REPORTING – GENERAL

May I report using either the Internet or the telephone?

Yes. With EthicsPoint you have the ability to file a report via the web or by phone.

You can file an EthicsPoint report from any computer or mobile device that can access the Internet. If you don’t have access or are uncomfortable using the web portal, you can call the EthicsPoint toll-free helpline which is available 24 hours a day, 365 days a year. Dialing instructions vary by country.

What type of situations should I report?

EthicsPoint is designed for employees to report any potential violation of our Standards of Business Conduct or related company policies.

If you need immediate assistance in an emergency, you should contact your local emergency services.

If I see a violation, shouldn't I just report it to my manager, the Law Department or Human Resources?

When you observe behavior that you believe violates our Standards of Business Conduct, we expect you to report it. Ideally, you should bring any concerns forward to your direct manager or other member of our management team, Law Department or Human Resources. We recognize, however, that there may be circumstances when you are not comfortable reporting the issue in this manner. It is for such circumstances we have partnered with EthicsPoint. We would rather you report anonymously (where permitted by local laws) than keep the information to yourself.

Does management really want me to report?

We certainly do. In fact, we need you to report. You know what is going on in our company - both good and bad. You may have initial knowledge of an activity that may be cause for concern. Your reporting can minimize the potential negative impact on the company and our people. Also, offering positive input may help identify issues that can improve corporate culture and performance. Applied cannot correct a problem if we are not aware of it.

Where do these reports go? Who can access them?

Reports are entered directly to an EthicsPoint secure server to prevent any possible breach in security. EthicsPoint makes these reports available only to specific individuals within the company who are charged with evaluating the report, based on the type of violation and location of the incident. Each of these report recipients has had training in keeping these reports in the utmost confidence.

REPORTING – SECURITY & CONFIDENTIALITY

It is my understanding that any report I send from a company computer generates a server log that shows every website my PC connects with; won’t this log identify me as a report originator?

EthicsPoint does not generate or maintain any internal connection logs with IP addresses; no information linking your PC to EthicsPoint is available. An internet portal or mobile phone never identifies a visitor by screen name and the EthicsPoint system strips away identifying information, such as an IP address or mobile phone number, so that anonymity is maintained. In fact, EthicsPoint is contractually committed not to pursue a reporter’s identity.

If you feel uncomfortable making a report on your work PC, you have the option of using a PC, phone or other mobile device outside our work environment through the EthicsPoint secure website.

Is the telephone toll-free helpline confidential and anonymous too?

Yes – so long as anonymous reporting is permitted by local laws. You will be asked to provide the same information you would provide in an Internet-based report; the interviewer will type your responses directly into EthicsPoint’s secure environment. Phone-based reports have the same security and confidentiality measures applied to them during delivery as web-based reports.

What if I want to be identified with my report?

There is a section in the report where you may identify yourself, if you wish. You may also choose to email your concerns directly to ethics_everywhere@amat.com.

TIPS & BEST PRACTICES

I am aware of some individuals involved with unethical conduct, but it doesn't affect me. Why should I bother reporting it?

Our company chooses to promote ethical behavior. All unethical conduct, at any level, ultimately hurts the company and all employees, including you. If you know of any incidents of potential misconduct or ethical violations, consider it your duty to yourself and your coworkers to report it.

The EthicsPoint system and report distribution protocols are designed so implicated parties are not notified about or granted access to reports in which they have been named.

Applied Materials forbids retaliation against any member of its workforce for reporting in good faith a possible violation of our Standards of Business Conduct or related company policies.

What if I remember something important about the incident after I file the report?

When you file a report on EthicsPoint through either the web or by phone, you receive a unique report key and are asked to select a password. With the report key and your password, you can return to the EthicsPoint system again, either by web or by phone, and access the original report. At that point, you can add more details.

What if Applied has questions for me concerning my report?

EthicsPoint provides functionality that enables company representatives to post questions for you, even if you report anonymously. When you receive your report key, you will be provided with the amount of time we expect for the report to be processed. When that time has passed, we strongly suggest you check to see if any questions have been posted. Providing the opportunity for such dialogue means situations may not only be identified but can also be resolved, no matter how complex.

What if I lose my Report Key or forget the Password I created?

To ensure that security and confidentiality is maintained, if you lose your report key or password, you will need to file a new report. Mention in the new report that it is related to a report or question you previously submitted.

What should I do if the telephone number is not working?

If the telephone number listed is not functioning, please make your report online through this web site. Please indicate in the report that the telephone number did not work.

What should I do if the country I am in is not listed?

If there is no service for your location, please make your report online through this web site. Please indicate in the report that dialing instructions for the country you are located in were not available.

You may also choose to email your concerns to ethics_everywhere@amat.com. Please bear in mind that this reporting channel is not anonymous.