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Intellectual Property ProtectionManagement ReportThis report had been submitted to and presented at the 10th meeting of 15thTerm Board of Director Nov. 3rd, 2021Intellectual Property (IP) Management PlanRegarding the implementation of company IP protection and management, asidefrom daily supervision and promotion, audits were also performed to determinewhether each concerned party actually implements IP control according to therelevant regulations/procedures of IP management, such that, issues werediscovered, immediate response taken, reviewed and continuous improvementimplemented. In YR2020 IP audit execution, the nonconformities discovered includesthe failure to implement vendor NDA control, failure to implement confidentialdocument marking, failure to implement secret document control, and failure toimplement IP training which causes insufficient IP awareness. The detail of the IPaudit nonconformities is shown in Figure 1.Further investigation of the YR2020 IP audit root cause of nonconformities, in additionto the insufficient awareness about IP, mostly the reasons are due to regulation andprocedure’s requirements are not comprehensive enough. This leads to reluctanceby employees to implement the IP requirements. In order to solve this issue, YR2021plans to review and revise relevant regulations of IP management.Figure 1. Nonconformities distribution in 2020 IP AuditFurthermore, in order to reduce the risk of violation of company intellectual propertyand protect the intellectual property of company, client/partner, and vendor, severalPage 1 / 5
aspects are planned to strengthen various managements and enhance conceptualawareness. These aspects include the risk control of regulations/procedure (SOP)improper outflow, periodic check of project IP execution, customization of AdvancedTechnology Facilities Business Operation (ATFBO) project IP control, and promotionof IP protection concept and awareness. The YR2021 IP control enhancement actionplan is shown in Figure 2.Figure 2. Confidential Document Control Action PlanExecution ConditionI. Continual Improvement of Management RegulationsIn YR2021, a total of 2 regulations, “GCP-106 Group NDA ManagementRegulations” and “CP-104 Confidential Document Management Regulations”were revised after joint review with responsible unit and relevant unit. The briefdescription is as follows: “GCP-106 Group NDA Management Regulations”: The main revision includesthe revision of ”User manual of NDA e-flow review system” and updating theprocessing method of NDA that was unable to successfully obtain both parties’signings. “CP-104 Confidential Document Management Regulations”: The mainrevision includes modification of sensitive warning message, the marking ofsensitive warning message on every page in addition to the cover of the SOP,improving the SOP editable file transfer control, and change the list ofconfidential documents content and storagelocationaccording tomanagement and control requirements.In addition, given the current relevant SOP scope of IP management forPage 2 / 5
confidential document and NDA, in order to improve the rights and interests of IPprotection and control for each company of CTCI Group, it is planned to add“Group Intellectual Property (IP) Rights Management Regulation” to establishprotection mechanism related to trademark rights, patent rights, copyrights, andtrade secrets. The development of the content can be seen in Figure 3.Figure 3. “Group Intellectual Property (IP) Rights Management Regulations”ContentII. Strengthen Intellectual Property (IP) Control Risk Control of Regulations/Procedures (SOP) Improper OutflowIn order to strengthen the internal usage and control of SOP, in addition to thecover of the SOP, a sensitive warning marking “Intellectual Property Ownership,All rights reserved by each company and its affiliates under CTCI Group” willbe automatically added by the system on every page. Also, in order to preventimproper usage and leakage of SOP, a warning and control mechanism forabnormal SOP clicks are established to prevent improper downloads and takecorresponding measures and countermeasures for abnormal findings. Increase Periodical Check of Project IP ExecutionIn accordance to the revision of “PJ-009 Project Intellectual Property ProtectionManagement Procedure” in YR2020, Project IP Manager (PIPM) conduct theperiodic check base on “IP Activity Item Checklist” of proposal project andexecution project. For projects with poor implementation, the implementationexecution by the authorized project personnel shall be coordinated orsupervised and the Project IP training shall be enhanced in order to improvethe implementation of Project IP protection and control.Page 3 / 5
Customized Advanced Technology Facilities Business Operation(ATFBO) Project IP ControlIn response to the high requirements and expectations of AdvancedTechnology Facilities Business Operation (ATFBO) client for IP control,customized IP execution plan template and IP control mechanism are used asthe basis for the execution of IP Protection and Control. Customized IP ControlMechanism such as: control for equipment with photography functions (e.g.cameras, laptop camera lenses, personal mobile phone camera lenses, etc.),log out from the computer when leaving seat, add IP requirements andpenalties to vendor, and increase the frequency of IP audit in order to satisfythe client’s requirements.III. Promote Intellectual Property Protection Concept and Awareness Record “IP Awareness Video” in CTCI UniversityIn order to enhance the understandings of company intellectual propertyprotection and control to all employees and increase the IP regulationsawareness, anytime through the online learning method as well, four (4) “IPAwareness Video” are specifically recorded and established in CTCI Universitylecture course for employees to participate in training. The content of thelecture course includes: Intellectual Property protection and controlmechanism, “PJ-009 Project Intellectual Property Protection ManagementProcedure”, “CP-104 Confidential Document Management Regulation”, andthe explanation of “Letter of Undertaking Company’s Policies on Confidentialityand Intellectual Property Rights” signed by the employees. Conduct “Business Intellectual Property Rights Management System”LectureIn order to provide all employees with basic concepts of Intellectual Propertyrights, Lawyer Lai Wenzhi from InfoShare Tech Law Office is specifically invitedto share about Intellectual Property management, business operation andtrademark/patent management, copyrights management core, risk control oftrade secrets, and how to reduce the risk of disputes involving infringementrights. In addition to physical lecture, the lecture is recorded and uploaded toCTCI University for employees to participate in the e-learning.Page 4 / 5
Figure 4. “Business Intellectual Property Rights Management System”Lecture Conduct the Evaluation of Intellectual Property (IP) ProtectionAwareness for All Group Employee“2021 Evaluation of Intellectual Property (IP) Protection Awareness for AllGroup Employees” is conducted in order to enhance the awareness of all groupemployees regarding the “Intellectual Property Protection and ControlMechanism” and increase the understanding of “Letter of UndertakingCompany’s Policies on Confidentiality and Intellectual Property Rights” for ownrights, obligations and commitments. The content of evaluation is divided into“Supervisor version” and “Employee version” according to their rights andresponsibilities with key points list of evaluation including “Supervisor’sresponsibilities”, “Supervisor’s negligence matter”, “IP control nd“commonmistakes”respectively. All Group employees already completed and passed IntellectualProperty (IP) awareness and had been evaluated through CTCI University.Figure 5. EIP Banner Promotion of “2021 Evaluation of IntellectualProperty (IP) Protection Awareness of Group All Employees”Page 5 / 5
Figure 4. "Business Intellectual Property Rights Management System" Lecture Conduct the Evaluation of Intellectual Property (IP) Protection Awareness for All Group Employee "2021 Evaluation of Intellectual Property (IP) Protection Awareness for All Group Employees" is conducted in order to enhance the awareness of all group
