APAC Interaction with Public Officials Policy (IPOP)

Policy Owner:

APAC Ethics & Compliance

TABLE OF CONTENTS

1. Introduction 3

1.1 What is a Public Official? 3

2. Purpose 4

3. Scope 4

4. Requirements and Guidance 4

4.1 Legal Requirements for Advocacy Activities 4

4.2 Engaging and Onboarding External Consultants 5

4.3 Meeting with Public Officials 6

4.4 Payments to Public Officials 6

4.5 Communication with Public Officials 7

4.6 Gifts and Entertainment 8

4.7 Charitable Donations, Sponsorships & Partnerships requested by Public Officials 10

4.8 Employee Political Contributions 10

4.9 Meetings with Public Officials, in the presence of Competitors 11

5. Reporting Unethical Behavior 11

6. Contact Details & Training Requests 12

7. Deviations from Requirements and Guidance 12

Version HIstory 14

1. Introduction

Uber’s business requires frequent interaction with Public Officials and employees at federal, state and local levels across APAC. Topics of these interactions range from legislation and regulation to policy and contracting. While these interactions are critical to Uber’s business, we must ensure they happen in accordance with local and international laws, and Uber policies.

These laws and policies do not exist to prevent lobbying or commercial engagements or prohibit Uber from communicating with legislators and regulators. Instead, they promote transparency and ensure compliance with Uber’s Anti-Bribery & Corruption Policy.

Overall, this policy aims to help Uber APAC employees and duly authorized third parties (EXTs, Consultants and their subcontractors) do the right thing by making ethical decisions when engaging with Public Officials.

1.1 What is a Public Official?

Any officer or employee of a local, state, regional or national government or a department, agency or ministry of a government. This includes:

• Individuals who, even temporarily or without payment, hold a public position, employment or function.
• Employees of an international public organization such as an Olympic Committee.
• Individuals acting in an official capacity for or on behalf of a government agency, department, ministry or international public organization.
• Political party officials or any candidate for political office.
• Employees of a state-owned or state-controlled entity, and entities that perform a government function (such as airports or sea ports, hospitals, public transport agencies and utilities).
• Members of a royal family (note that such individuals may lack formal authority but may be influential in advancing Uber’s business interests, either through partial ownership or management of state-owned or state-controlled companies).
• Family members of any of the individuals listed above may also qualify as Public Officials if interactions with them are intended to confer or have the effect of conferring anything of value on a Public Official. Any questions about whether an individual or an entity constitutes a Public Official must be directed to Uber’s Ethics & Compliance team via your Uber representative.

2. Purpose

This Policy aims to:

• Have all interactions with Public Officials on behalf of Uber conducted in accordance with applicable national and local laws and regulations, and Uber’s policies and values. These interactions must be conducted transparently and professionally.
• Provide a clear understanding of transparent and responsible advocacy requirements to Uber employees and duly authorized third parties assigned to conduct advocacy activities.

3. Scope

This policy applies to all Uber employees and duly authorized third parties who interact with Public Officials about public policy matters and business development agreements. This includes engagement with public authorities in advocacy^[1] and commercial contexts. This Policy does not apply to the Public Safety (Law Enforcement Operations) Team, which follows separate protocols.

Compliance with this Policy’s guidance is mandatory for all Uber employees, EXTs and Consultants (and their subcontractors) acting on behalf of the company. Please reach out to your manager or E&C in case of doubt. Failure to comply with this policy may constitute a disciplinary offense punishable by sanction up to and including summary dismissal.

4. Requirements and Guidance

The below guidance is subject to local laws and regulations. Uber employees and duly authorized third parties are also responsible for acting in accordance with local requirements, which may be stricter than the guidance in this Policy.

4.1 Legal Requirements for Advocacy Activities

4.1.1 In certain markets, advocacy activities are regulated. Each market takes its own approach, which can include:

• Legislation or soft regulation
• A code of conduct for industry professionals (provided for either by legislation or through self-regulation by lobbying organizations)
• Registers of industry professionals (mandatory or voluntary)

4.1.2 As an Uber representative interacting with Public Officials, it is your responsibility to understand and comply with relevant advocacy requirements. Please reach out to your local legal counsel for clarification on any regulatory requirements by market.

4.1.3 As an Uber representative interacting with Public Officials, it is your responsibility to maintain relevant advocacy memberships and registrations. For full-time employees, advocacy membership fees, if any, can be expensed in accordance with Uber’s Travel and Expense Policy.

4.2 Engaging and Onboarding External Consultants

Third parties may be engaged for public policy or advocacy activities.

4.2.1 E&C must be contacted prior to engaging an EXT or Consultant that will be interacting with Public Officials on Uber’s behalf to discuss the proposed engagement. Third party vendors must be onboarded through the usual Coupa process, which may include a mandatory anti-corruption compliance third party screening and due diligence process.

4.2.2 When engaging EXTs or consultants, the applicable Master Services Agreement (MSA) should be used at all times. This template includes approved ethics and compliance clauses, including provisions from this policy. E&C must be contacted if the Uber MSA will not be used for an engagement or if substantial deviations from the standard MSA are requested by the third party.

4.2.3 For advocacy engagements, fees paid to EXTs or Consultants should be fixed (per hour or per engagement) and ideally not contingent on a specific result (i.e., a success fee). E&C must be contacted to discuss potential contingency fee arrangements before commitments are made with third parties. Fees must always be strictly for official services provided and should be reasonable in value, given the nature of those services.

4.2.4 Onboarding processes established by the FlexForce team should be followed when onboarding EXTs.

4.2.5 Training for EXTs

E&C will provide a training session as part of onboarding for an EXT engaged for public policy or advocacy activities. This training will cover key principles from this policy, and allow the EXT to raise questions or concerns. The Uber employee who signs the agreement with the EXT is responsible for engaging E&C upon receipt of the EXT’s signature, and before the EXT undertakes any work on behalf of Uber. Training can be requested by contacting Uber’s Ethics & Compliance team via your Uber representative.

4.3 Meeting with Public Officials

4.3.1 Face-to-face meetings must take place at one party’s office or in a public venue (e.g., restaurant or hotel conference room). Meetings must not be undertaken at a personal residence. If a meeting does need to happen at a personal residence, you must notify E&C, ideally before the meeting. If you are unable to notify E&C before the meeting, you must notify post-meeting.

4.3.2 In meetings with Public Officials where substantive discussions are had or where major decisions are being made, it may be advantageous to have at least two Uber representatives present during the meeting, which allows one representative to conduct the meeting while the other takes notes.

4.3.3 Documenting discussions with Public Officials

When working with Public Officials, it is important to keep a paper trail of all face-to-face, online, or phone interactions. 

At a minimum, a diary of interactions (could be through Google Calendar) should be maintained.

When having a meeting (face-to-face or online) where substantive discussions are had or where major decisions are being made, key points to include in your documentation/meeting notes are:

• Agenda
• Attendees
• Location
• Outcomes and next steps

Notes should be shared with all parties in attendance so that any misunderstandings can be discussed.

Storage methods should be decided with your manager or Uber contact.

4.4 Payments to Public Officials

Uber prohibits payments to Public Officials. If a payment is required for a legitimate business purpose, the request for payment must be submitted for review by an Uber E&C Director in APAC. The following requirements also apply:

• Payments can NOT be made to a personal bank account of a Public Official. Payments must be made into a public entity bank account.
• An invoice on official letterhead must support payments.
• Payment must be made through Uber’s accounts payable process.
• Payments cannot be made with cash or cash equivalents.

4.4.1 On occasion, Uber may be required to pay for a Public Official’s time and/or travel expenses. Such payments are permitted only when there is a compelling business interest for the Public Official to attend a specific event or meeting. Prior written consent from the official’s organization and approval from an Uber E&C Director in APAC are both required before making payment commitments. Uber representatives are responsible for agreeing upfront to any conditions (e.g., fee for meeting or travel expenses) for meetings and at least one week in advance. Last-minute payment requests (e.g., per diems) cannot be accomodated.

4.4.2 If reimbursement of travel expenses is approved, it must be limited to expenses for a direct itinerary to and from the meeting venue. Uber may not incur or reimburse extra nights of accommodation or additional costs related to travel, such as upgrades or excess baggage charges.

4.4.3 Payments In-kind - Uber Credits

4.4.3.1 In line with Uber’s Credits Policy, Director+ Uber employees may provide Uber credits for up to 5 rides to a Public Official or employee of a government agency to try our product (the Uber or UberEats App) for regulatory or commercial purposes.

4.4.3.2 Credits must not be provided to a Public Official to thank them or incentivize them to take favorable action on behalf of Uber.

4.4.3.3 Prior to granting any credits, employees must seek confirmation from E&C and local Tax and Legal teams to prevent conflicts of interest and ensure that there is no ongoing litigation or audits within that market. 

4.5 Communication with Public Officials

4.5.1 Communication with Public Officials should preferably occur through official email channels, both on Uber’s and the Public Official’s sides unless the use of Other Messaging Applications is necessary to conduct business for or on behalf of Uber.

4.5.2 In some cases, telephone calls, text messages and chat communication channels such as Whatsapp, may be used to communicate with Public Officials provided they adhere to Uber’s Email, Slack, Messaging & Texting Retention Policy (refer to section 4.5.3 below for a summary of the policy)

4.5.3 Use of certain non-ephemeral messaging apps not managed by Uber (iMessage/SMS/MMS, WhatsApp, and Signal) are allowed under certain conditions:

• Messages on these apps must be kept for at least 90 days if not on legal hold, and indefinitely if on legal hold;
• For Signal, disappearing messages must be turned off, and use is restricted to communications only between and among Uber personnel (not with people outside of our organization);
• These apps cannot be used to send messages containing Highly Restricted Business Data or any User Personal Data (as defined in Uber’s Data Classification & Handling Requirements); and
• These apps may be used only on an Uber-issued or managed device.

4.5.4 If a Public Official makes contact to discuss a material matter through unauthorized^[2] Uber communication channels, do not reply or take a screenshot of the relevant message. Move the conversation to Uber authorized communication channels instead. Notes of this communication should be kept and stored in a shared Google folder for access by you and your line manager.

4.5.5 Any inappropriate requests made, regardless of communication channel, should be escalated to E&C.

4.6 Gifts and Entertainment

Under Uber’s Anti Bribery and Corruption (ABC) Policy, Uber employees or duly authorized representatives may not offer or provide a gift, meal, entertainment, travel expenses or other form of hospitality to a Public Official as an incentive for providing improper benefit or advantage to Uber. The following stricter guidelines apply to activities that are in the scope of this APAC Interaction with Public Officials Policy.

4.6.1 Giving Gifts to Public Officials

4.6.1.1 Gifts to Public Officials should only be provided when not doing so would be considered impolite under local customs.

4.6.1.2 The nominal value of tangible gifts provided to Public Officials must not exceed the threshold set for the concerned market. The threshold guidance can be requested from your Uber representative.^[3]

4.6.1.3 Cash or cash equivalents (e.g., gift cards) must never be offered as a gift regardless of local traditions.

4.6.1.4 Unless prohibited by local laws, gifts of modest value bearing the Uber logo (i.e., t-shirts, umbrellas, mugs, and water bottles) are permissible and do not require E&C pre-approval.

4.6.2 Receiving Gifts offered by Public Officials

4.6.2.1 Gifts offered by Public Officials should be politely refused and, if possible, returned to the Public Official, clarifying that Uber’s internal policies do not allow for receiving gifts. A template for rejecting gifts can be requested from Uber’s Ethics & Compliance team via your Uber representative. If this is not possible practically or culturally, E&C must be consulted for advice on how to deal with the item and how to communicate with the offering party.

Small tokens of appreciation may be accepted on an infrequent basis.

4.6.3 Meals, Entertainment and Hospitality

Uber allows for the provision of meals, entertainment or hospitality to Public Officials under the following circumstances:

4.6.3.1 There is a clear business rationale, and the offered meal, entertainment or hospitality is permissible under local law. The amount spent must be appropriate, reasonable, proportionate, and customary in relation to the concerned Public Official. If the amount exceeds $50 USD, prior approval from E&C is required.^[4]

4.6.3.2 The meal, entertainment, or hospitality takes place in an Uber Public Policy employee's presence and complies with relevant provisions of Uber's Travel & Expense Policy. All related expenses should be clearly marked as “Provided to Public Official(s)” and supported with transparent descriptions.

4.6.3.3 Modest meals at Uber facilities or a venue conducive to a business discussion are generally permissible and do not require E&C pre-approval.

4.6.4 Registering of disclosures

E&C is responsible for registering disclosures made under this Policy. They will be registered in ServiceNow, Uber’s disclosure tool.

4.6.5 Responding to requests from Public Officials

4.6.5.1 Public Officials are paid by their organisation and should not expect any additional payments from Uber for listening to our concerns or feedback. In extremely exceptional situations where a payment request is made by a Public Official, this must be escalated to E&C for review, prior to any commitments being made.

4.6.5.2 There may be instances during face-to-face meetings in which a Public Official insinuates that a quid pro quo, or “brown envelope” in exchange for assisting Uber would be welcomed. These requests must be declined, and it must be clarified that Uber has a strict policy for providing gifts, entertainment, and hospitality. After the meeting, inform your manager and E&C immediately to discuss whether follow up action is required.

4.6.5.3 Requests from Public Officials to Uber employees to hire a friend or relative should be directed through Uber’s recruitment process. You can refer the friend or relative through Scout, but you must inform the Public Official that you cannot guarantee a positive outcome. When completing the referral in Scout, in the Relationship section, you must select ‘Other’ and specify the relationship with ‘Request from Public Official’.

4.7 Charitable Donations, Sponsorships & Partnerships requested by Public Officials

Charitable Donations may be made if the funding is used for a bona fide charitable purpose and without expectation of any reciprocal benefit for Uber. Charities and non-governmental organisations (NGOs) are commonly linked to Politically Exposed Persons (PEPs). This does not mean we cannot donate to them, but appropriate due diligence must be undertaken before entering into any commitments. 

4.7.1 Any proposed Donation, Partnership or Sponsorship requested by a Public Official, or made to an organisation that is affiliated with a Public Official or public entity, must be approved by E&C. A due diligence request must be submitted to E&C in the initial planning stage to prevent delays in entering into an agreement.

Based on the results of the due diligence process, E&C will make recommendations to mitigate identified risks. The investigation report must be stored with the signed agreement between Uber and the partnering organisation.

4.7.2 When Donations are being considered, the relevant Sustainability and Social Impact teams must be engaged. To make a Donation in-kind, (for example, following an office closure), contact Uber’s Sustainability team. For broader philanthropic or social impact donation (e.g., cash^[5] to an NGO), contact the Global Social Impact team via your Uber representative.

4.7.3 Sponsorships and Partnerships may never be used to confer a personal benefit on a Public Official or to obtain an improper advantage for Uber.

4.8 Employee Political Contributions

4.8.1 Employees may participate in the political process or make their own political contributions.  However, employees’ own political contributions (or any related opinions or affiliations) must not be connected to Uber in any way.  

4.8.2 Employees cannot make any political contribution on behalf of Uber, including contributions to a political party or candidate for political office. Uber will not reimburse any personal political contribution.

4.8.3 Employees cannot use Uber assets or their position to support political candidates.

4.8.4 Corporate political contributions must be escalated to E&C by submitting a request via the ServiceNow tool before any commitments are made.

4.9 Meetings with Public Officials, in the presence of Competitors

There may be instances where meetings with Public Officials occur in competitors’ presence, such as industry-wide advocacy or discussions with regulators.

4.9.1 These meetings cannot be used to collect or exchange competitively sensitive information with competitors or to collude on matters like pricing or expansion strategy. For further guidance, refer to your Uber’s representative for guidance on Uber’s Antitrust Manual.

4.9.2 Uber’s Competitive Intelligence Policy permits the following discussions between Policy Teams as part of an identified industry-wide advocacy exercise:

• Publicly available and commercially available information
• Non-Confidential information from industry experts and other third parties

4.9.3 The Global Antitrust Team must be consulted during planning stages if any collective industry initiative may involve the discussion of competitively sensitive information or coordination on elements of competition (e.g., joint initiative to agree minimum compensation and indemnities for drivers/couriers). Contact the Global Antitrust Team via your Uber representative.

5. Reporting Unethical Behavior

When you see behavior that doesn't seem right, we encourage you to stand up and speak up. If you observe or suspect any misconduct or breaches of this Policy, we strongly encourage you to report this. By reporting concerns in good faith, you give Uber the opportunity to deal with issues appropriately and in a timely manner.

5.1 Concerns of non-compliance with this Policy can be raised to your manager, E&C, or through Uber’s Integrity Helpline. Reports can be submitted to the Integrity Helpline through the online portal or by phone. Integrity Helpline reports can be made anonymously.

5.2 Uber does not tolerate retaliation against anyone who raises genuine concerns in good faith or who participates in an investigation. Anyone who suspects that they may have been the subject of retaliation should report this immediately to HR, E&C, or the Integrity Helpline.

6. Contact Details & Training Requests

This policy is developed to support several compliance policies, including the Business Conduct Guide and the Anti-Bribery and Corruption Policy. 

E&C is responsible for updating this policy and monitoring its effectiveness.

Face-to-face training on this Policy for employees and EXTs can be requested by contacting your Uber representative.

7. Deviations from Requirements and Guidance

The requirements outlined in this Policy are minimum standards. Deviations that imply softer local guidelines are not generally granted. Deviations can only be approved by an Uber E&C Director in APAC. Permission to deviate may be granted on a case-by-case basis and is valid for a limited period.

For more information or guidance, contact the APAC Ethics & Compliance team your Uber representative.

8. Definitions

Version History

1. Lawfully attempting to influence the actions, policies or decisions of public officials. Can be interchanged with lobbying, but given lobbying can have some negative connotations in APAC, we refer to it as advocating. ↑

2. Under Uber’s Email, Slack, Messaging & Texting Retention Policy, chat applications, including but not limited to Wickr, Telegram, Signal, WeChat, and SnapChat, are not Uber Chat Applications and employees are prohibited from using these for business communications. Use of iMessage/SMS/MMS, WhatsApp, and Signal) are allowed under certain conditions that are detailed in the policy. ↑

3. Per UT’s Anti-Corruption Policy, all gifts provided to South Korean Public Officials and employees in any amount require pre-approval in advance from Ethics & Compliance. ↑

4. Per UT’s Anti-Corruption Policy, all meals and entertainment provided to South Korean Public Officials and employees in any amount require pre-approval in advance from Ethics & Compliance. ↑

5. Note: Charitable donations cannot be expensed on corporate cards. They must follow Uber’s Accounts Payable process (via Coupa). ↑