HR-related Employee Grievance Policy and Handling Mechanism

Concord New Energy Group Limited (“the Group”) provides employees with a fair and efficient grievance handling mechanism. This mechanism applies to Concord New Energy Group Limited and its subsidiaries.

l.Situations for employee grievance

In the following situations, an employee may file a grievance:
1.Harassment;
2.Bullying in the workplace;
3.Unfair treatment in the workplace;
4.Dishonest or unethical practices;
5.Regarding disciplinary measures taken, the employee believes the issue has not been resolved or has not been handled appropriately.
This mechanism aims to ensure that grievances and complaints are dealt with fairly and effectively and that employees have the opportunity to take their concerns to the management for further action when they are unable to resolve their concerns with their immediate supervisor.
Employees are always encouraged to discuss and resolve their concerns with their immediate superior in an open and frank manner. If the concern remains unresolved or his/her immediate superior is the subject of the complaint, the employee may escalate his/her grievance to the HR Department or a higher level of management according to the grievance procedure.

ll.Grievance procedure

Any employee filing a grievance or complaint must identify himself/herself and provide the necessary and relevant information required.
The grievance procedure has two stages: the preliminary grievance procedure and the final grievance procedure. If the employee is not satisfied with the decision of the preliminary grievance procedure, he/she may submit the grievance in writing. If the leaders with specific duties or assistant managers in the HR Department find the grievance to be well-founded, the grievance will proceed to the final grievance procedure.

1.Preliminary grievance procedure
If the employee is not satisfied with the resolution provided by his/her immediate supervisor or his/her immediate supervisor is unable to solve the issue, the employee may submit the grievance directly to the HR Department, starting a preliminary grievance procedure.
If the HR Department determines that the issue warrants investigation, an interview will be conducted with persons of interest, such as the complainant, the respondent, or witnesses testifying for each of them as appropriate.
The interview shall be organized by the HR Department and the employees shall be informed of the result of the preliminary grievance procedure in writing within 14 days after the completion of all interviews.

2.Final grievance procedure
If the employee is not satisfied with the decision of the preliminary grievance procedure, he/she may submit a request for appeal to the leaders with specific duties or assistant managers in the HR Department. The appeal must be made within 14 days of the date that the preliminary grievance procedure result comes out, and the appellant must provide detailed reasons for the appeal. If the leaders with specific duties or assistant managers in the HR Department find that there are reasonable grounds for the appeal, the issue will be further investigated.
If there is any additional information or evidence, the investigation process will be the same as the preliminary grievance procedure. In general, the HR Department will notify the employee concerned in writing of the result within 14 days of the conclusion of the procedure. The result will be considered final.

III.Supporting Protection Measures

1.1.Confidentiality measures
Each employee involved in the investigation must keep the names of those involved, the details of the complaint, as well as the existence of such complaint extremely confidential, subject to legal disclosure obligations and the respondent’s right to know the details of such complaint.In case that the employee feels uncomfortable identifying themselves, see the Whistleblower Policy (Audit) for details about anonymous reporting channels.

2.Protection measures

No person involved in a grievance shall be intentionally harmed or retaliated against during or after the grievance procedure is completed. Employees who file a grievance or complaint in good faith will not be treated unfairly or intimidated.
The Group shall not tolerate any retaliatory or aggravating behavior by anyone against the employee involved, nor shall it subject any employee to any prejudice (such as demotion or unnecessary transfer) for filing the grievance or providing evidence. However, if a grievance filed by a person is found to be arbitrary, malicious or deliberately false, the investigation will be terminated, and the appellant may be subject to appropriate disciplinary measures.