Page 198 - 56-1 One Report 2022 EN

Part 2 Corporate Governance

5.1 Chairman of Audit and Risk Committee

5.2 Head of Internal Audit
5.3 Head of Human Resources

Preliminary investigation of complaints or reports of misconduct or fraud
1. Internal Audit or the assigned department must complete the evaluation and verification of the primary
information within thirty (30) days from the date of receiving a report of misconduct or fraud, or suspicions
thereof. If the preliminary investigation cannot be completed during this time, the period can be extended for
another thirty (30) days but not longer than this.

2. If Internal Audit or the assigned department finds that the information received indicates that misconduct or
fraud has occurred, a request must be submitted to the Ethic Committee and an authorized person to appoint
an Investigation Committee.

3. If Internal Audit or the assigned department finds that the information received indicates that misconduct or
fraud has not occurred, the whistle-blowers must be notified that no evidence can be found and the case has
been closed.
4. Internal Audit or the assigned department has the authority to access all the relevant documents in order to
verify the primary information, and is allowed to communicate with the person who made the report.

5. If the expected monetary value of the damage exceeds Baht 1 million or the case may have an adverse impact
on the Company’s reputation, the Head of Internal Audit or the assigned persons must report this immediately
to the Chairman of the Board, the Chairman of Executive Committee, the Chairman of the Audit and Risk
Committee and the Chief Executive Officer.

Disciplinary Action and Legal Proceeding

1. Disciplinary action
1.1 The Disciplinary Committee must consider the nature of misconduct or fraud that occurred and determine
the disciplinary action to be taken based on the Human Resources Management Guidelines Re: Employee
Discipline and Disciplinary Action. The matter must then be submitted to the authorized persons for
approval within thirty (30) days of receiving the investigation report. The committee may solicit an opinion
from the supervisor of the person(s) found to have committed misconduct or fraud before making its
decision.
1.2 If the Disciplinary Committee finds that the information in the investigation report is insufficient or
incomplete, it can refer the matter back to the Investigation Committee to make further inquiries. The
additional investigation must be completed within fifteen (15) days.

However, if the Disciplinary Committee finds that the Investigation Committee had not actively discharged
its duties, the matter can be referred back to the person who appointed the Investigation Committee to
consider the appointment of a new one.

1.3 When a decision has been made to take disciplinary action, Human Resources must issue a notification of
disciplinary action and submit it to the authorized person stipulated in the Approval Authority Policy.

Part 2 page 74