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Public Notice Information Management Regulations

06Monitoring

• Article 37 (Ordinary Monitoring)
  1. ①Head of each business department, head of department in charge of public notice and responsible person of public notice shall inspect through the ordinary monitoring for the process of public notice related works in accordance with the control system for public notice, and in the event that vulnerable point is discovered, take required action to remedy and improve in due time, and confirm the performance of action thereafter. ② For ordinary monitoring, the opinion of the approval of document, request to submit reference data, interview with the employee with respect to the public notice information, accounting or audit department and others may be heard.
     Paragraph 2 Inspection of Operation Status and Evaluation of Operation Performance
• Article 38 (Subject and Term)
  1. ①The representative director and the responsible person of public notice shall inspect the status of operation for control system for public notice and evaluate the operation result.
  2. ②Inspection of Operation Status and Evaluation of Operation Performance shall be implemented before submitting the business report after the expiration of each fiscal year. However, in the event that the representative director recognizes as needed, it may be implemented during the fiscal year.
• Article 39 (Procedure)
  1. ①Head of each business department and head of department in charge of public notice shall submit the report on the status of operation for each department, including the independent evaluation contents, to the responsible person of public notice by the date set forth by the responsible person of public notice within the period of Clause 2 of the previous Article.
  2. ②On the basis of the report submitted by each business department and head of department in charge of public notice, the responsible person of public notice shall implement the Inspection of Operation Status and the Evaluation of Operation Performance for the control system for public notice and report the result to the representative director. In this case, the responsible person of public notice may obtain the advice of auditor (audit committee), internal audit team, external expert and others.
  3. ③On the basis of the result reported by the responsible person of public notice, the representative director shall implement the Inspection of Operation Status and the Evaluation of Operation Performance on the control system for public notice.
• Article 40 (Method and Considerations)
  1. ①The representative director and the responsible person of public notice may use a variety of methods, such as, the interview with person involving in information generation, delivery and other public notice procedure, review of relevant document, listening to the opinion of external expert for the evaluation on the operation result and inspection of operation status on the control system for public notice at the same time.
  2. ②For the Inspection of Operation Status and the Evaluation of Operation Performance with respect to the control system for public notice, following
     matters have to be considered.
     • 1.Whether there is any change to influence to the functions of the control system for public notice after the inspection and evaluation undertaken previously;
     • 2.Whether the control system for public notice designed operated by this company has contributed to production of continuous and accurate information and reduction of z5;
     • 3.Whether it has any part inappropriate or defective to the control system for public notice of this company;
     • 4.Whether the procedure for inspecting the accuracy of the financial and non-financial information is sufficient;
     • 5.Whether there is sufficient review and post inspection done on the public notice matters of this company;
     • 6.Whether all participants understand their responsibility during the process of the public notice control of this company;
     • 7.Whether the evaluation and management on risk from public notice occurred previously and major risk from public notice s are appropriately undertaken; or
     • 8.Whether the risk occurred previously is possible to avoid through the existing control system for public notice.
  3. ③The responsible person of public notice may prepare and facilitate separate inspection table through the stipulation on matters recognized as needed in addition to the matters of previous Clause.
• Article 41 (Utilization of Evaluation Result)
  1. ①The representative director and the responsible person of public notice shall take required action to improve the vulnerable points of controls shown through the Inspection of Operation Status and the Evaluation of Operation Performance for the control system for public notice.
  2. ②The responsible person of public notice shall inspect whether the actions of the previous Clause is properly undertaken.

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