Article 1 - Purpose:

For purpose of safeguarding the rights and interests of the employees, promoting compliance, and implementing honest business operations, Global Unichip Corporation ("GUC") has adopted the Global Unichip Corporation Complaint and Report Rules ("Rules").

 

Article 2 - Complaint:

An employee of GUC and any of its subsidiaries may file a complaint in any of the following circumstances:

  1. Where he/she received inappropriate or unfair treatment at work, or was bullied by a colleague or manager.
  2. Where he/she experienced sexual harassment at work.

The GUC Rules for Establishing Measures of Prevention, Correction, Complaint and Punishment of Sexual Harassment at Workplace shall have the priority of application for complaints filed under subparagraph (2) of the preceding paragraph.

 

Article 3 - Report:

An employee of GUC and any of its subsidiaries, or a third party may file a report if he/she discovered any of the following circumstances:

  1. Where another employee, manager or director gains unlawful interests for him/herself or for a third party by taking opportunity of his/her own job position.
  2. Where another employee, manager or director violates the Honest Business Operation Procedures and Code of Business Conduct, laws and regulations, or other matters related to honest business operations during their performance of duties.
  3. Where a third-party vendor violates the GUC Letter of Undertaking for Third-Party Vendor's Compliance with Code of Ethics (Business Conduct), laws and regulations, or other matters related to honest business operations in the course of its performance of its contract with the Company.
  4. Where another employee, manager or director violates the Company's internal management rules.

 

Article 4 - Complaint and Report Method:

Complaints and reports must be made under your real name.

Complaints and reports must be made in writing or via e-mail, and must include the following information:

  1. The name, phone number, e-mail or other contact method of the complainant or informant.
  2. The name, department, and job title of the complainant or informant.
  3. The main issue of the fact in the complaint or report, indicating principally the persons, time, location, events and objects involved.
  4. Concrete evidence supporting the facts in the complaint or report (including physical evidence and witnesses).

Written complaints or reports shall be sent to GUC Ombudsman Mailbox at No. 10 Lixing 6th Road, Hsinchu Science Park, Hsinchu City, Taiwan. Complaints or reports via e-mail can be sent to the Ombudsman e-mail address (ombudsman@guc-asic.com), or the independent director's e-mail address listed on the company's website.

Any employee of the Company shall file any complaint or report in accordance with the procedures under this Rules. Except in special circumstances, an employee may not disclose to any external third parties (such as the news media or affiliates) the content of any complaint or report.

 

Article 5 - Handling of Complaints and Reports:

The Company's Ombudsman management shall have one chairperson, to be served by one of the managerial persons at the level of deputy general manager or higher, for a term of one year. When the Company's Ombudsman management or an independent director receives any complaint (or report), he/she shall immediately submit explanations to the general manager and carry out case assignment, and may, after obtaining the general manager's approval, separately appoint a representative from other departments or an external attorney to assist in the investigation.

If the complaint or report case involves any high-ranking manager, the case shall be referred to the audit committee for investigation, and submitted to the board of directors for a resolution. The handling unit may interrogate the complainant, the informant, the respondent, witnesses and related persons, and may conduct necessary investigations into the evidence. Upon completion of the investigation, the handling unit shall prepare an investigation report, specifying the facts of the complaint or report, and the investigation result, and the consensus decision as to whether the complaint or report can be established and the proposed disposition, for submission to the Operations Committee (OC) for review. The handling unit shall complete the investigation within 60 days after receiving the assignment, and the time limit may be extended with the general manager's approval.

In reviewing a complaint or a report case, the Operations Committee (OC) may request the external attorney participating in the investigation to make a report at the committee. Upon confirmation and establishment of a complaint or report, the Company's Ombudsman management shall repot it to the chairperson of the board immediately if the circumstance is severe.

 

Article 6 - Notification:

Upon conclusion of the complaint or report case, the Company may, depending on the circumstance of the case, notify the complainant or the informant of all or part of the handling result.

 

Article 7 - Data Retention:

The data related to a complaint or report case shall be retained for a period of five years, provided that in the event of any litigation arising from any such complaint or report case, the retention period shall be extended to five years after the close of such litigation.

 

Article 8 - Complaint or Report Rejection:

Complaints and reports may be rejected in any of the following circumstances:

  1. Where the complaint or report is made in an anonymous manner, provided that this rule shall not apply if concrete facts and evidences are presented and if the circumstance involved in such violation is severe, or is likely to damage the Company's reputation.
  2. Where the written or e-mail submission of a complaint or report has no description or incomplete description of the fact, or has no concrete evidence attached, and such situation has not been corrected within the time limit after the notification issued by the Ombudsman management and the handling unit to make corrections.
  3. Where any such complaint or report is filed again after the Ombudsman management and the handling unit have completed the handling of such complaint or report, provided that this rule shall not apply if any new fact or new evidence is discovered.

 

Article 9 - Protection of the Complainant and Informant:

The Company shall maintain the confidentiality of the personal information of complainants and informants, and shall take appropriate protective measures. The handling unit shall interrogate the complainants, informants, respondents, related persons or witnesses without disclosing their identity to outside parties.

The Ombudsman management and the handling unit shall have the obligation to keep confidential the information related to the complainant, informant, the facts of the complaint or report, and other information that they learn of in the course of handling the complaint or report. In the event of any violation of this obligation, the Company reserves the right to impose disciplinary actions on the violators.

The Company may not make any actions unfavorable to the interests of the complainant or informant due to the complaint or report case. If, however, the complainant or the informant misrepresents the facts, alters or tempers with the evidences, or colludes with the witnesses to make false statements, the Company may penalize them in accordance with the Company's disciplinary rules, and may also report them to the law enforcement.

 

Article 10 - Recusal:

If any member of the Ombudsman management or the handling unit becomes the target of a complaint or report, or has direct interests in the facts of a complaint or report case, such person shall recluse him/herself from the investigation. If the complainant, informant, or respondent believes that any circumstance related to any member of the Ombudsman management or the handling unit may affect their impartial performance of duties, they may request that such member recluse him/herself. In the above-mentioned circumstance, such member of the Ombudsman management or the handling unit shall recluse him/herself.

 

Article 11 - Implementation and Amendment:

These Rules and the amendment thereof shall be implemented following the adoption by the board of directors, provided that the complaint and report cases accepted prior to any such implementation shall be handled in accordance with the rules prior to the amendment. Any matters not covered by these Rules shall be governed by other internal regulations of the Company, or relevant laws and regulations.

Complaints (Reporting) Process