PDF《中国航天万源国际（集团）有限公司》

3 /

5 MAKING A REPORT 7.1 You can make a report in writing in the standard report form attached to this policy as Annex I. In the case of employees, we would normally expect you to raise your concerns internally to your line manager (or his or her superior) within the department. 7.2 If you feel uncomfortable doing this, for example, your line manager has declined to handle your case or it is the line manager who is the subject of the report, then you should contact the designated senior officer, the Head of Internal Audit. 7.3 If the report is extremely serious or in any way involves the Head of Internal Audit, you should report it directly to the Chairman of the Audit Committee. 7.4 In the report, you should provide full details and, where possible, supporting evidence. CONFIDENTIALITY 8.1 We shall make every effort to keep your identity confidential. In order not to jeopardise the investigation, you should also keep the fact that you have filed a report, the nature of your concerns and the identity of those involved confidential. 8.2 There may be circumstances in which, because of the nature of the investigation, it will be necessary to disclose your identity. If such circumstances exist, we will endeavour to inform you that your identity is likely to be disclosed. If it is necessary for you to participate in an investigation, the fact that you made the original disclosure will, so far as is reasonably practicable, be kept confidential. However, it is also possible that your role as the whistleblower could still become apparent to third parties during investigation. 8.3 Equally, should an investigation lead to a criminal prosecution, it may become necessary for you to provide evidence or be interviewed by the authorities. In these circumstances, we will, once again, endeavour to discuss with you the implications for confidentiality. China Energine International (Holdings) Limited 中国航天万源国际(集团)有限公司 Whistleblowing Policy P.

4 /

5 8.4 You should, however, know that in some circumstances, we may have to refer the matter to the authorities without prior notice or consultation with you. ANONYMOUS REPORT 9.1 We respect that sometimes you may wish to file the report in confidence. However, an anonymous allegation will be much more difficult for us to follow up simply because we shall not be able to obtain further information from you and make a proper assessment. We therefore do not follow up an anonymous report. INVESTIGATION PROCEDURES 10.1 For quick reference, please refer to the flowchart in Annex II. 10.2 We will acknowledge receipt of your report within

7 working days confirming that: ? Your report has been received;

? The matter will be investigated;

? Subject to legal constraint, you will be advised of the outcome in due course. 10.3 The Head of Internal Audit will be appointed to manage the report. 10.4 We shall evaluate every report received to decide if a full investigation is necessary. If an investigation is warranted, an investigator from the internal audit will be appointed to look into the matter. 10.5 Where the report discloses a possible criminal offence, we will refer the matter to the Audit Committee. The Audit Committee will decide if the matter should be referred to the authorities for further action. 10.6 As stated under the section '

Confidentiality'

, in most cases, we will endeavour to discuss with you before referring a matter to the authorities. However, in some situations, we may have to refer the matter to the authorities without prior notice or consultation with you. 10.7 Please note that once the matter is referred to the authorities, we shall not be China Energine International (Holdings) Limited 中国航天万源国际(集团)有限公司 Whistleblowing Policy P.