PDF《中鼎工程股份有限公司 CTCI Corporation》

中鼎工程股份有限公司 CTCI Corporation 反托拉斯及公平竞争政策 Antitrust and Fair Competition Policy 立意要旨 Main Purpose 中鼎工程股份有限公司及其子公司 (以下称 集团 )秉持守法正派经营理念,贯彻专 业及诚信,并发挥团及创新,为确保公平交易、公平竞争、防止不正当竞争、垄断、不当联合行为、不当市场分配及联合价格操控等,不论参与工程标案,或对外 之发包、采购案,谨依公平、公开之招标程序,争取业务目标,提升发包、采购效 率与品质,爰制定本政策.

CTCI Corporation and its subsidiaries (referred to as the Group hereinafter) have adhered to the law-abiding and honest business philosophy, the substantiation of professionalism and integrity, and the realization of teamwork and innovation to have the Antitrust and Fair Competition Policy (referred to as the Policy hereinafter) stipulated. Also, for ensuring fair trade, fair competition, prevention of unfair competition, e.g., monopoly, bid rigging, market allocation scheme, price fixing, etc., without respect to the participation in project tenders or external subcontracting and procurements is handled in accordance with a fair and open tender process to achieve business objectives and improve efficiency, and quality of subcontracting, procurement. 规对象Scope of Entity 本政策规集团所有员工於办理集团业务时,均应遵守本政策、政府采购法及公平 交易法等相关法令规定 , 若因适用法律之规而有所差异时 , 以当地适用法律为准. 若发现有违反情事者,须依本政策内控程序处理.并期许及鼓励集团承揽商及供应 商共同遵守本政策. According to the Antitrust and Fair Competition Policy, all employees of the Group shall comply with this Policy, the Government Procurement Act, the Fair Trade Act, and other relevant laws and regulations while handling the Group'

s businesses. Local applicable laws shall govern in this regard, when there exists different from local applicable laws or regulations. Any violation found is to be handled in accordance with the internal control procedures of the Policy. The subcontractor and suppliers of the Group are expected and encouraged to comply with the Policy. 营业活动Business activity 本政策就集团之主要营业活动,规如下: The main business activities of the Group are regulated in accordance with the Policy as follows:

一、参与工程标案 I. Participating in the project tenders 1. 为提升竞争力,於采共同投标方式参与投标案时,共同投标有同业间之共同、异 业间之共同.异业间之共同投标,可以促进竞争,故不予限制;

同业间之共同投 标,有联合行为之虞,与同业之共同投标应符合公平交易法第十四条但书各款之 规定.To enhance competitiveness, when attending a tender by joint-bidding, a joint bidding includes homogeneous industry joint-bidding and heterogeneous industry joint-bidding. A heterogeneous industry joint-bidding helps promote competition;

therefore, it is without any restriction. A homogeneous industry joint-bidding is with the risk of a concerted action;

therefore, a homogeneous industry joint-bidding must be in compliance with the proviso in Article XIV of the Fair Trade Act. 2. 不受他人以强暴、胁迫强制方式,或使得标厂商放弃得标、得标后转包或分包, 而施强暴 、 胁迫 、 药剂或催眠术者 , 违反经营策略不为投标或为违反本意之投标. Refuse to give up submitting a bid or to submit a bid contrary to the intention in violation of the business strategy because of being coerced, forced, or compelled by others with drug dosage or hypnosis, or, being forced to forego the awarded bid, or to have the awarded bid assigned or subcontracted to others afterwards. 3. 不以诈术或其他非法之方法,使其他厂商无法投标或开标发生不正确结果者. Not to prevent the competitors from attending the tender or cause inaccurate tender awarding by practicing swindle or other illegal means. 4. 不影响决标价格或获取不当利益,而以契约、协议或其他方式之合意,使其他厂 商不为投标或不为价格之竞争者.Prevent the competitors from attending the tender or participating in price competition with a consensus of contract, agreement, or other means without affecting the bidding price or acquiring illegal gains.

二、对外之发包、采购案 II. Subcontracting and procurement 1. 基於公平合理为原则,不得对厂商有不合理之差别待遇.Based on the principle of fairness and reasonableness, the competitors should not be treated differently and unreasonably. 2. 「设计、采购、建造及专案曾参与相关专案采购之人员,离职后三年内不得为本 人或代理厂商向集团接洽处理其离职前曾参与专案之采购有关之事项.」 Personnel who have taken part in project procurement, whether for Engineering, Procurement and Construction Operations or project executions, may not contact the Group within three years after resignation for any business affairs related to their former duties on behalf of themselves or the commissioning contractors. 3. 设计、采购、建造及专案参与相关专案承办采购之人员对於与采购有关之事项, 涉及本人、配偶、三亲等以内血亲或姻亲,或同财共居亲属之利益时,应行回避. The personnel who have taken part in project procurement, whether for Engineering, Procurement and Construction Operations or project executions, shall withdraw themselves from a procurement and all related matters thereof if they or their spouses, relatives by blood or by marriage within three degrees, or other relatives who live with and share the property with them have interests involved therein. 4. 为防止厂商藉先行了解底价及其他竞争者之资料 , 而造成不公平之现象 , 对底价 、 厂商名称、家数等,实有保密之必要.办理招标,不得於开标前泄漏底价,领标、 投标厂商之名称与家数及其他足以造成限制竞争或不公平竞争之相关资料 . 底价 於开标后至决标前,仍应保密,决标后除有特殊情形外,应予公开.For preventing any unfair practice arising from the contractor'

s trying to understand the floor price and the information of competitors, it is necessary to keep the floor price, name of the contractors, and number of bidders in confidence. The floor price of a tender, name of the tender document receivers and bidders, number of bidders, and other information that may lead to restricted competition or unfair competition should not be disclosed prior to the bid opening. The floor price must be kept in confidence after the bid opening until the bid awarding. The result of bidding should be made public except for under special circumstances.

三、内控程序 III. Internal control procedures 1. 通知及举报 Notification and reporting 若发现有违反、疑似违反或可能违反本政策或相关法令者,应即时向法务室主管通 报及提供事证,以俾正当处理. If there is a violation, suspected violation, or potential violation of this Policy or related laws and regulations identified, the Head of the Legal Department should be immediately informed with the evidences provided for a legitimate process. 2. 违反及可能违反法律之处理程序 Procedures for violation and potential violation of law a. 如经通报公司有潜在违反、疑似违反或可能违反本政策或相关法令者,法务室主 管应审理该通报并采取必要之防措施,以避免触犯法令.For any notification of a violation, suspected violation, or potential violation of this Policy or related laws and regulations committed by the Company, the Head of the Legal Department should have the notification reviewed with necessary preventive actions taken to avoid violating the law and regulations. b. 如集团有实际触犯反托拉斯及公平竞争相关法令之情事 , 法务室主管应首先向总 管理处最高主管报告 ;

如有需要 , 则应向外部律师寻求专业法律谘询 . If the Group has actually violated antitrust and fair competition laws and regulations, the Head of Legal Department shall first report it to the person in charge of the Executive Management Office;

if necessary, the external legal counsel should be contacted for professional legal advices. c. 集团员工如发现、或有理由相信集团之包商、供应商或经销商触犯或疑触犯反托 拉斯及公平竞争相关法令,应立即向法务室主管汇报.If the employees of the Group have found or have reasons to believe that the contractors, suppliers, or distributors of the Group violated or might have violated the antitrust and fair competition laws and regulations, it must be reported immediately to the Head of Legal Department. d. 如集团之供应商或经销商触犯或疑似触犯反托拉斯相关法令 , 集团应配合相关政 府部门并协助其调查.If the suppliers or distributors of the Group violated or might have violated the antitrust laws and regulations, the Group shall cooperate with the relevant government agency and assist the investigations. e. 本公司如发现违反本政策之相关人员 , 将进行全面性彻查该员所有工作往来纪录, 并立即停止该员与工作上的接触 , 若涉及刑事犯罪 , 公司将不枉不纵 , 依法处理. Upon detecting any violation against the Policy, the perpetrator shall be thoroughly investigated with all of his/her business relations reviewed and job duties immediately suspended. In case any criminal offenses involved, the company shall act according to the law when dealing with the illegal activities justly without any connivance. f. 如遇上述违反状况发生,且查证属实,将於CSR报告书中进行公开揭露. The violations occurred and evidenced as referred to above will be disclosed openly in the CSR report. 3. 教育及训练 Education and training 法务室将负责安排集团之内部反托拉斯法教育课程及训练,针对全体员工进行年度 公平交易训练,同时对专案、业务及采购人员除了不定期进行公平交易训练外,亦 将不定期进行加强训练与案例分析.反托拉斯训练教材将上传至集团内部网站供全 体员工阅读.此外,反托拉斯讲义将附於集团新人训练之文件内. Legal Department will be responsible for arranging the Group'

s internal antitrust law education courses and training programs. Fair trade training programs will be conducted to all staf........