Wistron Smart Devices

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Wistron Smart Devices

RESPONSIBLE BUSINNESS ALLIANCE General Awareness – Labor, Ethics & Management System

About RBA Code of Conduct RBA Requirements RBA Members WMY Wistron Committee Members Overview of RBA Main Requirement RBA Standard Requirements

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[Audio] The Responsible Business Alliance ( RBA), formerly the Electronic Industry Citizenship Coalition ( EICC), Code of Conduct establishes standards to ensure that working conditions in the electronics industry, or industries in which electronics are a key component, and its supply chains are safe, that workers are treated with respect and dignity, and that business operations are environmentally responsible and conducted ethically. Considered as part of the electronics industry for purposes of this Code are all organizations that may design, market, manufacture, or provide goods and services that are used to produce electronic goods. The Code may be voluntarily adopted by any business in the electronics sector and subsequently applied by that business to its supply chain and subcontractors, including providers of contract labor. To adopt the Code and become a participant (" Participant"), a business shall declare its support for the Code and actively pursue conformance to the Code and its standards in accordance with a management system as herein. Participants must regard the Code as a total supply chain initiative. At a minimum, Participants shall also require its next tier suppliers to acknowledge and implement the Code. Fundamental to adopting the Code is the understanding that a business, in all of its activities, must operate in full compliance with the laws, rules, and regulations of the countries in which it operates. The Code also encourages Participants to go beyond legal compliance, drawing upon internationally recognized standards, in order to advance social and environmental responsibility and business ethics. In no case can complying with the Code violate local laws. If, however, there are differing standards between the RBA Code and local law, the RBA defines conformance as meeting the strictest requirements. In alignment with the UN Guiding Principles on Business and Human Rights, the provisions in this Code are derived from and respect internationally recognized standards including the ILO Declaration on Fundamental Principles and Rights at Work and the UN Universal Declaration of Human Rights. The RBA is committed to obtaining regular input from stakeholders in the continued development and implementation of the Code of Conduct. The Code is made up of five sections. Sections A, B, and C outline standards for Labor, Health and Safety, and the Environment, respectively. Section D adds standards relating to business ethics. Section E outlines the elements of an acceptable system to manage conformity to this Code.

Responsible Business Alliance

About RBA Code of Conduct

ETHICS LABOR iiaii Busir•ss HEALTH & SAFETY ENVIRONMENT Responsible Business Albance

The Responsible Business Alliance (RBA), formerly the Electronic Industry Citizenship Coalition (EICC ) Code of Conduct to ensure workers are treated with respect and dignity, and that business operations are environmentally responsible and conducted ethically. The Code may be voluntarily adopted by any business in the electronics sector and subsequently applied by that business to its supply chain and subcontractors Fundamental to adopting the Code is the understanding to operate in full compliance with the laws, rules, and regulations of the countries in which it operates . The Code is made up of five sections. Labor, Health and Safety, Environment and business ethics.

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[Audio] Beginning with eight members in 2004, today the RBA core membership not counting initiative-only members is comprised of more than 180 electronics, retail, auto and toy companies with combined annual revenue greater than $ 7.7 trillion, directly employing over 6 million people. In addition to RBA members, thousands of companies that are Tier 1 suppliers to those members are required to implement the RBA Code of Conduct. More than 3.5 million people from over 120 countries contribute to the manufacture of RBA members' products. Members include manufacturers, OEM suppliers and retailers.

Responsible Business Alliance

RBA members

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[Audio] The RBA is comprise of 5 elements. This includes Labor, Health and Safety, Environment, Ethics and Management System.

Responsible Business Alliance

Overview of RBA Requirements

A D Labor(Human Rights) Freely Chosen Employment Young Workers Working Hours Wages and Benefits Humane Treatment Non-Discrimination Freedom of Association Ethics Business Integrity No Improper Advantage Disclosure of Information Intellectual Property ETHICS LABOR HEALTH & SAFETY ENVIRONMENT Fair Business, Advertising and Competition Protection of Identity and Non-Retaliation Responsible Sourcing of Minerals privacy E Management System Company Commitment Manager-rV1t and Legal and Customer Requirements Risk Assessment and Risk Management Improvement Objectives Training Communication Wcyker Feec%æk. Partk:ipatbn Grievance Audits and Assessments Corrective Action Process Documentation and Records Supplier Responsibility B Health & Safety Occupational Safety Emergency Preparedness Occupational Injury and Illness Industrial Hygiene Physically Demanding Work Pvlachine Safeguarding Sanitation. Food, and Housing Health and Safety Communication C Environment Environmental Permits and Reporting Pollution Prevention and Resource Reduction Hazardous Substances Solid Waste Air Emissions Materials Restrictions Water Management Erzgy Corsurmtjm a-d Greg-tug Gö

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[Audio] The first element is LABOR. Participants are committed to uphold the human rights of workers, and to treat them with dignity and respect as understood by the international community. This applies to all workers including temporary, migrant, student, contract, direct employees, and any other type of worker. The recognized standards, as set out in the References, were used in preparing the Code and may be useful sources of additional information. Labor element consists of 7 requirements which includes freely chosen employment, child labor, working hours, wages and benefits, human treatment, non discrimination and freedom of association.

Responsible Business Alliance

About RBA Labor (Human Right) Standard Requirements

A: LABOR 120 I. 2. 3. 4. 5. 6. 7. Freely Chosen Employment. Child Labour Avoidance. Working Hours. Wages and benefits. Humane Treatment. Non-Discrimination. Freedom of Association.

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[Audio] Requirement A1 is about Freely chosen employment. Under this requirement, Forced, bonded including debt bondage or indentured labor, involuntary or exploitative prison labor, slavery or trafficking of persons shall not to be used. This includes transporting, harboring, recruiting, transferring or receiving persons by means of threat, force, coercion, abduction or fraud for labor or services. There shall be no unreasonable restrictions on workers' freedom of movement in the facility in addition to unreasonable restrictions on entering or exiting company provided facilities. As part of the hiring process, workers must be provided with a written employment agreement in the native language that contains a description of terms and conditions of employment prior to the worker departing from his or her country of origin and there shall be no substitution or changes allowed in the employment agreement upon arrival in the receiving country unless these changes are made to meet local law and provide equal or better terms. All work must be voluntary and workers shall be free to leave work at any time or terminate their employment. Employers and agents may not hold or otherwise destroy, conceal, confiscate or deny access by employees to employees' identity or immigration documents, such as government issued identification, passports or work permits unless such holdings are required by law. Workers shall not be required to pay employers or agents recruitment fees or other related fees for their employment. If any such fees are found to have been paid by workers such fees shall be repaid to the worker.

Labor Requirements

No forced, bonded or indentured labor, involuntary or exploitative prison labor, slavery or trafficking of persons shall not be allowed. There shall be no unreasonable restriction of workers’ freedom of movement in the facility Workers must be provided with a written employment country of origin and there should be no substitution or change allowed in the agreement All work must be voluntary and workers shall be free to leave work at any time Employers and agents may not hold, conceal, confiscate or deny access by employees to employee’s identity or immigration documents Workers shall not be required to pay employers’ or agents’ recruitment fees or other fees for their employment

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[Audio] Requirement A2 is about Young Workers. Under this requirement Child labor is not to be used in any stage of manufacturing. The term " child" refers to any person under the age of 15, or under the age for completing compulsory education, or under the minimum age for employment in the country, whichever is greatest. Participant shall implement appropriate mechanism to verify the age of workers. The use of legitimate workplace learning programs, which comply with all laws and regulations, is supported. Workers under the age of 18 that is Young Workers shall not perform work that is likely to jeopardize their health or safety of young workers, including night shifts and overtime. Participant shall ensure proper management of student workers through proper maintenance of student records, rigorous due diligence of educational partners, and protection of students' rights in accordance with applicable law and regulations. Participant shall provide appropriate support and training to all student workers. In the absence of local law, the wage rate for student workers, interns and apprentices shall be at least the same wage rate as other entry level workers performing equal or similar tasks. If child labor is identified, assistance or remediation is provided Requirement A2. 1 elaborate that Workers should not be below the minimum age Under requirement A2. 2, its states that an adequate and effective policy and process is to be established to ensure that workers below the legal minimum working age are not hired either directly or indirectly via labor agencies or contractors.

Labor Requirements

A.2. Child Labor Avoidance

All W«-kers are not bdow minimum age. must ge OPERRTE

A22 adequate and effective and process is e.staHisYed to ensw•e tint w•crkers tie legal milirrurn workitg age are not Yied eit\er cfrectly Vo latrr agg&s/corttractcrs.

• Paynmt of sabr•y • the

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[Audio] Next is Requirement A3. It's a requirement about Working Hours. Studies of business practices clearly link workers strain to reduce productivity, increased turnover and increased injury and illness. This requirement states that working hours should not to exceed the maximum set by local law. Further, a workweek should not be more than 60 hours per week, including overtime, except in emergency or unusual situations. Its also further states that Workers shall be allowed at least one day off every seven days.

Labor Requirements

A3: WORKTNG HOURS

Working hours not to exceed maximum set by local law A workweek should not be more than 60 hours per week Workers shall be allowed at least one day off every seven days

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[Audio] Requirement A4. Wages and Benefits. Compensation paid to workers shall comply with all applicable laws, including those relating to minimum wages, overtime hours and legally mandated benefits. In compliance with local laws, workers shall be compensated for overtime at pay rates greater than regular hourly rates. Deductions from wages as a disciplinary measure shall not be permitted. For each pay period workers shall be provided with a timely and understandable wage statement that includes sufficient information to verify accurate compensation for work performed. All use of temporary, dispatch and outsourced labor will be within the limits of the local law.

Labor Requirements

Compensation paid to workers shall comply with all applicable laws. No deductions from wages as disciplinary measures permitted Workers shall be provided with a timely and understandable wage statement All use of labor will be within the limit of law

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[Audio] Next is Requirement A5. Its about Human Treatment. This requirement states that there is to be no harsh and in humane treatment including any sexual harassment, sexual abuse, corporal punishment, mental or physical coercion or verbal abuse of workers, nor is there to be the threat of any such treatment. Disciplinary policies and procedures in support of these requirements shall be clearly defined and communicated to workers.

Labor Requirements

There is to be no harsh inhumane treatment Disciplinary Policies and Procedures to be Clearly defined and Communicated

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[Audio] Requirement A5. 3 states that disciplinary should be recorded, consistent with the procedures and reviewed by management

Labor Requirements

A.5. Human Treatment

A5.3 Wages are not deducted or reduced for disciplinary reasons. DISCIPLINARY Recoo

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[Audio] Next is Requirement A6. Its about Non Discrimination. This requirement states that participant should be committed to a workforce free of harassment and unlawful discrimination. Companies shall not engage in discrimination based on race, color, age, gender, sexual orientation, gender identity and expression, ethnicity or national origin, disability, pregnancy, religion, political affiliation, union membership, covered veteran status, protected genetic information or marital status in hiring and employment practices such as wages, promotions, rewards and access to training. Workers shall be provided with reasonable accommodation for religious practices. In addition, workers or potential workers should not be subjected to medical tests or physical exams that could be used in a discriminatory way.

Labor Requirements

Workforce free of harassment and unlawful discrimination Company shall not engage in discrimination based employment practices Workers provided with reasonable accommodation of religious practices No discrimination in term of medical tests or physical examination

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[Audio] Next is requirement A7. Its about Freedom of Association. This requirement elaborate that, in conformance with local law, participants shall respect the right of all workers to form and join trade unions of their own choosing, to bargain collectively and to engage in peaceful assembly as well as respect the right of workers to refrain from such activities. Workers and or their representatives shall be able to openly communicate and share ideas and concerns with management regarding working conditions and management practices without fear of discrimination, reprisal, intimidation or harassment.

Labor Requirements

A7: FREEDOM OF ASSOCTATTON The rights of wcrkers to • Form and Jon tra& unions of them doosng • Bargan codectively • Engage n peaceful assembly • Workers Yall be able to q)enly commtnicnte and share grievances with managemdlt regardng ccnditms and managemait practkes without fear of reprisal. ntirni&atm Ynrassnmt

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[Audio] Next is Ethic element. To meet social responsibilities and to achieve success in the marketplace, Participants and their agents are to uphold the highest standards of ethics including business integrity, no improper advantage, disclosure of information, intellectual property, fair business, advertising and competition, protection of identity, responsible sourcing of minerals and privacy.

Responsible Business Alliance

l. 2. 3. 4. 5. 6. 7. 8. Business Integrity. No Improper Advantage (Inducements). Disclosure of Information. Intellectual Property. Fair Business, Advertising and Competition. Protection of Identity. Responsible Sourcing of Minerals Privacy

D. ETHICS stanchrds Of ntegrity are to n all ntg•actms Particoants a tokrance pdky to prcHxt any ond all forms of br&ry. canvtim. extcrtim and embezzlenmt. A1 basness &atlgs transparently performed and accurately reflected m Particirnnt's Enshes.s tms and rec.crds Mmitoring and Ulforcement procedures irnplernglted to ensw•e conviance with anti-corruptbn hws aco 1

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[Audio] Next is about Requirement D1. Its about Business Integrity. This requirement states that the highest standards of integrity are to be upheld in all business interactions. Participants shall have a zero-tolerance policy to prohibit any and all forms of bribery, corruption, extortion and embezzlement. Requirement D1. 1. This requirement state about the need to have adequate and effective policy and procedures to uphold the highest standards of integrity in all business interactions with a zero tolerance to any and all forms of bribery, corruption, extortion and embezzlement.

Ethics Requirements

D.1. Business Integrity

• Zero—tderance policy • Conflct of merest reporting groceüe • EnVoyee protectim

D1.1 . This requirement state about the need to have adequate and effective policy and procedures to uphold the highest standards of integrity in all business interactions with a zero tolerance to any and all forms of bribery, corruption, extortion and embezzlement.

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[Audio] Requirement D2 is about No Improper Advantage. Bribes or other means of obtaining undue or improper advantage are not to be promised, offered, authorized, given, or accepted. This prohibition covers promising, offering, authorizing, giving or accepting anything of value, either directly or indirectly through a third party, in order to obtain or retain business, direct business to any person, or otherwise gain an improper advantage. Monitoring, record keeping, and enforcement procedures shall be implemented to ensure compliance with anti-corruption laws. Requirement D2. 1 states that No identified risk or evidence of bribes or obtaining undue or improper advantage being promised, offered, authorized, given or accepted.

Ethics Requirements

D.2. No Improper Advantage

Ü2.1 Nb i&ntified rid( of bræs or cbtanng (ndue cr irng•orr advantage promised offered autmrized given accepted Approrriate nvestigatms and sanctms occur '...hen there is an alleged vaatioru • Pdky • Doaxrnuutaton • Investigative Fh«.ess • Traning • Flcnitcrng

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[Audio] Requirement D3 is about disclosure of Information. All business dealings should be transparently performed and accurately reflected on the Participant's business books and records. Information regarding participant's labor, health and safety, environmental practices, business activities, structure, financial situation, and performance is to be disclosed in accordance with applicable regulations and prevailing industry practices. Falsification of records or misrepresentation of conditions or practices in the supply chain are unacceptable. Requirement D3. 1 states that No identified risk or evidence of misreporting, record falsification, misrepresentation or evidence of communicating inaccurate information to the public

Ethics Requirements

D.3. Disclosure of Information

D31 Bb dU1tifed risk of misrepcrtng reccrd falsificntöru cr misrepresentatk:n steueo nnnn

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[Audio] Requirement 4. Its about Intellectual Property. Intellectual property rights are to be respected, transfer of technology and know-how is to be done in a manner that protects intellectual property rights, and customer and supplier information is to be safeguarded. Requirement D4. 1. There should be no identified risk or evidence of Intellectual Property or business information loss or unauthorized disclosure the Auditee's own and that of their customers or suppliers.

Ethics Requirements

D.4. Intellectual Property

DAI Bb i&ntified rid< of Intelecti.ol Prcv•ty busness nformatm loss unauthTized cisclosure (tFe Audtee's own and that of cu.stcyners/sur"ers). OBJ • O vsuosu«e

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[Audio] Requirement D5. Its about Fair Business, Advertising and Competition. This requirement states that Standards of fair business, advertising and competition are to be upheld. Requirement D5. 1 states that there should be No identified risk or evidence of non-conformance with fair business, advertising and competition standards

Ethics Requirements

D.5. Fair Business, Advertising and Competition

No identified risk or evidence of non-conformance with fair business, advertising and competition standards

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[Audio] Requirement D6 about Protection of Identity and Non-Retaliation. It's a programs that ensure the confidentiality, anonymity, and protection of supplier and employee whistleblowers2 are to be maintained, unless prohibited by law. Participants should have a communicated process for their personnel to be able to raise any concerns without fear of retaliation Requirement D6. 1 states that there should be No identified risk or evidence of retaliation or reduced protection of identity

Ethics Requirements

D.6. Protection of Identity and Non Retaliation

D6.1 states that there should be No identified risk or evidence of retaliation or reduced protection of identity

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[Audio] Requirement D7. Responsible Sourcing of Minerals. Participants shall have a policy to reasonably assure the tantanium, tin tangsten and gold in the products they manufacture does not directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the Democratic Republic of Congo or an adjoining country. Participants shall exercise due diligence on the source and chain of custody of these minerals and make their due diligence measures available to customers upon customer request. Requirement D7. 1 is about Responsible Sourcing of minerals. Adequate and effective Conflict Minerals policy and management program that is designed and implemented to reasonably assure that the tantalum, tin, tungsten and gold ( 3TG) in the products they manufacture are sourced in a way consistent with the OECD Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas ( OECD Due Diligence Guidance) or an equivalent and recognized due diligence framework.

Ethics Requirements

D7. Responsible Sourcing of Minerals

A7.1

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[Audio] Requirement D8. Its about Privacy. Under this requirement, Participants are to commit to protecting the reasonable privacy expectations of personal information of everyone they do business with, including suppliers, customers, consumers and employees. Participants are to comply with privacy and information security laws and regulatory requirements when personal information is collected, stored, processed, transmitted, and shared. Requirement D8. 1 states there should be No identified risk or evidence of unauthorized disclosure of personal information

Ethics Requirements

D8. Privacy

D71 kkntified risk Of unauth(Tized disclcmre Of rmscnal hfcrmatim. AlJfii0QI?EO COMFID&ÆflAt

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[Audio] Next element is MANAGEMENT SYSTEMS. Under this element, participants shall adopt or establish a management system with a scope that is related to the content of this Code. The management system shall be designed to ensure compliance with applicable laws, regulations and customer requirements related to the participant's operations and products; conformance with this Code and identification and mitigation of operational risks related to this Code. It should also facilitate continual improvement. The management system should contain the elements company commitment, Management accountability and responsibility, legal and customer requirement, risk assessment and risk management, improvement objectives, training, communication, worker feedback and participation, audits and assessment, corrective action process, documentation and records and supplier responsibility.

Responsible Business Alliance

About Management System Standard Requirements

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. Company Commitment. Management Accountability and Responsibility. Legal and customer requirements. Risk Assessment and Risk Management. Improvement Objectives. Training. Communication . Worker Feedback and Participation. Audits and Assessments. Corrective Action Process. Documentation and Records. Supplier Responsibility

E: Management Systems • Documented Pricy & Proceri-uses • Pec*e a.sSgned and traned to • Checkiug to see if are and makhg adjustments if not • A compré•ensive by management of overan effectiveness of tie system o *SER — Social. and Énvr•onm€ntal TIP. Tf a company gets its EHS and Labor management systems 3rd party certifed it makes it more Ikdy Hot it (_g&rstand to meet requiements sectm

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[Audio] Requirement E1 is about Company Commitment. Corporate social and environmental responsibility policy statements affirming Auditee's commitment to compliance and continual improvement, endorsed by Executive management and posted in the facility in the language of the workers or in a language the workers can understand. Requirement E1. 1 states that adequate and effective policies or codes are endorsed by executive management, covering Labor, Health & Safety, Environment and Ethics.

Management System Requirements

E.1. Company Commitment

E': Company Commitment Adequate and effective policies/Code(s) that are endorsed by executive management, covering: A) Labor B) Health & Safety C) Environment and D) Ethics LABOR RBA ETHICS SAFETY

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[Audio] Requirement E2 is about Management Accountability and Responsibility. The Participant should clearly identifies senior executive and company representatives responsible for ensuring implementation of the management systems and associated programs. Senior management reviews the status of the management systems on a regular basis Requirement E2. 1 states responsibilities and authorities are adequately and effectively defined and assigned for all employees or workers from senior managers to workers for implementation of management systems, and for compliance with laws, regulations and codes pertaining to Labor, Health & Safety, Environment and Ethics. Requirement E2. 2 states an adequate and effective management review and continuous improvement process for Labor, Health & Safety, Environment and Ethics performance and management systems are established

Management System Requirements

E.2. Management Accountability and Responsibility

E2.1 Responsibilities and authorities are adequately and effectively defined and assigned for all employees/workers (senior managers to workers) for implementation of management systems, and for compliance with laws, regulations and codes pertaining to A) Labor B) Health & Safety C) Environment and D) Ethics

E2.2: An adequate and effective management review and continuous improvement process for A) Labor B) Health & Safety C) Environment and D) Ethics performance and management systems are established. C DE TT evak•atim Of social envömmental and et}knl management system is most effective as part of company's overall Ensness reVew rrocess

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[Audio] Requirement E3 is about Legal and Customer Requirements. A process to identify, monitor and understand applicable laws, regulations and customer requirements, including the requirements of this Code. Requirement E3. 1 states an adequate and effective compliance process to monitor, identify, understand and ensure compliance with applicable laws and regulations and customer requirements pertaining to Labor, Health & Safety, Environment and Ethics is established

Management System Requirements

E.3. Legal and Customer Requirements

Legal & Customer Requirements

E3.1. An adequate and effective compliance process to monitor, identify, understand and ensure compliance with applicable laws and regulations and customer requirements pertaining to Labor, Health & Safety, Environment and Ethics is established

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[Audio] Requirement E4 is about Risk Assessment and Risk Management. A process to identify the legal compliance, environmental, health and safety and labor practice and ethics risks associated with Auditee's operations Determination of the relative significance for each risk and implementation of appropriate procedural and physical controls to control the identified risks and ensure regulatory compliance. Requirement E4. 1 states an adequate and effective risk management process to identify, assess, and minimize or mitigate or control its risks in the areas of Labor, Environment and Ethics is in place

Management System Requirements

E.4. Risk Assessment and Risk Management

u a Lua 6 euen luauussossv h.spu

E4.1. An adequate and effective risk management process to identify, assess, and minimize or mitigate or control its risks in the areas of Labor, Environment and Ethics is in place

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[Audio] Requirement E5 is about Improvement Objectives. It's a requirement about the need to have Written performance objectives, targets and implementation plans to improve the Participant's social, environmental, and health and safety performance, including a periodic assessment of Participant's performance in achieving those objectives Requirement E5. 1 states an adequate and effective performance management process for Labor, Health & Safety, and Ethics, including setting performance improvement objectives and targets, developing and implementing improvement plans, regularly reviewing progress toward achieving targets, and making appropriate adjustments if needed is in place

Management System Requirements

E.5. Improvement Objectives

Improvement

E5.1 An adequate and effective performance management process for A) Labor, B) Health & Safety, and D) Ethics, including setting performance (improvement) objectives and targets, developing and implementing improvement plans, regularly reviewing progress toward achieving targets, and making appropriate adjustments if needed is in place

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[Audio] Requirement E6 is about Training Programs for training managers and workers to implement Participant's policies, procedures and improvement objectives and to meet applicable legal and regulatory requirements. Requirement E6. 1 states an adequate and effective training process is established for all managers or workers on all policy or procedures or job related aspects and performance targets related to Labor, Health and Safety, Environment, and Ethics.

Management System Requirements

E.6. Training

E61 o&quate and effective trainng is estaHi.+Éd an monogcns/worV,ers all rdated ayects and (M*fmrnance targets rdoted to A) I-at" B) health ond Safety C) Envöcnment and D) E thks. • • Tranng needs Tranng Tronng cn Tronng

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[Audio] Requirement E7 is about communication. Communication Process for communicating clear and accurate information about Auditee's policies, practices, expectations and performance to workers, Suppliers and customers. Requirement E7. 1 states an adequate and effective worker or manager, Supplier and customer communication or reporting process for Labor, Environment, and Ethics policies, practices and performance is established.

Management System Requirements

E.7. Communication

E7.1 An adequate and effective worker/manager, supplier and customer communication/reporting process for A) Labor C) Environment and D) Ethics policies, practices, and performance is established. 00

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[Audio] Requirement E8 is about Worker Feedback, Participation. The Worker feedback, participation and Grievance Ongoing processes, including an effective grievance mechanism, to assess workers' understanding of and obtain feedback on or violations against practices and conditions covered by this Code and to foster continuous improvement. Workers must be given a safe environment to provide grievance and feedback without fear of reprisal or retaliation. Requirement E8. 1 states an adequate and effective grievance or complaint process where work related and Code related grievances or complaints without fear of reprisal or intimidation is established can be confidentially communicated. Requirement E8. 2 states an adequate and effective process to solicit and encourage worker participation, input and feedback for improvement

Management System Requirements

E.8. Workers Feedback and Participation

E8.1 An adequate and effective grievance/complaint process where work-related and Code-related grievances or complaints without fear of reprisal or intimidation is established can be confidentially communicated. CHECK 4 TTE •.•.orkers ta aucitor•s tiey t\ülk true-ss frem? TO Vith thS stoncbrd to yes'

E8.2 An adequate and effective process to solicit and encourage worker participation, input and feedback for improvement DTD ym Research wor*qers fed nvdved are mcre yuiactive. reman Imger. and oftm save comrnnies * "Effective" also means that comrnny basness makers this hformaticn prov&i by workers to improve SER AND b-&le.ss (Erformonce CHECK

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[Audio] Requirement E9. Audits and Assessments. Audits and Assessments Periodic self-evaluations to ensure conformity to legal and regulatory requirements, the content of the Code and customer contractual requirements related to social and environmental responsibility. Requirement E9. 1 states an adequate and effective self-audit process to periodically assess conformance with the RBA Code pertaining to Labor, Health & Safety, Environment and Ethics.

Management System Requirements

E.9. Audits and Assessments

E9.1 An adequate and effective self-audit process to periodically assess conformance with the RBA Code pertaining to : A) Labor B) Health & Safety C) Environment and D) Ethics. CHECK • Reviewng cbcunmts and reU*ds IntervQhg managers and •enkers Evaluatng emrioymg-tt rmctices • Tnspectng the workplace

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[Audio] Requirement E10 is about Corrective Action Process. Process for timely correction of deficiencies identified by internal or external assessments, inspections, investigations and reviews. Requirement E10. 1 states an adequate and effective corrective action process to rectify and close Non-conformances for A) Labor B) Health & Safety C) Environment and D) Ethics has to be established.

Management System Requirements

E.10. Corrective Action Process

CHECK Kit. CORRECTIVE ACTI(hJ PROCESS EISI Has an a&quate and effective c.orrective actms to recto and tybnconfcrmances with ETCC ildu&ig Oltified vh nternal external Au&ts assessments nspectms Wivesttgatms and reVews. cnverng A) B) hkolth & C) Envhmmmt and D) Et\ks TIP Comrnnk.s wot o VÆ meit need to submit o Ron (Cæ) to tte ETCC Arit Program nanoger (AR-I) Uld custonprs must •.•m v.åth tie to ver-fy dayr-e of any Ft&ity and with custmrs to of o c:bstre aucft at otter

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[Audio] Requirement E11 is about documentation and records. Documentation and Records Creation and maintenance of documents and records to ensure regulatory compliance and conformity to company requirements along with appropriate confidentiality to protect privacy. Requirement E11. 1 states adequate and effective documentation and records process with appropriate levels of access to ensure privacy for Labor, Health & Safety, Environment, and Ethics.

Management System Requirements

E.11. Documentation and Records

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[Audio] Requirement E12 is about Supplier Responsibility. Its refer to a process to communicate Code requirements to Suppliers and to monitor Supplier compliance to the Code. Requirement E12. 1 states on the requirement for the RBA Code requirements to be communicated to the next tier major Suppliers Requirement E12. 2 states on adequate and effective process to ensure that the Suppliers implement the RBA Code.

Management System Requirements

E.12. Supplier Responsibility

RBA

RBA