U Ming Marine Transport : Complaint Policy

Complaint Policy

File No.: HR-045

Version: Version 1

Drafting Unit: Human Resources Department

Drafting Date: March 07, 2023

Effective Date: March 07, 2023

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Management System Revision Record Sheet

				Confidentiality Level:
System Designation: Complaint Policy	□Confidential ■General
				File No.: HR-045
Item	Enactment/Revision	Revising	Countersigning	Reviewed and		Note
	Date	Unit	Unit	Approved
		Human
1	03/07/2023	Resources		President
		Department
2
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4
5
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HR-045 Complaint Policy Version: 1 Effective Date: 03/07/2023 Page2 out of 6

U-Ming Marine Transport actively abides by domestic regulations and norms, all of the Company's rules and codes of conduct, and our Human Rights Policy to protect the rights and interests of internal and external stakeholders. We have made a commitment to listen to, understand, and respond to the needs of diverse stakeholders, formulate a Complaint Policy, and establish a complete complaint handling mechanism.

U-Ming Marine Transport's Complaint Policy has been translated into multiple languages; 24-hour uninterrupted complaint channels have been set up; independence, confidentiality, anonymity, and non- retaliation are guaranteed for the complaint mechanism; and remediation measures are actively implemented.

If you find any unlawful matters that may violate the Company's code of conduct or Human Rights Policy, endanger the Company's reputation, or endanger the rights and interests of yourself or others, you can submit your concerns through U-Ming Marine Transport's complaint mechanism to protect yourself and others and jointly maintain the reputation of U-Ming Marine Transport.

Who Is Entitled to Submit Complaints

U-Ming Marine Transport's Complaint Policy promises to provide channels that guarantee the rights of all internal and external stakeholders in making complaints. These stakeholders include:

• All in-service employees: This covers all forms of employees who provide labor services for all U- Ming Marine Transport operating locations; they encompass regular employees, contract employees, employees with physical or mental disabilities, employees of overseas subsidiaries, and others.
• Other stakeholders: This means any stakeholder having a business relationship with U-Ming Marine Transport; examples include former employees, job applicants, business partners, suppliers, contractors, shareholders, and local community residents of operating locations. U-Ming Marine Transport also encourages suppliers and provides them with resources to assist in establishing a sound complaint mechanism.

When Complaints Should Be Filed

U-Ming Marine Transport recommends submitting a complaint as soon as you have any concerns and as early as possible. This should be done to avoid further escalation or deterioration of a situation and to help us to detect problems early and take relevant measures.

Complaint Channels

• Complaint submission methods include: Verbal, written, by hotline, or email.
• Applicable complaining parties of complaint channels:
  1. Internal complaint channels: All in-service employees

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• 1. External complaint channels: Other stakeholders
• Internal complaint channels:
• 1. Staff: Human Resources Department of the Company ([e-mail], 02- 7752-6196)
  2. Crew: Seafarer Department of the Company ([e-mail], 02-7752- 6146)
  3. Internal Audit Supervisor: General Manager Surina Tsai ([e-mail], 02-7752- 6091)
• External complaint channels: (the applicable complaining parities comprise other stakeholders)
• 1. Investors: The Company's Spokesperson, Senior Vice President Bismark Chang ([e-mail], 02-7752-6008)
  2. Corporate governance issues: The Company's Corporate Governance Officer, Vice President Alex Chen ([e-mail], 02-7752-6082)
  3. Suppliers: The Company's Audit Supervisor, General Manager Surina Tsai ([e-mail], 02-7752-6091)
  4. Others: [e-mail]

Information and Principles Required for Filling Out Complaint Correspondence

• It is recommended that you fill in the event information that you know or have in detail.
• Letters can be submitted unsigned or anonymously if you wish.
• Information that should be included in written and electronic complaint correspondence must include:
• 1. Date of complaint
  2. In-serviceemployees: □ Regular employee □ Contract employee □ Employee with physical or mental disability □ Employee of overseas subsidiary □ Other (Please fill in)
  3. Other stakeholders: □ Former employee □ Job applicant □ Business partner □ Supplier □ Contractor □ Shareholder □ Local community resident □ Other (Please fill in)
  4. Name of complainant: □ Signed ＿＿＿, □ Unsigned
  5. Service unit name or project name
  6. Service unit address or project address
  7. Complaint content: Complaining party; complaint incident; time of occurrence; place of occurrence; how you learned of this incident; whether management is aware; other supplementary information or attached files.
  8. Contact number/email address to receive replies:
     (The Company will not be able to deliver the inquiry results if this is not filled in)

Types of Complaints Accepted by Complaint Channels

Complaint types accepted by the complaint mechanism of U-Ming Marine Transport include but are not

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limited to the following:

• Excessive working hours
• Forced labor
• Discrimination
• Sexual harassment
• Verbal, mental, and physical bullying in the workplace
• Environment, health, and safety concerns
• Theft, misappropriation, or damage of property
• Invasion of privacy
• Information security concerns
• Bribery
• Corruption, money laundering, or insider trading
• Improper benefits, entertainment, or sponsorships
• Unfair competition
• Infringement of trade secrets, trademarks, patents, and other intellectual property rights
• Other violations of the Company's code of conduct
• Other violations of relevant laws and regulations, including matters related to the Labor Standards Act, the Occupational Safety and Health Act, employee welfare fund regulations, labor insurance regulations, the Labor Inspection Act, and the Employment Service Act

Post-Complaint Inquiry Process and Principles

• No retaliation: U-Ming Marine Transport will do its utmost to protect a complainant and will never tolerate any form of retaliation. We are committed to and shall follow the principles of confidentiality and privacy.
• After U-Ming Marine Transport accepts a whistleblower complaint, we shall establish an inquiry task force of the relevant unit within seven days from the date of delivery of the materials.
• Members of the inquiry task force must not include stakeholders who are related to the incident.
• The inquiry task force shall conduct an inquiry based on the factual content, and the accused and the relevant parties involved are obliged to cooperate with the inquiry.
• Members of the inquiry task force and related parties involved shall keep the inquiry process and related materials confidential and shall not release them to the public without authorization. In respect to relevant parties for whom confidentiality is not possible and would result in leakage of case details, such parties shall be discussed and dealt with in accordance with the relevant regulations of the Company and the inquiry task force convener may disqualify them and choose other members for the task force.
• When adjudicating, more than two-thirds of the complaint inquiry task force must be present before the meeting can be held and resolutions can only be made with the consent of more than half of the attending members. In case of a tie, the matter shall be decided by the presiding chair.

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