境外供应商的，应开展制裁名单、出口管制及反商业贿赂尽职调查；（4）准入评审结论应记录 ESG 评价意见，不符合项须完成整改后方可转为合格供应商。

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 供应商绩效评估
4 Supplier Performance Evaluation

4.1 月度对供应商按照质量、技术、商务等方面的绩效表现进行评估，具体按照公司《供应商绩效考核表》执行；由1-12月份评估的结果汇总为供应商年度绩效评定结果。

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 供应商绩效评价结果：

Supplier performance evaluation results:

A、考核结果在90分及以上的供应商，优先采购；

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

B、考核结果大于等于80分，低于90分的供应商，维持原有采购策略；

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

C、考核结果大于等于70分，低于80分的供应商，要求其对不足部分进行整改，除要求其对不足部分进行整改外，需要时可组织供应商现场验证并协助改进；

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、考核结果低于70分的，限期整改，还需组织供应商现场审核，不合格的取消其原合格供应商资格。

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 按照以下原则对供应商进行年度审核：

Annual audits are conducted according to the following principles:

4.3.1 参照第 6 章风险系数规则，对供应商风险系数18分及以上的（代理商、分销商且原产地在国外的除外、客户指定除外）每年进行现场审核；供应商风险系数12分的文件审核或供应商约谈。另外，I类供应商每3年至少进行一次现场审核或文件审核；II类供应商每5年至少进行一次现场审核或文件审核。

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 对在年度绩效评估中平均分低于80分的供应商，由质量部将该供应商加入年度审核计划表。

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

4.3.3 在年度供应商绩效评估过程中，由技术、质量、采购三方中任何一方提出并经过评审三方一致同意需要对该物料供应商进行现场审核的，由质量部将该供应商加入年度审核计划表。

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 针对当年发生两次及以上物料上线批不合格的，或者市场发生严重质量问题的供应商，除了针对问题进行分析外，由质量部组织实施现场审核。

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 年度审核可以结合物料质量状况选择性的对某些模块进行审核。对供应商进行现场审核过程中发现的不符合项，由质量部通过书面的方式反馈给供应商，供应商应该在20个工作日内完成审核问题改善报告(CAPA)，措施执行后由质量部对其改善的有效性进行确认。

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 供应商连续一年未供货，再供货时应重新进行样品测试和小批量试用，必要时还需进行现场实地考察。

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 供应商 ESG 绩效评价（新增）：公司每年对Ⅰ类供应商及高风险供应商开展 ESG 绩效评价，评价内容包括环境合规与污染物排放、能源与碳排放强度、有害物质与化学品管理、劳工与人权保障、职业健康安全、反腐败与商业道德、信息安全。ESG 评价结果纳入供应商综合评级：ESG 评价为高风险的供应商，应制定并实施整改计划，整改期间限制新增业务；连续两年未改善的，按第 5 章启动退出程序。

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 绩效结果应用（新增）：绩效评价结果作为采购份额分配、新项目导入、年度审核安排及合格供应商名单调整的依据。对评价为 A 级的供应商，可优先纳入战略供应商并签订长期协议；对连续两年评价为 D 级的，应启动退出评估。

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 供应商退出
5 Supplier Withdrawal

5.1 连续二年未供货的合格供应商，由采购部发起“供应商新增/变更申请流程”将供应商类别转为淘汰供应商，当其要求重新供货时，必须重新按照供应商导入流程进行。

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 对于供应商在交货中出现质量、环境、安全、道德诚信等严重问题时，由质量部提出经相关部门评审同意后，由采购部发起“供应商新增/变更申请流程”将供应商类别转为淘汰供应商。淘汰供应商五年内不允许再次进入供应商名单。

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）：出现下列情形之一的，应启动供应商退出程序：（1）被吊销营业执照、丧失必需资质或强制性产品认证；（2）被列入严重违法失信名单、失信被执行人名单或适用制裁名单；（3）发生重大安全、环保事故或重大违法违规行为，造成严重影响；（4）存在商业贿赂、串标、围标或提供虚假材料；（5）严重违反《供应商行为准则》，包括使用童工、强迫劳动、重大职业健康安全违规或严重环境污染；（6）拒不配合审核、整改或提供虚假整改证据；（7）连续两年 ESG 绩效评价为高风险且未有效改善；（8）因战略调整、业务终止等原因不再需要该品类供应。

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：由采购部或质量部提出退出建议，说明理由并附证据材料；（2）评审：由采购部组织质量、技术、生技、法务、内审等部门评审，Ⅰ类及战略供应商的退出须报分管副总审批；（3）告知：以书面形式告知供应商退出决定及理由，并给予10个工作日的陈述申辩期；（4）执行：变更供应商类别、关闭未结订单、处理库存与在制品、收回模具与图纸、办理系统权限注销；（5）档案：退出记录、评审意见及沟通文件归档保存不少于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 退出后的过渡管理（新增）：对涉及关键物料或单一来源的供应商退出，采购部应提前识别替代供应商并完成验证，确保供应连续性；退出前应完成在制品、售后备件及质量责任的交接，已售产品的质量责任与召回义务不因退出而免除。

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 供应商风险系数对应的质量管控方式
6 Quality Control Method Corresponding to Supplier Risk Coefficient

供应商风险系数 = 物料重要程度 × 质量绩效等级 × 采购额等级。各风险分值对应的质量管控方式如下：

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

风险分值的取值规则：物料重要程度（Ⅰ类物料3分、Ⅱ类物料2分、Ⅲ类物料1分）、质量绩效等级（平均质量绩效低于44分为3分、44分（含）至45分为2分、45分及以上为1分）、采购额等级（年采购额1000万元及以上为3分、100万元（含）至1000万元为2分、100万元以下为1分）。三项相乘即为供应商风险系数。

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.

风险系数对应的管控要求（新增）：（1）风险系数27分及18分的供应商，除年度现场审核外，应制定年度质量提升计划并每季度跟踪；（2）风险系数12分的供应商，应在文件审核或约谈后 30 个工作日内完成不符合项整改；（3）风险系数9分及以下的供应商，实行异常触发式管理，发生质量异常时启动专项改善并评估是否升级管控。

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 供应商管理流程
7 Supplier Management Process

供应商管理实行“搜索—资质评估—样品验证—供应商审核—小批量试产—中批量试产—列入合格供应商名单—定期绩效监控—退出”的全生命周期闭环管理，各环节如下：

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:

流程中的关键控制点（新增）：（1）临时供应商采购额上限10万元，超限须履行评审；（2）样品验证、现场审核、小批量试产、中批量试产四个环节任一未通过均不得转入下一环节；（3）合格供应商名单（AVL）为唯一有效采购依据，未列入名单的供应商不得下单；（4）供应商变更须通过 SPCN 流程审批后方可执行；（5）各环节记录纳入供应商档案，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 附则
8 Supplementary Provisions

本规定由采购部负责解释和修订，自发布之日起施行。公司既有制度与本规定不一致的，以本规定为准；本规定未尽事项，按公司相关管理制度执行。

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.