ESG Report 2021

Anti-corruption In addition to building an incorruptible culture and In order to further enhance our staff's awareness of encouraging employees to be self-disciplined and complying with business ethics and related laws, the abide by the laws, the Group has also established Group regularly organises training sessions on laws The United Laboratories Anti-Fraud and Complaint and corporate regulations for our staff to enhance Reporting Management System to combat all their professionalism and strengthen the prevention potential fraud in the Company. The Group's Audit of legal risks. During the Year, the Group's Legal and Legal Affairs Centre is the anti-corruption Affairs Department organised a total of 10 online department responsible for organising the Group's training sessions on compliance and business ethics, corruption risk assessment, establishing covering topics such as compliance promotion maintenance reporting channels, and accepting and guidelines, contract training, data security, personal investigating corruption cases. When reports or information protection, legal risks of advertising and clues on corruption matters are received, the Group promotion, anti-unfair competition compliance and will arrange investigators for analysis, evaluation and anti-monopoly, with a total of 52,451 participants. investigation, and penalise the employees involved As for the partners, the Group requires both parties based on the investigation results and opinions on to sign the Incorruptible Cooperation Agreement, its handling. In order to enhance deterrent effect, for which itemises the integrity compliance that both any employees that are associated with malpractice parties shall comply with, and provides telephone, behav i ou rs , t he Company s ha l l impos e email and post complaint reporting methods to corresponding internal economic and administrative effectively reduce the risk of corruption and ensure disciplinary penalty regardless of whether the case the interests of both parties. During the Year, the constitute a criminal offence. If the case is serious, Group was not involved in any cases of corruption the Group reserves the right to terminate the labour litigation. relationship and pursue criminal responsibility according to law. The Group provides various channels for employees recording of telephone complaints. All employees are or any of the Group's partners to report corruption not allowed to note down, copy, keep, hide or and malpractice, such as direct phone calls, e-mails, destroy reporting materials without authorization. post, or the complaint reporting channel on the Other units and departments of the Group have no online mobile office platform system “Smart United right to interfere or disturb the reporting and Laboratories”. All reporting channels allow complaining matters to safeguard the independence employees to directly report immoral or dishonest of the investigation and the privacy of the behaviours to the Group's Audit and Legal Affairs complainant and the person complained against. In Centre anonymously. addition, the Group gives full protection to the complainant. We will strictly combat all retaliatory The Group has clearly defined the working principles actions if complainants or their family members of complaint and reporting in The United suffer from damage to person, property or other Laboratories Anti-Fraud and Complaint Reporting rights due to reporting. The complainant is also Management System to keep the complainant's entitled to inform his/her senior managers for timely identity confidential. Complaints or reports made in protection. The entire reporting procedure is person should be interviewed by designated protected by law, and serious breaches of the rules personnel in a secret location. All persons not will be referred to the judicial authorities. To connected are not allowed to observe, question or encourage employees to report corruption or record the content of the interview. The principle of malpractices, the Group will commend and reward confidentiality should be strictly complied with in the complainant if the complaint is substantiated sending, receiving, opening, filing, transferring, after investigation. The reward will be given to keeping and mentioning of written complaints, and complainants whose identities have been verified the reception, answering, documentation, and voice upon the closing of the investigation. 60 Environmental, Social and Governance Report 2021 The United Laboratories International Holdings Limited Complaint Reporting and Confidentiality