The Ethisphere Institute 2017 Ethics Quotient...

TheEthisphereInstitute2017EthicsQuotient®Questionnaire

Part1:IntroductionThankyouforelectingtoparticipateintheEthisphere®Institute’s2017EthicsQuotient®(EQ1)SurveyandWorld’sMostEthicalCompanies®(WME)evaluationprocess.

HowtoCompleteYour2017World’sMostEthicalCompaniesApplication

ParticipationintheWMEevaluationprocessconsistsofthreesteps.First,candidatesmustcompletethisSurvey.Second,candidatesarestronglyencouragedtosubmitdocumentationtocorroboratethesurveyanswersandsupporttheirapplications.Asdiscussedinmoredetailininformationlinkedtobelow,acrucialcomponentoftheevaluationprocessisEthisphere’sverificationofacandidate’sprogramthroughreviewofsupplementaldocumentation.Third,candidatesarerequiredtosubmitaWMEApplicationFee.Formoreinformationonthesesteps,pleasevisitthelinksprovidedbelow:

Informationonthetypesofdocumentstosubmitandhowtoorganizeandsubmitthemcanbefoundat:http://worldsmostethicalcompanies.ethisphere.com/wp-content/uploads/application-documentation-guidelines.pdf

InformationonhowtosubmityourWMEApplicationFeecanbefoundat:https://ethisphere.com/ethics-quotient-processing-fee/

InformationontheWMEselectionprocessandassessmentmethodologycanbefoundat:http://worldsmostethicalcompanies.ethisphere.com/scoring-methodology/

SurveyCompletionInstructions

ThisSurveyshouldbecompletedbyauthorizedindividual(s)withaworkingknowledgeoftheircompany’sprogramsandinitiativesintheareasofethicsandcompliance,corporategovernance,andcorporatecitizenshipandresponsibility.

Pleaseanswerallquestionstothebestofyourability.Whenconsideringpossibleresponses,pleasechoosetheanswerthatbestreflectsthecurrentstateofyourcompany’sprogram.Becauseeachcompanyisunique,andtheWMEprocessconsidersmultipletypesofcompaniesthroughouttheworld,pleasenotethatsomequestionsmaynotapplytoyourparticularcompany.Iftherearecertainquestionsforwhichyoufeeltheansweroptionsprovidedareinadequatetoreflectyourcompany’sprogram,please

1“Ethisphere”, “World’s Most Ethical Companies” and “Ethics Quotient” are registered trademarks of Ethisphere, LLC.

includefollowupinformationintheopen-endedcomments/feedbacksectionattheendofeachsectioninthesurveyorwiththesubmissionofsupportingdocumentation.

Youreceivedapersonalizedlinktothesurveyearlierviaemail.ThisURLservesasyourcompany’suniqueidentifier.Youmaystopandexitatanytimeduringthesurveyprocess,andresumeyourprogressbyfollowingthelinkagain.Youmaygobackandeditanyresponse.

Toavoidduplicatingoroverwritinginformation,itisstronglysuggestedthattheonlinesurveybecompletedbyasingleindividualatyourcompany.Oncethesurveyissubmitted,nofurthereditsmaybemade.

Ifyouhaveanyquestionsorexperiencetechnicaldifficulty,pleaseemailwmeapplications@ethisphere.com

HowtoUseThisPDF

ThisPDFisdesignedtoallowyoutoefficientlyprepareresponsesandcollectanyneededinformationfromotherstakeholderswithinthecompanybeforecompletingtheonlinesurvey.ItisstronglyrecommendedthatyouprepareanswerstoeachquestionusingthisPDFcopyoftheSurveyinadvanceofcompletingtheonlinesurvey.Doingsowillexpeditetheonlineprocess.

Furthermore,thisPDFdocumentprovidesadditionalcontextthatwillnotappearwheninteractingwiththeonlinesurvey.Pleasenotethefollowingtexthighlightsandwhattheyrepresent:

Textprovidedinabluehighlightsignifiesskiplogicthatmay,dependinguponhowaparticularquestionisanswered,affecttheappearanceofthatquestionorsubsequentquestionsinthemannerdescribed.ThismeansthatnotallquestionscontainedinthePDFwillbeincludedintheonlinesurveypresentedtoyourcompany.

Textprovidedinanorangehighlightidentifiesquestionsthatareneworhavebeenrevisedforthe2017EQSurvey

Textprovidedinagrayhighlightdescribestheuniqueanswertyperequiredforagivenquestion,suchasopen-endedtextornumericentry

AMicrosoftWordversionofthe2017EQSurveyisavailableuponrequest.

TermsandConditions

TypesofEligibleCompanies

Exceptasexplainedherein,anycompany,publicorprivate,for-profitornot-for-profit,U.S.orbasedoutsideoftheU.S.,iseligibletoparticipateintheEQprocessandtobeconsideredfordesignationasaWorld'sMostEthicalCompany.However,asEthisphere’sprocesshasevolved,Ethispherehascometotheconclusionthatitcannotsufficientlyevaluatenon-profitcollegesanduniversities,governments,governmentalagencies,andNGOs.Therefore,beginningwiththe2017process,organizationsinthesecategorieswillnotbeconsideredfortheWorld’sMostEthicalCompanyhonor.

Weencouragewideparticipationregardlessofwhetheracompanythinksthatitwillbehonored.AllcompaniesthatrespondtothesurveywillreceiveananalysisthatprovidestheiroverallEthicsQuotientandhowtheirresponsesineachofthefivecategoriesandtokeyquestionscomparetothosethatareeventuallynamedashonorees.Thevalueinparticipatingisinlearningnotonlyhowyourcompanycomparestothehonorees,butinbetterunderstandingwhat'strendinginleadingcompaniesandmoreabouttheirbestpractices.PrivacyandConfidentiality

IntheprocessofcompletingtheEQSurveyandprovidingsupportingdocumentationandexplanation,aWorld’sMostEthicalCompanynomineewillsupplyEthispherewithconfidentialandproprietaryinformation.Ethispherewilltakereasonablestepstomaintaintheconfidentialityofthisinformation.Ethispherewillonlyusetheconfidentialinformationsubmitted:(i)toprocessthenominee’ssubmission,includinggeneratingscores;(ii)toprovideascorecardandotheranalysistothenominee;(iii)todeterminewhetherthenomineewillbedesignatedaWMEcompany;(iv)foranyadditionalanalysisordiscussionthecompanymaywishtohavewithEthisphere;and(v)inanaggregatedandanonymizedfashionforbenchmarkingorothercomparativeoranalyticalpurposes(anyconfidentialinformationwillbeanonymizedandwillnotbeabletobeconnectedtotheparticipant).

EQscoresforidentifiedindividualcompaniesarenotmadepublic.Anyconfidentialinformationcontainedinsupplementaldocumentationsubmittedinsupportofthecompany’snominationwillbedestroyedwithintwoyearsafteritssubmission.Anymethodofconveyingsuchstoredinformation,e.g.,portableharddrives,willnotbereturnedtothenomineebutwillbedestroyed.NamesofcompaniesarenotreleasedandremainconfidentialexceptforthenamesofthoseactuallyselectedasWorld’sMostEthicalCompanies.

TotheextentthenomineesubmitsanypersonalinformationofitsemployeesorothersincompletingtheEQquestionnaireorotherwiseparticipatingintheWMEselectionprocess,Ethispherewillonlyusesuchpersonalinformationtoprocessorfollowuponthenominee’ssubmissionincludingtocontactthe

nomineeregardingtheWMEprocess,anyrelatedtopicsortodiscussorprovideEthisphereservices,events,orproducts.

2017WMELogo

ByparticipatingintheWMEselectionprocess,nomineeunderstandsandagreesthatifitshouldbeselectedtoEthisphere’s2017World’sMostEthicalCompanieslist,whilenomineemayusetexttoannounceandpublicizethehonor,itmustfollowEthisphere’spublishedBrandingandLogoUsageGuidelines,andthatanyuseofEthisphere’s2017WMElogoortheterm“World’sMostEthicalCompany”willbegovernedbyEthisphereLogoUseandBrandingGuidelinesandrelatedtermsandlicensefees.HonoreesmaynotdesigntheirownlogonordepartfromtheBrandingandLogoUseGuidelines.

Part2:CorporateDemographics2.1Pleaseprovideyourcontactinformationandthecompleteandformalnameofthecompanyforwhichyouarecompletingthissurvey:

• Companyname:• Yourfirstname:• Yourlastname:• Yourtitleorrole:• Youremailaddress:• Mailingaddress1:• Mailingaddress2:• City:• State:• Zip/Postalcode:• Country:• Phone(Pleaseincludecountrycodeprecededbya+signiflocatedoutsideofthe

UnitedStates):2.2PleaseprovidecontactinformationforapersonresponsibleforpublicrelationsormediacommunicationsforyourcompanywhocanserveasapointofcontactforEthisphereshouldyourcompanybeincludedontheWorld’sMostEthicalCompanieslist:

• Firstname:• Lastname:• Roleortitle:• Emailaddress:• Mailingaddress1:• Mailingaddress2:• City:• State:• Zip/Postalcode:• Country:• Phone(Pleaseincludecountrycodeprecededbya+signiflocatedoutsideofthe

UnitedStates):

2.3DataPrivacyConsentStatementYourparticipationinthissurveyisoptional.Yourcompany’sresponsesandanypersonalinformationwillbegathered,analyzed,usedandprotectedinaccordancewiththeconfidentialityprovisionsprovidedintheIntroductionsection.Select“Yes”ifyouconsenttosuchcollectionanduseofyourpersonalinformationandtobeginthesurveyor“No”ifyoudonotwishtoproceedwiththesurvey.m Yesm NoSkipLogic:If“No”IsSelectedforquestion2.3,therespondentwillexitthequestionnaire2.4Pleaseselectwhichtypeoforganizationyourepresent:m Publiccompanym Privatecompanym Non-profitornot-for-profitorganizationm Other(Pleasespecify)____________________2.5Pleaseselectyourcompany’sprimaryindustry.Ifyourcompanyhasoperationsacrossmultipleindustries,pleaseselectasecondaryand,ifnecessary,atertiaryindustry.Pleaserankindustriesbyrevenue(e.g.,primaryindustryisthelargestrevenuecomponentofyourorganization,secondaryisthesecondlargestrevenuesource).Atleastoneanswerisrequired

foryour“Primaryindustry”column,whileanswersinthe“SecondaryIndustry”and“TertiaryIndustry”areoptional.

PrimaryIndustry SecondaryIndustry TertiaryIndustry

Aerospace&Defense q q q

Automotive&Transportation q q q

Biotechnology q q q

BusinessServices q q q

Chemicals q q q

Computers q q q

Construction&RealEstate q q q

ConsumerProducts&Services q q q

Electronics q q q

Energy(Oil&Gas,Renewables) q q q

FinancialServices q q q

Food,Beverage&Agriculture q q q

HealthCare q q q

InformationTechnology q q q

Insurance q q q

Lodging,Leisure&Recreation q q q

Manufacturing q q q

Media,Music,Publishing&Broadcasting q q q

MedicalDevices q q q

Minerals&Mining q q q

Pharmaceuticals q q q

Retail q q q

Security q q q

Telecommunications q q q

Utilities q q q

Wholesale/Distribution q q q

Question2.5hasbeenupdatedfor2017toincludenewindustryselections

2.6Pleaseselecttheregionsinwhichyourcompanyhasoperationsortransactsbusiness:

LocationofHeadquarters

RegionwithOperations

RegionwhereBusinessisTransacted(e.g.,sales,suppliers,partnerships)

Africa q q q

Australia/NewZealand/PacificIslands q q q

Canada q q q

CentralAmericaandCaribbean q q q

Central/EasternEurope q q q

China q q q

India/Pakistan q q q

Japan q q q

MiddleEast q q q

Russia/CIS q q q

SouthAmerica q q q

SoutheastAsia q q q

UnitedStatesofAmerica q q q

WesternEurope q q q

Question2.6hasbeenupdatedfor2017toinclude“LocationofHeadquarters”option2.7Selectthetotalsizeofyourcompany'sworkforce:m Lessthan1,000employeesm 1,000–9,999employeesm 10,000–24,999employeesm 25,000–49,999employeesm 50,000–100,000employeesm Over100,000employees

2.8Selectyourorganization’stotalannualrevenueinU.S.dollars:

m Lessthan$500,000,000m $500,000,001–$1,000,000,000m $1,000,000,001–$5,000,000,000m $5,000,000,001-$10,000,000,000m $10,000,000,000-$25,000,000,000m $25,000,000,000-$50,000,000,000m $50,000,000,000-$75,000,000,000m Greaterthan$75,000,000,000Question2.8hasbeenupdatedfor2017toincludenewrevenueranges2.9ApproximatelywhatpercentageofitsannualrevenuedoesyourcompanyderivefrombusinesswiththeUnitedStatesfederalgovernment?m 0percentm 1-25percentm 26-50percentm 51-75percentm 75-100percentQuestion2.9isnewfor2017

Part3:CorporateGovernanceThissectionexaminestheavailabilityandqualityofsystemsdesignedtoensurestrongcorporategovernanceincludingoversight,governanceprinciplesandriskmanagement.Whenevaluatingacompany'sCorporateGovernance,company-specificfactorssuchasownershipstructurearetakenintoconsideration.Forpurposesofthissurvey,theterm“director(s)”shallrefertomember(s)ofyourcompany’sgoverningauthority,ifdifferentthanaBoard.3.1Whattypeofgoverningauthoritydoesyourcompanyhaveinplace?Pleasenote:anyreferenceto“othergoverningauthority”throughoutthisquestionnaireappliesONLYtocompaniesthatdonothaveaBoard.m BoardofDirectorsm BoardofTrusteesorGovernorsm BoardofAdvisorsm SupervisoryBoardm Partnership/Owners/Members(andnootherformalgoverningauthority)m MycompanydoesnothaveagoverningauthorityQuestion3.1hasbeenupdatedfor2017toincludenewansweroptionsSkipLogic:If“Mycompanydoesnothaveagoverningauthority”isselectedforquestion3.1,therespondentwillbedirectedtoquestion3.30SkipLogic:If“Partnership/Owners/Members(andnootherformalgoverningauthority)”isselectedforquestion3.1,therespondentwillbedirectedtoquestion3.153.2Howmanydirectorsonyourcompany’sBoardareindependent(i.e.,thedirectorhasnomaterialrelationshipwiththecompanyotherthanasadirector)?Question3.2hasbeenupdatedfor2017Thisquestionrequiresanumericresponse3.3Doesyourcompany’sBoardholdannualelectionsforalldirectors?m Yesm No

3.4Whichofthefollowingdescribesyourcompany’sBoardattendanceduringthepriortwo-yearperiod?m Alldirectorsattendedatleast75percentofBoardandcommitteemeetingsfortheperiod

forwhichtheyservedm Onedirectordidnotattendatleast75percentofhisorherBoardandcommitteemeetings

fortheperiodforwhichtheyservedm Morethanonedirectordidnotattendatleast75percentofhisorherBoardandcommittee

meetingsfortheperiodforwhichtheyservedm Myorganizationdoesnottracktheattendanceofdirectors3.5Howoftendooneormoreofyourcompany’sindependentdirectorsmeetwithyourcompany’svariousstakeholders?

QuarterlyThree

timesperyear

Twotimesper

yearAnnually Ad

hoc Never Notapplicable

Institutionalinvestors q q q q q q q

Retailshareholders(orotheractiveshareholders) q q q q q q q

Marketanalysts q q q q q q q

Priorityorganizationalclientsorthirdparties(suchaskeysuppliers,jointventure

partners)

q q q q q q q

Regulators q q q q q q q

Question3.5hasbeenupdatedfor2017toclarifythequestion3.6Doesyourcompanyrequireconflictofinterestcertificationsand/ordisclosures(separatefromaCodeofBusinessConductacknowledgement)fromindependentdirectors?m Yesm Nom No,butwedorequireacertificationtofollowourCode(oraBoardspecificCode)andthe

certificationspecificallyincludeslanguage(inadditiontoanyincludedintheCode)regardingconflictofinterestcertificationsand/ordisclosures

Question3.6isnewfor2017SkipLogic:Question3.6willonlybepresentediftheanswertoquestion3.2isanumbergreaterthanzero.

3.7HowfrequentlydoesyourcompanyconductperformanceevaluationsoftheBoard,committeesoftheBoard,and/orindividualdirectors?

Annually Everytwoyears

Everythreeyears

Everyfourormoreyears Adhoc

Wedonotconduct

evaluations

FullBoard q q q q q q

CommitteesoftheBoard q q q q q q

IndividualDirectors q q q q q q

3.8PleaseselectthefollowingthatbestdescribestheprocessforconductingperformanceevaluationsfortheentireBoard.m Theperformancereviewisconductedinternallywithnoexternalassistancem Theperformancereviewisconductedinternallyusinganoutsideresourceortool(e.g.,an

onlinesurveytool)m Theperformancereviewisconductedbyaconsultingfirm(orotherthird-partyexternalto

thecompany)m AperformancereviewisnotcurrentlyconductedQuestion3.8hasbeenupdatedfor2017SkipLogic:If“Wedonotconductevaluations”isselectedfor“FullBoard”inquestion3.7,therespondentwillnotbepresentedquestion3.83.9PleaseselectthefollowingthatbestdescribestheprocessforconductingperformanceevaluationsforcommitteesoftheBoard.m Theperformancereviewisconductedinternallywithnoexternalassistancem Theperformancereviewisconductedinternallyusinganoutsideresourceortool(e.g.,an

thecompany)m AperformancereviewisnotcurrentlyconductedQuestion3.9hasbeenupdatedfor2017SkipLogic:If“Wedonotconductevaluations”isselectedfor“CommitteesoftheBoard”inquestion3.7,therespondentwillnotbepresentedquestion3.9

3.10Pleaseselectthefollowingthatbestdescribestheprocessforconductingperformanceevaluationsforindividualdirectors.m Theperformancereviewisconductedinternallywithnoexternalassistancem Theperformancereviewisconductedinternallyusinganoutsideresourceortool(e.g.,an

thecompany)m AperformancereviewisnotcurrentlyconductedQuestion3.10hasbeenupdatedfor2017SkipLogic:If“Wedonotconductevaluations”isselectedfor“IndividualDirectors”inquestion3.7,therespondentwillnotbepresentedquestion3.103.11Pleasedescribetheoutsideresourceortoolusedforconductingperformancereviewsnotedinthepriorquestion(s).Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponseSkipLogic:Question3.11willonlybepresentediftheanswerchoice“Theperformancereviewisconductedinternallyusinganoutsideresourceortool(e.g.,anonlinesurveytool)”isselectedineitherquestion3.8,3.9,or3.103.12Whichinternalcompanyresourcesareinvolvedinconductingyourcompany’sperformanceevaluationsofitsBoard,itscommitteesand/orindividualdirectors?Pleaseselectallthatapply.q TheChairoftheNominatingorGovernanceCommitteeq TheGeneralCounselq TheCorporateSecretaryq TheChairoftheBoardorLeadDirectorq Other(Pleasespecify)____________________SkipLogic:Question3.12willonlybepresentedif“Theperformancereviewisconductedinternallywithnoexternalassistance”OR“Theperformancereviewisconductedinternallyusinganoutsideresourceortool(e.g.,anonlinesurveytool)”isselectedineitherquestion3.8,3.9or3.10

3.13Selectthefollowingthatdescribestheconsultingfirm(orotherthird-party)usedtoconductyourcompany’sperformanceevaluationsofitsBoard,itscommitteeand/orindividualdirectors:m Theperformanceevaluationsareconductedbyanexternalconsultingfirm(orotherthird-

party)withnoothertiestotheBoardorseniorleadershipm Theperformanceevaluationsareconductedbyanexternalconsultingfirm(orotherthird-

party)withwhichtheBoardorseniorleadershipworksonotherinitiativesm Other(Pleasespecify)____________________SkipLogic:Question3.13willonlybepresentediftheanswerchoice“Theperformancereviewisconductedbyaconsultingfirm(orotherthird-partyexternaltothecompany)”isselectedineitherquestion3.8,3.9,or3.103.14WhichofthefollowingbestreflectsyourcurrentBoardleadership?m TheCEOandChairrolesareheldbydifferentindividualsandtheChairisanindependent

directorm TheCEOandChairrolesareheldbydifferentindividualsbuttheChairisnotanindependent

directorm TheCEOandChairrolesareheldbythesameperson,butwehavealeadindependent

directorm TheCEOandChairrolesareheldbythesameperson,andwedonothavealead

independentdirectorQuestion3.14isnewfor2017SkipLogic:Question3.14willonlybepresentediftheanswertoquestion3.2isanumbergreaterthanzero.3.15HowmanydirectorssitonyourBoardorgoverningauthority?Forpurposesofthisquestion,theterm“director(s)”shallrefertomember(s)ofyourcompany’sgoverningauthorityifdifferentthanaBoard.ThisquestionrequiresanumericresponseQuestion3.15isnewfor20173.16Howmanydirectorsonyourcompany’sBoardorgoverningauthorityarewomen?Forpurposesofthisquestion,theterm“director(s)”shallrefertomember(s)ofyourcompany’sgoverningauthorityifdifferentthanaBoard.ThisquestionrequiresanumericresponseQuestion3.16hasbeenupdatedfor2017

3.17EthispherebelievesthatdiversityattheBoardorothergoverningauthoritylevelisanimportantaspectofeffectivegovernance.Diversityisaconceptthatisdifficulttosimplydefineormeasure,especiallyinaquestionnairecompletedbycompanieslocatedaroundtheworld.Forthisreason,explainanydiversity,asyourcompanydefinesit,amongthedirectorsonyourBoardorothergoverningauthority.PleaseexcludeadiscussionofgenderwithintheBoardorothergoverningauthority,asthatinformationiscapturedinaseparatequestion.Forpurposesofthisquestion,theterm“director(s)”shallrefertomember(s)ofyourcompany’sgoverningauthorityifdifferentthanaBoard.Pleaselimityourexplanationtonomorethan500characters.ThisquestionrequiresatextresponseQuestion3.17isnewfor20173.18HowmanyC-suitelevelemployees(e.g.,thehighestrankingmemberofmanagement,suchastheCEOorPresident,andhisorherdirectreports,excludingadministrativestaff)areinyourcompany?ThisquestionrequiresanumericresponseQuestion3.18isnewfor20173.19HowmanyC-suitelevelemployees(i.e.,CEOorPresidentandhisorherdirectreports,excludingadministrativestaff)inyourcompanyarewomen?ThisquestionrequiresanumericresponseQuestion3.19isnewfor20173.20Ethispherebelievesthatdiversityattheexecutivelevelisanimportantaspectofeffectiveleadership.Diversityisaconceptthatisdifficulttosimplydefineormeasure,especiallyinaquestionnairecompletedbycompanieslocatedaroundtheworld.Forthisreason,explainanydiversity,asyourcompanydefinesit,amongtheC-suiteorexecutiveleadershiplevel(i.e.,CEOorPresidentandhisorherdirectreports,excludingadministrativestaff).Pleaseexcludeadiscussionofgenderrolesattheexecutivelevel,asthatinformationiscapturedinaseparatequestion.Pleaselimityourexplanationtonomorethan500characters.ThisquestionrequiresatextresponseQuestion3.20isnewfor2017

3.21WhattenurelimitingmechanismsdoesyourcompanyusetocontrolwhichindependentdirectorsareonitsBoard?Pleaseselectallthatapply.q Agelimitsq Termlimitsq LimitationsonthenumberofotherBoardsamembermayserveonq Directorsmustsubmitresignationiftheiremploymentorprofessionalstatuschangesq Other(Pleasespecify)____________________q OurcompanydoesnothaveanytenurelimitingmechanismsSkipLogic:Question3.21willonlybepresentedif“BoardofDirectors”,“BoardofTrusteesorGovernors”,“BoardofAdvisors”or“SupervisoryBoard”isselectedforquestion3.1ANDtheanswertoquestion3.2isanumbergreaterthanzero.3.22Selectthecriticalrolesuccessionplan(s)yourcompany’sBoardorgoverningauthorityhasinplace.Pleaseselectallthatapply.

Identifiedhighpotentialinternalcandidatesforpotentialsuccessionandformalplaninplace

Identifiedhighpotentialinternalcandidatesfor

potentialsuccessionbutnoformalplan

Noboardinvolvementin

identificationofhighpotentialinternal

candidates

CEO q q q

GeneralCounsel q q q

ChiefFinancialOfficer q q q

ChiefInternalAuditor q q q

Question3.22isnewfor20173.23DoesyourcompanyprovideaversionofitsCodeofConducttotheBoardorothergoverningauthority?m Yes,theBoardorothergoverningauthorityreceivesourcompany'sCodeofConductm Yes,theBoardorothergoverningauthorityreceivesaversionoftheCodeofConduct

specifictotheconductoftheBoardorgoverningauthority(i.e.aBoardCodeofConduct)m No,ourcompanydoesnotprovidetheCodetotheBoard3.24Inthepasttwoyears,hasyourcompany'sBoardorothergoverningauthorityreceivedformaltrainingoneitherthecompany’sCodeofConductorBoard-specificversionoftheCode

ofConduct?Forpurposesofthisquestion,theterm“director(s)”shallrefertomember(s)ofyourcompany’sgoverningauthorityifdifferentthanaBoard.m Yes,DirectorsreceivethesameCodeofConducttrainingasemployeesm Yes,butDirectorsreceiveaBoard-specificversionofCodeofConducttrainingm No,DirectorsdonotreceiveCodeofConducttraining3.25Indicatewhichtopicsdirectorsonyourcompany’sBoardorgoverningauthorityreceiveeducationortrainingon(separatefromCodetraining)andwhentheyreceivesaidtrainingoreducation.Notethatthistrainingneednotbedeliveredbytheethicsandcompliancefunction.Thecontextofthisquestionistounderstandtrainingdeliveredfortworeasons:(i)tounderstandatopicorrisksufficientlytoperformtheBoard’sorgoverningauthority’soversightrole;and(ii)toeducatedirectorsoncompanypoliciesregardingrisksapplicabletothe

directors.Forpurposesofthisquestion,theterm“director(s)”shallrefertomember(s)ofyourcompany’sgoverningauthorityifdifferentthanaBoard.Pleaseselectallthatapply.

Aspartofon-boardingororientation

Educationortrainingontopicincludedaspartof

complianceprogramupdates

Aspartofdocumented,

periodictraininginitiatives

Anti-trustandcompetitionlaw q q q

Anti-briberyoranti-corruptionlaw q q q

Company’spolicies/proceduresregardingprotectingconfidentialinformation q q q

Company’spolicies/proceduresregardingconflictsofinterest q q q

ExecutiveCompensationTrendsandDevelopments q q q

Fiduciaryduty q q q

Company’spolicies/proceduresregardinggiftsandentertainment q q q

Regulationsortrendsregardingpreventinghumantrafficking,slavery,indentured

servitudeorforcedlaborq q q

Risksorregulationsregardinginformationsecurity/cybersecurity q q q

Company’spolicies/proceduresregardinginsidertrading q q q

Privacyregulations q q q

Trendsandrisksregardingtheneedtoprotectthosewhoreportsuspected

misconductq q q

Trendsandrisksregardingsocialmedia q q q

Updatesonindustryoreconomictrendsorrisks q q q

Updatesonsignificantregulatorychanges q q q

Othertrainingtopic(Pleasespecify) q q q

Question3.25hasbeenupdatedfor2017

3.26Whichofthefollowingpracticesdoesyourcompanyusetoexposeindependentdirectorstothecompany’soperationsandrisks?Pleaseselectallthatapply.q AtleastonceayearwevarythephysicallocationofformalBoardorgoverningauthority

meetingstolocationsotherthanourprimaryheadquarterstoincludelocationswhereourcompanyhasbusinessfunctions,units,subsidiariesand/orfieldoperations

q Aspartofouronboardingprocesswerequireindependentdirectorstovisitcompanylocationsotherthanourprimaryheadquarters(thismayincludewhereourcompanyhasbusinessfunctions,units,subsidiariesand/orfieldoperations)

q SeparatefromformalBoardorgoverningauthoritymeetingsorduringonboarding,werequireindependentdirectorstoperiodicallyvisitcompanylocationsotherthanourprimaryheadquarters(thismayincludewhereourcompanyhasbusinessfunctions,units,subsidiariesand/orfieldoperations)

q SeparatefromformalBoardorgoverningauthoritymeetings,weencourageorfacilitateindependentdirectorstovisitcompanylocationsotherthanourprimaryheadquarters(thismayincludewhereourcompanyhasbusinessfunctions,units,subsidiariesand/orfieldoperations)

q Weencourageandfacilitateindependentdirectorstovisitcompanylocationsotherthanourprimaryheadquarters(thismayincludewhereourcompanyhasbusinessfunctions,units,subsidiariesand/orfieldoperations)byprovidingthemwithkeys,keycardsoraccesscodestophysicallyaccesscompanylocationsotherthanourprimaryheadquarters

q Weencourageandfacilitateindependentdirectorstovisitcompanylocationsotherthanourprimaryheadquarters(thismayincludewhereourcompanyhasbusinessfunctions,units,subsidiariesand/orfieldoperations)byprovidingthemwithofficespacetousewhenvisitinganycompanylocations(thisisseparatefromspaceprovidedtopreparefororattendformalBoardorgoverningauthoritymeetings)

q Wedonothavebusinessfunction,units,subsidiariesorfieldoperationsinanylocationsotherthanourprimaryheadquarters

q NoneoftheaboveQuestion3.26isnewfor2017SkipLogic:Question3.26willonlybepresentediftheanswertoquestion3.2isanumbergreaterthanzero.

3.27Selectthefollowingregardingyourcompany’sannualshareholdermeeting.Pleaseselectallthatapply.q Alldirectorsofourcompany’sBoardarerequiredtoattendthecompany’sannual

shareholdermeetingq Independentdirectorsareencouragedtoattendthecompany’sannualshareholder

meeting,butitisnotarequirementq Oneormoreoftheindependentdirectorsofourcompany’sBoardmakesthemselves

availableforquestionsfromshareholdersatthecompany’sannualshareholdermeetingq Notapplicable,asourCompanydoesnothaveshareholdermeetingsq NoneoftheaboveQuestion3.27hasbeenupdatedfor2017SkipLogic:Question3.27willonlybepresentedif“BoardofDirectors”,“BoardofTrusteesorGovernors”,“BoardofAdvisors”or“SupervisoryBoard”isselectedforquestion3.13.28Canlong-termshareholderssubmittheirownindependentdirectorcandidatesforconsiderationonthecompany’sproxycard(commonlyknownas“proxyaccess”)?Pleaseselectallthatapply.q Yes,agroupofshareholdersowningmorethan3%ofcompanysharesforsomespecified

lengthoftimecannominateindependentdirectorswhosenameswillappearoncompanyproxyballots

q Yes,agroupofshareholdersowningmorethan5%ofcompanysharesforsomespecifiedlengthoftimecannominateindependentdirectorswhosenameswillappearoncompanyproxyballots

q Yes,butthegroupofshareholdersaggregatingtheirsharestosatisfytheownershippercentagerequirementmaynotconsistofmorethantenshareholders

q Yes,butthegroupofshareholdersaggregatingtheirsharestosatisfytheownershippercentagerequirementmaynotconsistofmorethantwentyshareholders

q No,shareholderswishingtonominatetheirowndirectorsmaynotaccessthecompany’sballot

Question3.28isnewfor2017SkipLogic:Question3.28willonlybepresentediftheanswertoquestion2.4is“Publiccompany”3.29BecauseyourcompanydoesnothaveaBoard,pleasedescribethestructureofyourcompany’sgoverningauthorityandanypracticesyourcompanyhastoallowtheauthoritytoprovideoversightoverthemanagementofyourcompany:Thisquestionrequestsanopen-endedtextresponse

SkipLogic:Question3.29willonlybepresentediftheanswertoquestion3.1is“Partnership/Owners/Members(andnootherformalgoverningauthority)”3.30Becauseyourcompanydoesnothaveagoverningauthority,pleasedescribeyourcompany’sstructureandwhatprocessesorpracticesexisttoprovideoversightofmanagementortooverseethecompany’scomplianceandethicsfunction:Thisquestionrequestsanopen-endedtextresponseSkipLogic:Question3.30willonlybepresentediftheanswertoquestion3.1is“Mycompanydoesnothaveagoverningauthority”3.31Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany'sGovernanceprogramyoubelievesupportsyourquestionnaireanswers.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse

Part4:Compliance&EthicsProgramTheCompliance&EthicsProgramsectionmeasuresyourcompany’sprogramacrossthe“hallmarks”ofaneffectivecomplianceandethicsprogramasoutlinedbytheFederalSentencingGuidelines,andbestpracticesincluding:

• Programstructure,responsibilityandresources• Programoversightandthetoneatthetop• Writtenstandards,includingpoliciesandprocedures• Riskassessmentandmanagement• Training,awarenessandcommunication• Duecare• Detection,monitoringandauditing,includingmeasurementofculture• Enforcementanddiscipline

Part4A:ProgramStructure,Oversight,ResponsibilityandResources4A.1Specifyalljobtitlesheldbythepersonassignedoverallownershipofthecomplianceandethicsprogram.Pleaseselectallthatapply.q ChiefComplianceand/orEthicsOfficerq ChiefExecutiveOfficerq ChiefHumanResourcesOfficerq ChiefRiskOfficerq GeneralCounselorChiefLegalOfficerq Complianceand/orEthicsOfficerq Executive,Senior,orVicePresident(orsimilarlevel)q Director(orsimilarlevel)q Manager(orsimilarlevel)q Other(Pleasespecify)____________________q ThereisnopersonassignedoverallresponsibilityforthecomplianceandethicsprogramQuestion4A.1hasbeenupdatedfor2017

4A.2Brieflydescribehowthecomplianceandethicsfunctionisstructured,includingreportinghierarchyandaccesstotheBoardorothergoverningauthority.Pleaselimityourresponsetonomorethan1,000characters.Thisquestionrequestsanopen-endedtextresponse4A.3Whatpercentageofhisorhertimedoesthepersonassignedoverallresponsibilityforthecomplianceandethicsprogramdedicatetothatrole?m 0-50percentm 51-75percentm 76-90percentm 91-100percent4A.4GiventhepersonassignedoverallresponsibilityforthecomplianceandethicsprogramisalsotheGeneralCounseland/ordedicateslessthan90percentoftheirtimetothecomplianceandethicsrole,isthereapersoninadditiontothepersonwithoverallauthoritywhoisassignedday-to-dayoperationalresponsibilityforthecomplianceandethicsprogram?m Yesm NoQuestion4A.4isnewfor2017SkipLogic:Question4A.4willonlybepresentediftheanswertoquestion4A.1is“GeneralCounselorChiefLegalOfficer”ORiftheanswertoquestion4A.3is“0-50percent”,“51-75percent”,or“76-90percent”4A.5WhenthepersonwithoverallresponsibilityforthecomplianceandethicsprogramcommunicateswiththeBoard,aBoardcommittee,orothergoverningauthorityregardingthecomplianceandethicsprogram,isthepersonwhoisassignedday-to-dayoperationalresponsibilityforthecomplianceandethicsprogramgenerallypresent?m Yesm NoSkipLogic:Question4A.5willonlybepresentediftheanswertoquestion4A.4is“Yes”

4A.6Towhomdoesthepersonwithoverallresponsibilityforthecomplianceandethicsprogramadministrativelyormanageriallyreport?m BoardofDirectors,acommitteeoftheBoard,orothergoverningauthoritym ChairpersonoftheBoardCommitteedirectlyoverseeingtheEthicsandCompliancefunctionm ChiefExecutiveOfficerm GeneralCounselorChiefLegalOfficerm ChiefFinancialOfficerm ChiefAdministrativeOfficerm ChiefRiskOfficerm ChairpersonoftheBoard(ifnotalsotheChiefExecutiveOfficer)m Other(Pleasespecify)____________________4A.7IsthereaformalpolicyorprocessrequiringthattheBoard,acommitteeoftheBoard,orothergoverningauthoritybenotifiedorapprovebeforethepersonwhohasbeenassignedoverallresponsibilityforthecomplianceandethicsprogramisterminated?m Yes,notificationisrequiredbeforeterminationm Yes,notificationandapprovalisrequiredbeforeterminationm No,terminationmayoccurwithoutBoardnotification4A.8Whoconductstheannualperformancereviewofthepersonassignedoverallresponsibilityforthecomplianceandethicsprogram?m TheBoard(orothergoverningauthority)and/ortheBoardcommitteethathasoversightof

complianceandethicsm Thedirectmanager(ifotherthantheBoardorothergoverningauthority)m Thedirectmanager(ifotherthantheBoardorothergoverningauthority)withinputfrom

theentireBoardorothergoverningauthoritym Thedirectmanager(ifotherthantheBoardorothergoverningauthority)withinputfrom

theBoardcommitteethathasoversightofcomplianceandethics

4A.9Whomakescompensationdecisionsforthepersonassignedoverallresponsibilityforthecomplianceandethicsprogram?m TheBoard(orothergoverningauthority)and/ortheBoardcommitteethathasoversightof

complianceandethicsm Thedirectmanager(ifotherthantheBoardorothergoverningauthority)m Thedirectmanager(ifotherthantheBoardorothergoverningauthority)withinputfrom

theentireBoardorothergoverningauthoritym Thedirectmanager(ifotherthantheBoardorothergoverningauthority)withinputfrom

theBoardcommitteethathasoversightofcomplianceandethics4A.10Identifywhichofthefollowingauthorities,ifany,aregrantedtothecomplianceandethicsfunction.Pleaseselectallthatapply.Notethatforthisquestion,answerscontainingtheterm“significantinput/role”refertotheabilitytoinfluencedecisionsandvoiceconcernswiththecorrespondingfunctionbeforedecisionsaremade.q Abilitytoauthorand/orrecommendnewbusinessconductpoliciesq AbilitytorevisetheCodeofEthicsandBusinessConduct(withBoardapprovalifrequired)q Primarybudgetresponsibilityforallcomplianceandethicsprogramsq Primaryhiringauthorityforallpositionsinthecomplianceandethicsfunctionq Inputonotherhiring/firingdecisionsregardingpositionsofauthoritywhichmayaffect

complianceandethicsfunctions(e.g.,Audit,Finance,HR)q Finalapprovalauthorityforfieldcomplianceoperations/initiativesq Significantinput/roleintheprocessfororganizationalstrategicbusinessdevelopment

decisionssuchasmergersandacquisitions,newmarketentry,expansion,businesspartnerships/alliancesandjointventures

q Significantinput/roleinproductorservicesdecisionssuchasproductorservicesdevelopment,launch,ordiscontinuation

q Significantinput/roleinproduct/suppliersourcingstrategy,includingsupply-chainduediligenceandoversight

Question4A.10hasbeenupdatedfor2017

4A.11Selectthetypesofinteractionsthecomplianceandethicsfunctionhaswithotherfunctionalgroupsinyourcompany.Pleaseselectallthatapply.q Invited/allowedtodesignauditsandreceiveauditresultsq Invited/allowedtoattendHRtrainingeventsq Invited/allowedtoaddcomplianceand/orethicsquestionstoemployeesurveysq Invited/allowedtimeinsales/marketingmeetings(excludingethicsorcompliancetraining)

toeducateontherelevanceoftheethicsandcomplianceprogramasacompetitiveadvantage

q Invited/allowedtoprovideformalinputoncorporatebusinessstrategyq Invited/askedtositonasteeringcommittee(pleasespecifythetypeandnatureofthis

committee)____________________Question4A.11hasbeenupdatedfor20174A.12Doesyourcompanyhaveemployeeslocatedwithinvariousbusinessregionsorbusinessunitswhoformallyserveascomplianceandethicspointsofcontactforcompliancerelatedneeds,suchasreceivingreportsofmisconduct?Forclarification,theseemployeesmayhaveotherprimaryresponsibilities,buttheirjobdescriptionincludesservingasacomplianceandethicspointofcontactorregionalliaison.m Yesm Nom Notapplicable,asourcompanydoesnotconductbusinessinmultipleregionsorlacks

multiplebusinessunits4A.13HowoftendoesthepersonwithoverallresponsibilityforthecomplianceandethicsprogramnormallycommunicatewiththeBoard,aBoardcommittee,orothergoverningauthority?IfthispersoncommunicateswithboththefullBoardaswellaswithaBoardcommitteewithvariousfrequencies,pleaseselectthemostfrequentscenario.m Regularlyscheduled,moreoftenthanquarterlym Regularlyscheduled,quarterlym Regularlyscheduled,threetimesperyearm Regularlyscheduled,twiceperyearm Regularlyscheduled,annuallym Adhoconly;asneededm Never

4A.14Indicatewhichinformation,ifany,yourcompanyreportstotheBoardand/orBoardcommittee,orothergoverningauthority.Pleaseselectallthatapply.q Overallcomplianceandethicsprogramperformanceq Overviewofkeyinitiativesq Hotlineandmisconductreportingstatisticsq Detailsonmisconductinvestigationsandresolutionsq Complianceandethicstraininginitiativesandresultsq Complianceandethicscommunicationinitiativesq Complianceandethicsprogramaudit,assessmentand/orbenchmarkingfindingsq Complianceandethicsriskassessmentfindingsq Complianceandethicsriskmitigationstrategyandtacticsq Privacyriskassessmentandresultsq Initiativesandupdatesrelatingtothecompany’splantoensurethesecurityofits

informationassets(hereafterreferredtoasthe“InformationSecurityProgram”)q Cultureofethicsassessmentorsurveyfindingsq Significantregulatoryandlegalupdatesq Complianceandethicstrends,industrytrends,andbestpracticesupdatesq CodeofConductupdatesorrevisionsq Other,uniqueinformationisreportedtotheBoardand/orBoardcommittee(pleasespecify)

____________________4A.15Doesyourcompanyhaveaninternalcommitteededicatedtocomplianceandethics?m Yesm NoSkipLogic:If“No”isselectedforquestion4A.15,therespondentwillbedirectedtoquestion4A.194A.16Whichofthefollowingappliestoyourinternalcomplianceandethicscommittee?Pleaseselectallthatapply.q Executive-levelcommittee(C-Suite)q Manager-levelcommitteeq Cross-functionalcommitteeq Committeehasacharterorwrittenguidelinesq Noneoftheabove

4A.17Howoftendoestheinternalcomplianceandethicscommitteemeet?m Regularlyscheduled,moreoftenthanquarterlym Regularlyscheduled,quarterlym Regularlyscheduled,threetimesperyearm Regularlyscheduled,twotimesperyearm Regularlyscheduled,annuallym Adhoconly,asneeded4A.18Indicatewhichtopicsareregularlydiscussedduringtheinternalcomplianceandethicscommitteemeetings.Pleaseselectallthatapply.q Overallprogramperformanceandkeyprograminitiativesq Hotlineandreportingstatisticsq Misconductinvestigationsandresolutionsq Complianceandethicstrainingandcommunicationinitiativesq Complianceandethicsprogramassessmentq Complianceandethicsprogrambenchmarkingagainstpracticesofothercompaniesq Complianceandethicsriskmanagementq Cultureofethicsq Significantregulatoryandlegalupdatesq Informationsecurityq Privacyriskmanagementq Industrytrendsandbestpracticesupdatesq Othertopics(Pleasespecify)____________________Question4A.18hasbeenupdatedfor20174A.19Whatistheapproximatenumberoffull-timeemployee("FTE")equivalentsdedicatedtocomplianceandethicsfunction/activitiesthroughoutyourcompany?Thisquestionrequiresanumericresponse

4A.20Whataretheapproximateannualcosts(inU.S.dollars)incurredbycomplianceandethicsrelatedactivitieswithinyourcompany?Pleaseexcludeanyspendingincurredonoutsidecounsel.m Lessthan$50,000m $50,000-$149,999m $150,000-$249,999m $250,000-$499,999m $500,000-$999,999m $1,000,000-$4,999,999m $5,000,000-$9,999,999m Greaterthan$10,000,0004A.21Pleaseselectthetopthreecomplianceandethicsprogram-relatedexpenseitemsforyourcompanyinorderoflargestsourceofspendtosmallestsourceofspend.Pleaseselectoneanswerpercolumn.

LargestSourceofSpend

SecondLargestSourceofSpend

ThirdLargestSourceofSpend

Complianceandethicspersonnel(salaries,benefits,etc.) q q q

Businesscontrols q q q

Informationsystems q q q

Compliancetraining q q q

Incidentreportinghotlinesandresources q q q

Communications-relatedexpenses(e.g.,Toolkits,newsletters,publications) q q q

Consultants,otherthanoutsidecounsel q q q

Outsidecounsel q q q

Compliance-relatedfines,penalties,anddamages q q q

Information,data,andsubscriptionservices q q q

Associationormembershipfees q q q

Other(Pleasespecify) q q q

Part4B:DueCare4B.1Selectthefollowingthatdescribesyourcompany’seffortstoensurethatindividualsinleadershippositions(or“positionsoftrust”)havenotengagedinillegalactivitiesorothermisconduct.(Notethatforthisandthefollowingquestionsregardingbackgroundchecks,theterm“backgroundcheck/s”referstoresearchconductedbythirdparties.Exceptwherespecificallyreferenced,thesechecksdonotincludethoseagainstdebarmentorexclusionlists).Pleaseselectallthatapply.q Ourcompanyconductsbackgroundchecksonallemployees(wherepermittedbylaw)q Ourcompanydoesnotconductbackgroundchecksonanyemployeesq Ourcompanyconductsbackgroundchecksonsomeemployees(wherepermittedbylaw)q Ourcompanyconductsbackgroundchecksonallindependentdirectors(wherepermitted

bylaw)q Ourcompanyconductschecksonallemployeesagainstdebarmentorexclusionlistsq NoneoftheaboveQuestion4B.1hasbeenupdatedfor20174B.2Indicatewhichbusinessfunctionsrequireabackgroundcheck.Pleaseselectallthatapply.q Personnelwithcomplianceorethicsresponsibilitiesand/orfunctionsq PersonnelwithintheHumanResourcesfunctionq PersonnelwithintheFinanceand/orAccountingfunctionq KeypersonnelwithintheProcurementfunctionq PersonnelwithintheInternalAuditfunctionq PersonnelwithintheInformationTechnologyfunctionq PersonnelwithintheCorporateSecurityfunctionq NoneoftheaboveSkipLogic:Question4B.2willonlybepresentediftheanswertoquestion4B.1is“Ourcompanyconductsbackgroundchecksonsomeemployees(wherepermittedbylaw)”

4B.3Indicatewhenbackgroundchecksaregenerallyperformed.Pleaseselectallthatapply.q Hiringq Uponpromotionintocertainbusinessrolesorpositionsq Annuallyq Everytwotofouryearsq Everyfiveormoreyearsq NoneoftheaboveQuestion4B.3hasbeenupdatedfor20174B.4Doesyourcompanyrequireconflictofinterestcertificationsand/ordisclosures(separatefromaCodeofBusinessConductacknowledgement)fromemployees?m Yes,forallemployeesm Yes,butonlyforemployeesatcertainsenioritylevelsorwithincertainbusinessfunctionsm Nom No,butwedorequireallemployeestocertifythattheywillfollowourCodeandthe

certificationspecificallyincludeslanguage(inadditiontoanyincludedintheCode)regardingdisclosingoravoidingconflictsofinterest

m No,butwedorequiresomeemployeestocertifythattheywillfollowourCodeandthecertificationspecificallyincludeslanguage(inadditiontoanyincludedintheCode)regardingdisclosingoravoidingconflictsofinterest

Question4B.4hasbeenupdatedfor20174B.5Howfrequentlydoesyourcompanyrequiretheconflictsofinterestacknowledgmentand/ordisclosurediscussedinthepreviousquestion(4B.4)?Pleaseselectallthatapply.m Uponjoiningthecompanym Annuallym Everytwoyearsm Everythreeyearsm Adhocbasism Priortoclosinganysignificanttransaction,deal,oragreementQuestion4B.5hasbeenupdatedfor2017SkipLogic:Question4B.5willonlybepresentediftheanswertoquestion4B.4iseither“Yes,forallemployees”,“Yes,butonlyforemployeesatcertainsenioritylevelsorwithincertainbusinessfunctions”,“No,butwedorequireallemployeestocertifythattheywillfollowourCodeandthecertificationspecificallyincludeslanguage(inadditiontoanyincludedintheCode)regardingdisclosingoravoidingconflictsofinterest”OR“No,butwedorequiresomeemployeestocertify

thattheywillfollowourCodeandthecertificationspecificallyincludeslanguage(inadditiontoanyincludedintheCode)regardingdisclosingoravoidingconflictsofinterest”

Part4C:WrittenStandards,IncludingPoliciesandProcedures4C.1Doesyourcompanymaintainastand-alone,company-widewrittenCodeofEthicsandBusinessConduct(“Code”)?m Yes,andtheCodeispubliclyavailablem Yes,andtheCodeisnotpubliclyavailablem NoSkipLogic:If“No”isselectedforquestion4C.1,therespondentwillbedirectedtoquestion4C.54C.2IsthereawrittenrequirementdocumentingthefrequencywithwhichtheCodeisreviewedtodeterminewhetheranupdateisneeded?m Yesm No,thisisnotformallydocumentedQuestion4C.2hasbeenupdatedfor20174C.3DoesyourcompanytranslatetheCodeintomultiplelanguages?m Yes,wetranslatetheCodeintoalllanguagesnecessarytotrainourcompany’semployee

basem No,ourcompany’semployeebasespeaksoneprimarylanguageandtheCodeisalreadyin

thatlanguagem No,ourcompanydoesnottranslatetheCode4C.4HowistheCodedocumentcommunicatedtoemployees?Pleaseselectallthatapply.q Byemailasalinkorattachmentq Hardcopyaspartofonboardingororientationprocessq Hardcopymailedtoemployeesq Madeavailableon-demandonthecompanyintranet(e.g.,SharePoint)q MadeavailableduringCodetraining(i.e.,alinktooracopyoftheCodeprovided)q Pushedouttoemployeesviaamobileapp.orotherdynamiclinkQuestion4C.4hasbeenupdatedfor2017

4C.5Selectwhichwrittenpoliciesyourcompanyhasinplace(separatefromtheCode)thataddressthefollowingriskareas.Pleaseselectallthatapply.q Anticorruption/briberyq Antitrust/competitionq Confidentialinformation(e.g.,employees,company,customers,clientsand/orconsumers)q Conflictmineralsq Conflictsofinterestq Dataprivacy(e.g.,employees,customersand/orconsumers)q Environmentalprotectionq Equalemploymentopportunity/diversity/discriminationq Fairdealing(fairbusinesspractices)q Fairemployment/laborstandardsq Financialintegrityandfraudq Giftsandentertainmentq Humantraffickingq Informationsecurityq Insidertradingq Intellectualpropertyq Misconductinvestigationsq Moneylaunderingq Non-retaliationq Policymanagementq Politicalcontributions,activitiesandlobbyingq Procurementintegrity/dealingwithsuppliers/supplychainoversightq Protectingcompanyassetsq Recordsmanagementandretentionq Socialmediaq Workplaceharassmentq WorkplacehealthandsafetyQuestion4C.5hasbeenupdatedfor2017

4C.6Howareethicsandcompliancepoliciesgenerallydistributedthroughoutyourcompany?Pleaseselectallthatapply.q Basedonrisk,somepolicies(otherthantheCode)aresentatleastannuallyviaemail,either

asattachmentsorasalinktodownloadablefile(s)q Allpoliciesareprovidedonanintranetsiteorportalthatisaccessibleacrosstheentire

enterpriseq Basedonrisk,somepoliciesareprovidedinhardcopyatleastannuallytothoseemployees

withoutcomputerorinternetaccessq Policiesaretranslatedintoalllanguagesnecessarytoeducateourcompany’semployee

baseontheapplicableriskortopicq Hyperlinkstopolicies(separatefromtheCode)areincludedwithinsomeofourtrainingq Policies(separatefromtheCode)areprovidedaspartoftrainingq Ourpoliciesaredistributedinauniquefashion(Pleasespecify)____________________Question4C.6hasbeenupdatedfor20174C.7Howdoesyourcompanyupdateandassignownershipofitsethicsandcompliancepolicies?Pleaseselectallthatapply.q Policiesareupdatedasneeded(e.g.,inresponsetochangesinregulationorbusiness

climate)q Policiesarereviewedandupdatedasneededonaformalschedule(e.g.,annually)q Policiesareassignedownerswhoareprimarilyresponsibleforcontentupdatesq Thereisacommitteethatreviewsnewpoliciesorproposedupdatestoexistingpoliciesand

approvesthemasappropriateq Ourcompanyupdatespolicies/assignspolicyownershipinanotherway(pleasespecify)

____________________Question4C.7hasbeenupdatedfor20174C.8Howareyourethicsandcompliancepoliciesstoredacrossthecompany?m Policiesarestoredacrossvarioussites,locations,and/orplatforms,withoutacentralized

catalogordatabasem Policiesarestoredinacentralizedenterprise-widedatabasem Policiesarestoredinacentralizedenterprise-widedatabasethatinterfaceswithother

informationsources(e.g.,regulatorydatabase,riskassessmentplatform,and/orcasemanagementorreportingsystems)

m Ourcompanyusesanotherstorage/managementsystem(pleasespecify)____________________

4C.9Whichofthefollowingusesofintellectualpropertyareexplicitlycoveredinyouremployeepolicies(includingintheCode)?Pleaseselectallthatapply.q Useofcounterfeitgoodsorcomponentsinanyaspectofyourcompany’sbusiness

operationsq Useofunlicensedorunauthorizedtrademarksinyourcompany’sproductsorservicesq Useofothers’registeredorprotecteddesignswithoutauthorizationq Patents,includingtheuseofothers’patentedinventionswithoutauthorizationq Unauthorizeduseofcopyrightedmaterial,includinguseofothercompanies’contentonthe

company’scomputersq Unauthorizeduseofsoftware,includingdownloadingofsoftwareforpersonaluseon

companycomputersq Unauthorizeduseofyourcompany’sownproprietaryinformationandtradesecretsq Useofthirdparties’(includingformeremployers’)proprietaryinformationandtradesecretsq Disclosureanduseofconfidentialandproprietaryinformationonlyona“needtoknow”

basisandotherrestrictiveterms4C.10Doesyourcompanymaintainathirdparty(e.g.,supplier,agent,intermediary,reseller)CodeofConduct?m Yesm No

Part4D:ComplianceandEthicsRiskAssessmentandManagement4D.1Doesyourcompanyassesscomplianceandethicsrisk?m Yesm NoSkipLogic:If“No”isselectedforquestion4D.1,therespondentwillbedirectedtoquestion4D.84D.2Brieflydescribeyourcompany’scomplianceandethicsriskassessmentmethodology.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponseQuestion4D.2isnewfor20174D.3Pleaseselectthefollowingthatbestdescribesyourcompany’scomplianceandriskassessmentprocess:m Ourcomplianceandethicsriskassessmentispartofabroader,company-widerisk

assessmentm Ourcomplianceandethicsriskassessmentisitsowndistinctprocess4D.4Whichbestdescribeshowoftenyourcompanyconductsformalriskassessmentstodeterminecompliance,regulatoryandethics-relatedrisks?m Annuallym Everytwoyearsm Everythreeyearsm Everyfouryearsm Everyfiveyearsm Lessoftenthaneveryfiveyearsm Onanadhocbasis

4D.5Whichofthefollowingtypesofrisksarereviewedbyyourcompany?Pleaseselectallthatapply.

AspartofastandaloneE&CRisk

Assessment

AspartofanERMprocesswithsignificantinvolvementoftheE&C

function

AspartofanERMriskassessmentwithout

significantinvolvementoftheE&CFunction

Anticorruption/bribery q q q

Antitrust/competition q q q

Confidentialinformation q q q

Conflictsofinterest q q q

Dataprivacylawsandregulationsrelevanttoemployee,customer,orconsumerdata q q q

Equalemploymentopportunity/diversity/discrimination q q q

Fairdealing(fairbusinesspractices) q q q

Fairemployment/laborstandards q q q

Financialintegrityandfraud q q q

Giftsandentertainment q q q

Humantrafficking q q q

Informationtechnologysecurity q q q

Insidertrading q q q

Intellectualproperty q q q

Misuseofcompanyassets q q q

Moneylaundering q q q

Non-retaliationpolicyand/orwhistleblowerprotections q q q

Politicalcontributions,activitiesandlobbying q q q

Procurementintegrity/dealingwithsupplier/supplychainoversight q q q

Recordsmanagementandretention q q q

Socialmedia q q q

Workplaceharassment q q q

Workplacehealthandsafety q q q

Question4D.5hasbeenupdatedfor2017

4D.6Whatdoesyourcompanyconsiderwhenassessingcomplianceandethicsrisks?Pleaseselectallthatapply.q Recentlypassedregulationsq Trends,ordevelopmentsinthecomplianceandethicsfield(e.g.,legaldecisions,regulatory

actions,settlements,and/orfines)q Perceivedrisksbypeerorganizationsq Significantchangestothebusiness(e.g.,geographicfootprint,acquisitions)q Adequacyofcurrentpolicies,procedures,andcontrolsq Employeefocusgroupsq Employeeinterviewsq Employeesurveysandassessments(e.g.,engagementsurveyorculturesurvey)q Investigationresultsandrootcauseanalysisq Hotlinereportingstatistics/trendsq Usagestatisticsforcomplianceresources(e.g.,clickmetricsonintranetpostings,openrates

forlinksincommunicationmaterials,downloadsofmanagertoolkits)q Auditreportsforcompliance-relatedauditsq Focusgroupsofmanagementq Interviewsofmanagementq Other(Pleasespecify)____________________Question4D.6hasbeenupdatedfor20174D.7Selectthefollowingthatdescribeshowyourcompanyusesthefindingsfromtheassessmentofcomplianceandethicsrisks.Pleaseselectallthatapply.q Toreviseourcompany'spolicies(otherthantheCode)q Toreviseourcompany'sCodeq Toreviseourcompany'sproceduresq Toupdateourcompany'strainingorthetrainingplanq Toupdateourcompany'scommunicationsorthecommunicationplanq Toreviseourcompany'sannualauditplan(InternalAuditorother)q Otheruses(Pleasespecify)____________________

4D.8Selectthefollowingthatareincludedinyourcompany’sInformationSecurityProgram.NotethattheInformationSecurityProgrammayconsistofmorethanonedocumentorpolicy.Pleaseselectallthatapplyq Anuptodate(currenttowithinthepreviousyear)documentedinventoryofthecompany’s

actualinformationcollection,use,storage,sharing,protectionanddisposalpracticesq Documentationofhowthecompanyassessesprivacyordatasecurityrisk(i.e.,theprocess

forconductingariskassessment)q Documentationoflawsandregulationsapplyingtothecompany’sinformationcollection,

use,storage,sharing,protection,retentionanddisposalpracticesq Documentationofthecompany’spotentialprivacyordatasecurityrisks(i.e.,theresultsof

theriskassessment)q Documentationofprocessesorprocedurestomitigatethecompany’spotentialdata

securityrisksq DocumentedmanagementoversightandapprovaloftheInformationSecurityProgramq Documentedregularmonitoringandtestingofthecompany’ssystemsq Documentedbusinesscontinuitymanagementplanq Documentedincidentresponseplanq Documentedproceduresorrequirementsforselectingthirdpartiesthatstore,process,

transmitoraccesssensitiveinformationonbehalfofthecompanyq Documentedproceduresorrequirementsforduediligenceintoandcontractuallanguage

requirementsthatwillberequiredforengagementswiththirdpartiesthatstore,process,transmitoraccesssensitiveinformationonbehalfofthecompany

q Documentedpolicyastohowandwhendatastoragedevicessuchasflashdrivesmaybeused

q Documentedpolicyastohowandwhendatawillbedestroyedq Encryptionofsensitivedatastoredonalllaptopsq Encryptionofsensitivedatastoredonflashdrivesq Useofdatalosspreventiontools(i.e.,anautomatedmechanismtopreventsensitive

informationfrombeingmovedfromyoursystem)q Useofintrusionpreventionsystemsq BoardapprovalfortheInformationSecurityProgramq Anindividualdesignatedasthecompany’ssecurityofficerq Anindividualdesignatedasthecompany’sprivacyofficerq Anemployeecertificationprocessrelatedtotheamountoftrainingeachemployeehas

completedaspartoftheinformationsecuritytrainingprogram

4D.9Whichofthefollowingapplytohowyourcompanymanagesitsexposuretohumantraffickingrisk?Pleaseselectallthatapply.q Ourcompanymaintainsacommunicationsprogrampromotingazero-tolerancepolicy

prohibitinghumantraffickingandtrafficking-relatedactivitiesandtheconsequencesshouldemployeesviolatethisprohibition

q OurcompanymaintainsacommunicationsprogramthatinformsemployeesofthehotlinephonenumberoftheGlobalHumanTraffickinghotlineat1-844-888-FREEand/oritse-mailaddressathelp@befree.org

q Ourcompanymaintainsarecruitingplanthatpermitsonlytheuseofrecruitingcompanieswithtrainedemployees

q Ourcompanymaintainsarecruitingplanorpolicythatprohibitschargingemployeesrecruitmentfees

q Ourcompanymaintainsarecruitingplanorpolicythatrequireswagesmeetapplicablehost-countryrequirementsorexplainsanyvariance

q Ourcompanymaintainsahousingplanthatmeetsthehost-countryhousingandsafetystandards,ifnecessarytoprovideorarrangeemployeehousing

q Ourcompanymaintainsaprocedurepreventingallagentsandsubcontractorsfromengagingintraffickinginpersonsandrequiresthatourcompanyterminatesanyagents,subcontractors,orsubcontractoremployeesthathaveengagedinhumantrafficking-relatedactivities

q Ourcompanyusesother,uniqueeffortstopreventhumantrafficking(Pleasespecify)____________________

q Ourcompanyoroursupplychainhavealimited,non-materialexposuretohumantraffickingrisk

Part4E:ComplianceandEthicsTraining,AwarenessandCommunicationQ4E.1Doesyourcompanyprovidecomplianceandethicstrainingtoitsworkforce?m Yesm NoSkipLogic:If“No”isselectedforquestion4E.1,therespondentwillbedirectedtoquestion4E.15Q4E.2Doesyourcompanyhaveaformallydocumentedcomplianceandethicstrainingcurriculumorplan?m Yesm NoSkipLogic:If“No”isselectedforquestion4E.2,therespondentwillbedirectedtoquestion4E.5Q4E.3Selectthefollowingthatapplytoyourcompany’scomplianceandethicstrainingcurriculumorplan.Pleaseselectallthatapply.q Ourcompany'splanappliestotrainingdeliveredduringon-boardingororientationq Ourcompany’splanmapsouttargetedandvariedtrainingtobedeliveredovermultiple

yearsq Ourcompany'strainingplanappliesonlytotrainingtobedeliveredduringtheupcoming

yearq Ourcompany’strainingplanisaproductofcross-functionalcollaborationq Ourcompany’strainingplanincludestargetcompletionratesq Ourcompany’strainingplanaddressestrainingfrequencybytopicq Ourcompany’strainingplanaddressesmodalityoftrainingdeliveryforeachtopicand/or

audienceq Ourcompany’strainingplanincludesatrainingrolloutscheduleq Ourcompany’strainingplanincludesmetricstomeasureeffectiveness(otherthantraining

completionrates)q Other(Pleasespecify)____________________Question4E.3hasbeenupdatedfor2017

Q4E.4Howdoesyourcomplianceandethicstrainingcurriculumorplandefinetargetaudiences?Pleaseselectallthatapply.q Ourplandefinestargettrainingaudiencesbyemployeejoblevelq Ourplandefinestargettrainingaudiencesbyemployeetenureq Ourplandefinestargettrainingaudiencesbyemployeefunctionq Ourplandefinestargettrainingaudiencesbyemployeebusinessunitq Ourplandefinestargettrainingaudiencesbyemployeelocationorgeographyq Ourplandefinestargettrainingaudiencesbymisconducttrendsq Ourplandefinestargettrainingaudiencesbyanotheruniquecharacteristic(pleasespecify)

____________________Question4E.4hasbeenupdatedfor2017Q4E.5Whatpercentageofyourcompany’sworkforcehascompletedtrainingontheCodeintheprevioustwoyears?m 96-100percentm 90-95percentm 80-89percentm 70-79percentm 50-69percentm 30-49percentm Lessthan30percentm Notsurem OurcompanydoesnotprovidetrainingonourCodeQ4E.6Indicatehowyourcompanyadministersthefollowingtargeted,risk-specifictrainingprogramstoemployeesinadditiontoorinsteadofdedicatedCodeofConducttraining.Please

selectallthatapply,andleaveblankanyriskareaortopicforwhichyourcompanydoesnotprovidetraining.

Trainingdeliveredasynchronously(i.e,on-demand)usingonlineordigital

modalities

Trainingdeliveredsynchronously(i.e.,live)usingonlineordigitalmodalities

Trainingdeliveredsynchronously(i.e.,live)usingin-persontrainingsessions

Anticorruption/bribery q q q

Antitrust/competition q q q

Companyassets q q q

Confidentialinformation q q q

Conflictsofinterest q q q

Dataprivacylawsandregulationsrelevanttoemployee,customer,orconsumerdata q q q

Equalemploymentopportunity/diversity/discrimination q q q

Fairdealing(fairbusinesspractices) q q q

Fairemployment/laborstandards q q q

Financialintegrityandfraud q q q

Giftsandentertainment q q q

Humantrafficking q q q

Informationtechnologysecurity q q q

Insidertrading q q q

Intellectualproperty q q q

Moneylaundering q q q

Non-retaliationpolicyand/orwhistleblowerprotections q q q

Politicalcontributions,activitiesandlobbying q q q

Procurementintegrity/dealingwithsupplier/supplychainoversight q q q

Recordsmanagementandretention q q q

Socialmedia q q q

Workplaceharassment q q q

Workplacehealthandsafety q q q

Question4E.6hasbeenupdatedfor2017

4E.7Doesyourcompanyprovidetargetedtrainingtoemployeesinhigherriskareasonhowtorecognizecorruptionredflagsandwhattodoaboutthem?Higherriskareasmayincludefinance,accounting,salesandprocurement,andanyotheremployeeswhointeractwithgovernmentofficials,agents,orwiththirdpartiesthatinteractwithgovernmentofficialsoragents.m Yesm No4E.8Whichofthefollowingcompliance-andethics-relatedtrainingpractices,ifany,doesyourcompanyutilize?Pleaseselectallthatapply.q Preteststoassessbaselineknowledgeandassignindividualcurriculumorcourse(s)

accordinglyq Preteststoprovideemployeesanopportunityto“testout”oftrainingq Progressivecoursedifficultybasedonemployeejobresponsibilitiesq Progressivecoursedifficultybasedonemployeetenureq Allowingemployeestoselectorself-directthetopicscoveredinacertainamountoftheir

requiredtrainingq NoneoftheaboveQuestion4E.8hasbeenupdatedfor20174E.9Howdoesyourcompanyencourageorenforcecompletionofcompliance-andethics-relatedtraining?Pleaseselectallthatapply.q Completionoftrainingisfactoredintoperformanceevaluationsq Completionoftrainingisfactoredintoraiseand/orbonusdecisionsq Departmentheadsorbusinessunitleadersareheldaccountableforcompletionratesof

theirdepartmentorunit,withformalconsequencesadministeredforleadersthatfailtoachievedesiredcompletiontargets(e.g.,negativeperformancerevieworreductioninbonusplan)

q Managersareheldaccountableforcompletionratesofdirectreports,withformalconsequencesadministeredtomanagersthatfailtoachievedesiredcompletiontargets(e.g.,negativeperformancerevieworreductioninbonusplan)

q Directreminderemail(s)periodicallydeliveredtoparticipantswithoutstandingtrainingobligations

q Directlatenoticeemail(s)deliveredtoparticipantsthatfailedtocompletethetraininginthedesiredtimeframe

q Otherencouragementorenforcementtechniques(Pleasespecify)____________________

4E.10Doesyourcompanyprovidetargetedtrainingtomanagers(i.e.,employeeswithsupervisoryresponsibility)ontheirspecialresponsibilitieswithregardstocomplianceandethics?Notethatthistrainingcannotbelimitedsolelytomanagertrainingregardingsexualharassmentasrequiredinspecificjurisdictions.m Yes,toallmanagersm Yes,morethanhalfofmanagersreceivemanager-specificcomplianceandethicstrainingm Yes,fewerthanhalfofmanagersreceivemanager-specificcomplianceandethicstrainingm NoSkipLogic:If“No”isselectedforquestion4E.10,therespondentwillbedirectedtoquestion4E.14Question4E.10hasbeenupdatedfor2017toprovideclarification4E.11Selectthefollowingthatappliestothemanagertrainingoncomplianceandethics.Pleaseselectallthatapply.q Conductedasapartofnewmanagerorientation(eitherfornewhiresorpromotions)q Conductedonaperiodicbasis,atleasteverytwoyearsq Contentisreviewedandrefreshedperiodically,atleasteverytwoyearsq Trackedforcompletionratesq Includestestingthatmeasuresmanagertrainingknowledgecomprehensionq Testingresultsaretrackedandmaintainedq Completionoftrainingisapartofamanager'sperformanceevaluationq Completionismandatoryforallmanagerswithdirectreportsq Noneoftheabove4E.12Selectthefollowingtopicsthatareaddressedbythemanagertrainingoncomplianceandethics.Pleaseselectallthatapply.q Effectivelycommunicatingethicstosubordinatesq Promotingacultureofcomplianceandethicsq Incorporatingethicsinbusinessdecisionmakingq Encouragingemployeestospeakup,expressconcerns,andreportmisconductq Handlingemployeereportsorconcernsq Identifyingandpreventingretaliationq Creatingandmaintaininganopendoorenvironmentq Conductingemploymentinterviewsq Othertopics(Pleasespecify)____________________

4E.13Howismanager-specifictrainingoncomplianceandethicsdeliveredwithinyourorganization?Pleaseselectallthatapply.q Managertrainingisdeliveredasynchronously(i.e.,on-demand)usingonlineordigital

modalitiesq Managertrainingisdeliveredsynchronously(i.e.,live)usingonlineordigitalmodalitiesq Managertrainingisdeliveredsynchronously(i.e.,live)usingin-persontrainingsessionsQuestion4E.13isnewfor20174E.14Identifywhichofthefollowingmethodsyouutilizetomeasuretheeffectivenessofyourcompliancetraining.Pleaseselectallthatapply.q Comprehensiontestsdeliveredimmediatelyfollowingtrainingq Cultureofethicsemployeeassessments(atleasteverytwoyears)q Documentedemployeeormanagerfeedback,collectedthroughinterviews,surveys,or

focusgroupsafterrolloutq Employeeknowledgeassessmentsorsurveys,performedatleastannuallyandseparately

fromtrainingq Documentedemployeeormanagerfeedbackwhentrainingisbeingdevelopedorbeforeit

isformallyrolledoutq Trackingmisconducttrendsq Trackingreportingfrequencyagainsttrainingrollouttimingq Trackingfrequencyofpolicy/code/resourcedownloadsfromtheethicsintranetsiteor

portalinthecontextofwhentrainingisadministeredq Othermethods(pleasespecify)____________________q NoneoftheaboveQuestion4E.14hasbeenupdatedfor20174E.15Doesyourcomplianceandethicsfunctionmaintainadocumentedcomplianceandethicscommunicationplan?m Yesm NoSkipLogic:If“No”isselectedforquestion4E.15,therespondentwillbedirectedtoquestion4E.18

4E.16Selectthefollowingthatapplytoyourcompany’scomplianceandethicscommunicationsplan.Pleaseselectallthatapply.q Addressescommunicationinitiativesonlyfortheupcomingyearq Addressescommunicationinitiativesacrossmultipleyearsq Developedthroughcross-functionalcollaborationq Includesaroll-outscheduleq Addressescommunicationfrequencyq Addressescommunicationdeliverymechanismforeachtopicoraudienceq Callsforimplementationbydifferentfunctionsorbusinessunits(e.g.,Compliance,HR,

Finance,Sales)q Usesmessagedeliverybydifferentleaders(e.g.,CEO,ChiefComplianceOfficer,Headsof

otherfunctionsand/orbusinessunits,othermanagers,etc.)q Includesmetricstomeasureeffectivenessq Noneoftheabove4E.17Howdoesyourcomplianceandethicscommunicationsplandefineitstargetaudiences?Pleaseselectallthatapply.q Ourplantargetscommunicationsaccordingtoemployeejoblevelq Ourplantargetscommunicationsaccordingtoemployeetenureq Ourplantargetscommunicationsaccordingtoemployeefunctionq Ourplantargetscommunicationsaccordingtoemployeebusinessunitq Ourplantargetscommunicationsaccordingtoemployeelocationorgeographyq Ourplantargetscommunicationsaccordingtoanotheruniquecharacteristic(pleasespecify)

____________________

4E.18Whichcommunicationmodalities(asidefromformaltrainingprograms)doesyourcompanyusetocommunicatecomplianceand/orethicsmessageswithinyourcompany?Pleaseselectallthatapply.q Companye-Bulletin/newsletterq Printedand/orelectronicinformationmaterials(suchasbrochures,guidebooks,posters,

walletcards,tabletentsand/orchecklists)q Video/dedicatedinternalTVchannelq Emailsq Podcastsq Townhallmeetingsq Periodic,company-widekick-offmeetingsq Seniorexecutives’meetingsq Intranetportaldedicatedtocomplianceandethicsq Ethicsblogorintranetforumq Interactivescenarios,games,quizzesand/orvignettesq Periodiccompliance"roadshow"orsitevisitbycomplianceq Ethics-relatedpromotional/merchandisingitemsq Company-wideinitiativesorprograms(e.g.,"ComplianceMonth,""EthicsEverywhere")q Mobile-friendlymaterial(optimizedformobileusage)q Dedicatedmobileapplicationforphonesand/ortabletsq Facebook,Twitter,orothersocialmediaplatformsq Othercommunicationmodalities(Pleasespecify)____________________q NoneoftheaboveQuestion4E.18hasbeenupdatedfor2017

4E.19Selectthefollowingcomplianceandethicscommunicationresources,ifany,thatyourcompanyprovidestomanagers/supervisorsinordertohelpthempromotecomplianceandethicswithinthecompany.Pleaseselectallthatapply.q Complianceandethicscommunicationtoolkit(s)ormeetings-in-a-box(e.g.,suggestionsof

topicstodiscuss,speakingguides,presentationmaterials)q Emailtemplatesfromthecomplianceandethicsfunctionspecificallycreatedformanagers

todisseminateamongemployeesq Flyers,posters,orothervisualmaterialsspecificallycreatedformanagerstodisseminate

amongemployeesq Regularlyscheduleddiscussiontimewithcomplianceandethicspersonnel(e.g.,brownbag

lunches,seminars,orcomplianceandethicsteamroadshow)q Toolsandresourcesforrecognizingorincentivizingdirectreportsthatexhibitethical

conductorpromotethecomplianceprogramq Videos,onlinevignettes,orothereducationalmultimediaresourcesq Research,whitepapers,orcuratednewsreportsoncomplianceandethicsissuesspecifically

directedatmanagersq Regularlyscheduledtimeatmanager-levelmeetingstodiscusscomplianceandethics

subjectsq Otherresources(Pleasespecify)____________________4E.20Selectwhichtypesofcommunicationinvolvingseniorexecutivesoutsidethecompliancefunction,suchastheCEO,areusedtodiscusscomplianceandethicswithinyourcompany.Pleaseselectallthatapply.q PersonalizedletterofintroductiontothewrittenCodeofConductq Personalizedintroductiontocomplianceandethicstrainingq Emailstotheworkforceq Onboardingvideoq Intranetsitevideoq Podcastq Townhall,annualkick-offorothercompany-widemeetingsleadbyseniorleadershipq Internalmeetingsinvolvingseniorleadershipq InteractiveQ&Aforum,chatfunctionalityq Complianceandethicsblogbymember(s)ofseniorleadershipq Newsletterq Intracompanysocialcommunicationplatforms(e.g.,Chatter,Yammer,Slack)q Othertypesofcommunication(Pleasespecify)____________________Question4E.20hasbeenupdatedfor2017

4E.21Doseniorexecutiveleadersincludeexamplesofethicaldecisionstheyhavefacedintheircommunicationmaterials?m Yesm No4E.22Doesthecomplianceandethicsfunctionincludeexamplesofrealworldethicalorcompliancedilemmasorissuesintheircommunicationmaterials?Pleaseselectallthatapply.q Yes,weusethingsthathavehappenedwithinourorganization(withorwithoutdetails

omittedtopreserveanonymity)q Yes,weusethingsthathavehappenedoutsideourorganization(i.e.,inthenewsoratpeer

companies)q NoQuestion4E.22hasbeenupdatedfor2017

Part4F:Detection,MonitoringandAuditing4F.1Doesyourcompanyuseamisconductreportingsystem(e.g.,internalreportingmechanisms,dedicatedemailaddress,orinternalorthird-partymaintainedhotlines)?m Yes,butreportingindividualsarenotgiventheoptiontoremainanonymousm Yes,andreportingindividualsaregiventheoptiontoremainanonymouswhereallowedby

applicablelawm No,ourcompanydoesnotuseamisconductreportingsystemSkipLogic:If“Yes,butreportingindividualsarenotgiventheoptiontoremainanonymous”OR“No,ourcompanydoesnotuseamisconductreportingsystem”isselectedforquestion4F.1,therespondentwillbedirectedtoquestion4F.34F.2Forlocationswhereanonymousreportingispermittedbylaw,approximatelywhatpercentageofhotlinereportsreceivedareanonymous?Pleaseusethemostrecentfullyears’worthofhotlinedataavailable.______ApproximatepercentageofhotlinereportsthatwereanonymousThisquestionrequiresanumericresponseQuestion4F.2hasbeenupdatedfor20174F.3Doesyourcompanyhaveasystemortooltomanagereportsandsubsequentinvestigations?m Yes,ourcompanyusesatrackingtoolorcasemanagementsystemwiththeabilitytolog

andtrackreportsandrelatedinvestigationsregardlessofhowthereportwasoriginallymade(e.g.,tracksreportsmadetoamanagerandnotthemisconductreportingsystem)

m Yes,ourcompanyusesatrackingtoolorcasemanagementsystemwiththeabilitytologandtrackreportsandrelatedinvestigations,butonlyforreportsmadeororiginatedthroughthemisconductreportingsystem(i.e.,tracksonlyreportsmadetothecompanyhotline)

m Other(Pleasespecify)____________________m No,ourcompanydoesnothavesuchasystemortoolinplace

4F.4Indicatetheresourcesortoolsavailableforreportingmisconductandraisingconcernsatyourcompany.Pleaseselectallthatapply.q Opendoorpolicyforin-personreportingtodirectsupervisorsq Opendoorpolicyforin-personreportingtosenior/executivemanagementq Thirdparty-maintainedhotlineq In-househotlineq Ombudspersonq Web-basedreportingtoollocatedonthecompanyintranetsiteq Web-basedreportingtoolaccessibleonlineandavailabletothegeneralpublicq Reportingviatextmessageq Livechatfunctionalityq Company-widereportingemailaccountq Dedicatedfaxlineq Appormobile-specificreportingtoolorplatformq Exitsurveysorinterviewsq Otherresourcesortools(Pleasespecify)____________________Question4F.4hasbeenupdatedfor20174F.5Doesthehotlineusedforreportingmisconductandraisingconcernsprovidetheabilitytoreportconcernsorquestionsusingmultiplelanguages?m Yes,weprovidetheabilitytoreportconcernsorquestionsinmultiplelanguagesm No,wedonotprovidemultilingualreportingcapabilitiesbecauseourworkforceis

monolingualm No,wedonotprovidemultilingualreportingcapabilitiesSkipLogic:Question4F.5willonlyappeariftheanswertoquestion4F.4iseither“Thirdparty-maintainedhotline”or“In-househotline”

4F.6Indicatetheindividualsorfunctionsadvertisedasavailablechannelsforreportingmisconductandraisingconcerns.Pleaseselectallthatapply.q BoardofDirectors,BoardCommittee,orothergoverningauthorityq Ombudspersonq ChiefExecutiveOfficerq LegalDepartmentq Compliance,orethicsdepartment/functionq ChiefInformationorSecurityOfficerq HumanResourcesq InternalAuditq Regionalcomplianceandethicsambassadors,liaisons,orrepresentativesq Employee’sdirectmanagerorsupervisorq Other(Pleasespecify)____________________Question4F.6hasbeenupdatedfor20174F.7SeparatefromreportstotheBoardorothergoverningauthority,doesyourorganizationcommunicatehowmanyconcernswerereported,thetypesofconcernsreported,andtheresultsofreportsandinvestigations?Pleaseselectallthatapply.q Yes,andwemakethisinformationavailabletothepublicasastand-alonereportq Yes,andwemakethisinformationavailabletothepublicinourCSRreportand/orinour

annualreportq Yes,andwecirculatethisinformationtoallemployeesq Yes,andwecirculatethisinformationtoseniorleadersormanagementq No,wedonotcommunicatethisinformationQuestion4F.7hasbeenupdatedfor20174F.8Hasyourcompanybenchmarkedyourcomplianceandethicsprogramagainstthoseofothercompanieswithinthelastthreecalendaryears?m Yesm NoQuestion4F.8isnewfor2017SkipLogic:If“No”isselectedforquestion4F.8,therespondentwillbedirectedtoquestion4F.10

4F.9Whatsourcesofdatahasyourcompanyusedtobenchmarkitscomplianceandethicsprogram?Pleaseselectallthatapply.q Informalpeernetworksq Industryorganizationsq Complianceandethicstradeassociationsormembershipgroupsq Thirdpartyconsultantsoroutsidecounselq Other(Pleasespecify)____________________Question4F.9isnewfor20174F.10Doesyourcompanyconductaformalevaluationofthecomplianceandethicsprograminordertoassessitseffectivenessorperformance?Pleaseselectallthatapply.Notethatforthepurposesofthisquestionnairea“formal”evaluationcanbeconductedeitherinternallyorbyathirdparty,butmustfollowadocumentedstructureandresultinsomeformofdocumentation.PleaseexcludeanySOXSection404-relatedevaluationsorparticipationinthisorpreviousWorld’sMostEthicalCompaniesbenchmarkingprocesseswhenselectingananswer.q Weconductperiodicevaluationsoftheeffectivenessoftheentirecomplianceandethics

programaspartofourriskassessmentprocessq Weconductperiodicevaluationsoftheeffectivenessoftheentirecomplianceandethics

programasaseparateprocessfromourriskassessmentprocessq Weconductperiodicevaluationsofthecomplianceandethicsprogramthatfocusona

specificelementorportionoftheprogramonarotatingbasisq Ourevaluationisanongoingprocesswithoutaformalscheduleq No,wedonotconductaformalevaluationofourprogramQuestion4F.10hasbeenupdatedfor2017SkipLogic:If“No,wedonotconductaformalevaluationofourprogram”isselectedforquestion4F.10,therespondentwillbedirectedtoquestion4F.14

4F.11Howoftendoesyourcompanyconductanevaluationoftheentirecomplianceandethicsprogram?m Annuallym Everytwoyearsm Everythreeyearsm Everyfouryearsm Everyfiveyearsm LessoftenthaneveryfiveyearsQuestion4F.11hasbeenupdatedfor2017SkipLogic:Question4F.11willbepresentedonlyiftheanswertoquestion4F.10iseither“Weconductperiodicevaluationsoftheeffectivenessoftheentirecomplianceandethicsprogramaspartofourriskassessmentprocess”OR“Weconductperiodicevaluationsoftheeffectivenessoftheentirecomplianceandethicsprogramasaseparateprocessfromourriskassessmentprocess”4F.12Selectthefollowingfunction(s)responsibleforyourcompany’sevaluationoftheeffectivenessorperformanceofitscomplianceandethicsprogram.

FunctionisPrimarilyResponsible FunctionProvidesSupportorSignificantInput

Internalaudit q q

Complianceandethics q q

Legal q q

Finance q q

Humanresources q q

Operations/manufacturing q q

Communications/PR q q

External,thirdpartyconsultant(s)(pleasespecifywhichfirm[s]) q q

Otherdepartments(pleasespecify) q q

Question4F.12hasbeenupdatedfor2017

4F.13Whichcomponentsofthecomplianceandethicsprogramareevaluatedduringtheeffectivenessorperformanceevaluationprocess?Pleaseselectallthatapply.q Organizationalcultureofethicsq Riskassessmentprocesses/protocolsq Employeeknowledgeofcomplianceissuesq CodeofConductq Complianceandethicspoliciesq Complianceandethicstrainingcurriculumorprogramq Complianceandethicscommunicationprogramq Proceduresandcontrolssurroundingconflictsofinterestq Proceduresandcontrolsinplacetotrytoensurethatindividualsinleadershippositions(or

positionsoftrust)havenotengagedinillegalactivitiesorothermisconductq PrivacyProgramq InformationSecurityProgramq Thesystemusedtoreceiveand/ortrackreportsofallegedmisconductq Investigationprocessq Boardoversightq Third-partyduediligenceq Proceduresandcontrolstopreventretaliationagainstemployeesreportingpossible

misconductQuestion4F.13hasbeenupdatedfor20174F.14Howdoesyourcompanymeasuretheeffectivenessofitscomplianceandethicsefforts?Pleasespecifyinthetextboxprovidedandlimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse4F.15Whendoyouconductcomplianceandethicsduediligenceofthirdpartiesthatposeamaterialcompliance,ethics,and/orreputationrisk?Pleaseselectallthatapply.q Whenselectingthirdpartiesq Duringthecontractrenewalprocesswiththirdpartiesq Onaperiodicbasis,atleasteverythreeyearsq Ourcompanydoesnotconductcompliance-andethics-relatedduediligenceofthirdpartiesSkipLogic:If“Ourcompanydoesnotconductcompliance-andethics-relatedduediligenceofthirdparties”isselectedforquestion4F.15,therespondentwillbedirectedtoquestion4F.17

4F.16Whatinformation,ifany,doyouconsiderinyourcomplianceandethicsduediligenceofthirdparties?Pleaseselectallthatapply.q Ownershipinformationq Informationpertainingtouseofsub-contractorsq Policydocumentationq Employeetrainingprogramq Ethical/compliancetrackrecordandpracticesq Humanrightsandlaborconditionsq Environmentalperformanceq Socialorcommunityprogramsandperformanceq Datasecuritypracticesorcontrolsq Other(pleasespecify)____________________4F.17Howdoesyourcompanyestablishitscomplianceandethicsexpectationsandrequirementsforthirdpartiesthatposeamaterialcompliance,ethics,and/orreputationrisk?Pleaseselectallthatapply.q Thirdpartyacknowledgmentandcompliancewithourcompany'sCodeisarequired

conditionofdoingbusinesswithourcompanyq OurthirdpartiesareexpectedtofollowourcompanyCodeofConduct,butitisnota

contractualrequirementq ThirdpartyacknowledgmentandcompliancewithourSupplier/Distributor/ThirdPartyCode

ofConductisarequiredconditionofdoingbusinesswithourcompanyq ASupplier/Distributor/ThirdPartyCodeofConductisprovidedand,whileadherencetothe

Codeisnotanexplicitcontractualrequirement,thirdpartiesareexpectedtofollowtheCode

q Thirdpartycontractsincludeexplicitprovisionsregardingsupplieradherencetocertainofourcompany’scomplianceandethicsexpectations

q Ourthirdpartiesareencouragedorrequiredtoobtainathird-partycertificationforcomplianceandethics

q Someofourcomplianceandethicscommunicationinitiativesspecificallytargetourthirdparties

q Ourcompanyprovidesourthirdpartieswithcomplianceandethicstrainingassistanceorresources

q Ourcompanyrequiresthirdpartiestofollowanindustrycodeofconduct(e.g.,theElectronicsIndustryCitizenshipCoalition(“EICC”)CodeofConduct)

Question4F.17hasbeenupdatedfor2017

4F.18Doesyourcompanymaintainaprocurementpolicythataddresseskeyaspectsofthirdpartyselection,management,andcomplianceoversight?m Yesm No4F.19Doesyourcompanyconductperiodicauditsofthirdpartiestoensurecompliancewithethicalandlegalstandards?m Yesm No4F.20Doesyourcompanytrackanyentertainmentand/orgiftsgivenorreceivedbyyourcompany’semployees?m Yes,ourcompanytracksgiftsand/orentertainmentm No,ourcompanydoesnottrackgiftsorentertainmentSkipLogic:If“No,ourcompanydoesnottrackgiftsorentertainment”isselectedforquestion4F.20,therespondentwillbedirectedtoquestion4F.264F.21Selectthefollowingthatdescribestheprocessortoolusedtotrackentertainmentand/orgiftsgivenorreceivedbyyourcompany’semployees.Pleaseselectallthatapply.q Ourcompanyusesanautomatedtrackingtoolthatallowsforadvanceapprovalsq Ourcompanyusesanautomatedtrackingtoolthatallowsforretroactivenotifications

and/ordisclosuresq Ourcompanyusesanautomatedtrackingtoolthatallowsforthecumulativetrackingof

giftsorentertainmentperrecipientaswellasbyhis/hercompanyorentity(includinggovernmententities)

q Ourcompanyusesanenterprise-widetrackingprocessq Ourcompanytracksgiftsandentertainmentusingaccountingcodes4F.22Towhatextentdoesyourcompanytrackgiftsreceivedbyyouremployees?m OurcompanytracksALLgiftsreceivedm Ourcompanytracksonlygiftsthatexceedaspecificvaluethresholdm Ourcompanytracksonlygiftsthatmeetcertaincriteria(otherthanvaluethreshold)m Ourcompanydoesnottrackgiftsreceivedbyemployeesm Other(pleasespecify)____________________

4F.23Towhatextentdoesyourcompanytrackgiftsprovidedbyyouremployees?m OurcompanytracksALLgiftsprovidedbyouremployeesm Ourcompanytracksonlygiftsthatexceedaspecificvaluethresholdm Ourcompanytracksonlygiftsthatmeetcertaincriteria(otherthanvaluethreshold)m Ourcompanydoesnottrackgiftsprovidedbyemployeesm Other(pleasespecify)____________________4F.24Towhatextentdoesyourcompanytrackentertainmentreceivedbyyouremployees?m OurcompanytracksALLentertainmentreceivedbyouremployees,regardlessofvalueor

amountm Ourcompanytracksonlyentertainmentthatexceedsaspecificvaluethresholdm Ourcompanytracksonlyentertainmentthatmeetscertaincriteria(otherthanvalue

threshold)m Ourcompanydoesnottrackentertainmentreceivedbyemployeesm Other(pleasespecify)____________________4F.25Towhatextentdoesyourcompanytrackentertainmentprovidedbyyouremployees?m OurcompanytracksALLentertainmentprovidedbyouremployeesm Ourcompanytracksonlyentertainmentthatexceedsaspecificvaluethresholdm Ourcompanytracksonlyentertainmentthatmeetscertaincriteria(otherthanvalue

threshold)m Ourcompanydoesnottrackentertainmentprovidedbyemployeesm Other(pleasespecify)____________________

4F.26Whichmechanisms,ifany,doesyourcompanyusetoensurecompliancewithethicalandlegalstandardsrelatedtobriberyandcorruption?Pleaseselectallthatapply.q Ourcompanymaintainsclearanti-briberystandardsthatareconsistentlycommunicatedto

relevantemployeesq Ourcompanyconductsperiodicriskassessmentsforbriberyandcorruptionrisksq Ourcompanyconductsperiodicevaluationsandbenchmarkingofouranticorruption

program/initiativesq Ourcompanydoesnotallow“facilitationpayments”asamatterofpolicyq Agencyordistributionagreements,orintermediarycontracts,includeexplicitprovisions

regardingcompliance,includingspecificprovisionsregardingcompliancewithapplicablebriberyandcorruptionlaws

q Ourcompany’shotlineandsomeotherreportingmechanismsareavailabletouseforagents/intermediariesandtheirpersonnel

q Ourcompanyencouragesorrequiresintermediaryorganizationstomaintainareportinghotlineorotherreportingmechanism

q Ourcompanyconductsduediligencewhenselectinganintermediary,includingcorruption-relatedduediligence

q Ourcompanyconductsongoingmonitoring/oversightofintermediarycomplianceprogramsoranycompliancefailures,includingcompliancewithbriberyandcorruptionlawsandpolicies

q Ourcompanyconductsperiodicintermediaryauditstoensurecompliance,includingcompliancewithbriberyandcorruptionlawsandpolicies

q Ourintermediariesaresegmentedintoanumberoftiersforthepurposeofmonitoringandauditing

q Intermediariesareencouragedorrequiredtoobtainathird-partycertificationorassuranceforcomplianceandethics,suchasanticorruptioncertification(Pleasespecifywhatcertificationsorassurancesarerequested)____________________

q Noneoftheabove

4F.27Ouremployeesandcontractorsdealwithourownandothercompanies’tradesecretsinthefollowingways.Pleaseselectallthatapply.q Employeesandcontractorsarerequiredtokeepourcompany’sowntradesecrets

confidentialandnottouseordisclosethemexceptasapprovedq Employeesandcontractorsarerequiredtokeepothercompanies’tradesecretsconfidential

andnottouseordisclosethemexceptasapprovedbyourcompanyq Ourcompanyhasspecificproceduresthatemployeesandcontractorsarerequiredto

follow,eitherundertheiremploymentagreementorotheragreedterms,tomakeanydisclosureofanytradesecrets

q Undertheirinitialcontractand/orotheragreement,ouremployees’andconsultants’obligationstoprotecttradesecretscontinueinforceevenwhentheircontracts,agreementsoremploymentterminate

q Ourcompanyhasanexitintervieworotherprocedurewhereby,whenemployees’andconsultants’contractsterminateortheiremploymentterminates,theyarerequiredtoreturnanycompanyorthird-partyconfidentialmaterialtothecompany

q Ifanemployeeorconsultantbreachesourcompany’scontractanddisclosesorusestradesecretswithoutpermission,ourcompanyhasspecificremediesinthecontractforredressingthis

4F.28Indicatehowyourcompanymanagesprivacyanddatasecurityrisksrelatingtothirdpartiesthatstore,process,transmitoraccesssensitiveinformationonbehalfofthecompany.Pleaseselectallthatapply.q Ourcompanyconductsduediligenceintothethirdparty’sdatasecuritycontrolsand

procedurestoprotectourcompany’ssensitiveinformationbeforeenteringintoacontractq Ourcompanyunderstandshowandwhere(i.e.,thegeographicorjurisdictionallocation)the

thirdpartywillstoreourcompany’ssensitiveinformationq Ourcompanyrequirescontractuallanguageregardingwhowillhaveaccesstoour

company’ssensitivedataq Ourcompanyrequirescontractuallanguagespecifictoprocedurestoensurecompliance

withrelevantdataprotectionlawsorregulationsq Ourcompanyrequirescontractuallanguageregardingprocessandprocedurethethirdparty

willusetoprevent,detect,andmitigateabreachofourcompany’ssensitivedataq Ourcompanyrequirescontractuallanguagerequiringtimelynotificationintheeventofa

databreachconcerningourcompany’ssensitiveinformationq Ourcompanyrequiresindependentcertificationsofthedatasecuritycontrolsofthethird

partiesq Ourcompanyconductsdatasecurityauditsofthirdpartiesaccessing,storingorprocessing

ourcompany’ssensitiveinformationQuestion4F.28hasbeenupdatedfor2017

Part4G:MeasurementofCulture4G.1Indicatewhichofthefollowing,ifany,thataccuratelydescribesyourcompany’sapproachtomeasuringcorporateethicalculture.Pleaseselectallthatapply.q Ourcompanyusesemployeefocusgroupsorindividualinterviewsq Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsof

ethicalcultureand/orthecomplianceprogramq Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalculture

and/orthecomplianceprogramaspartofabroaderHRorengagementsurveyq Ourcompanyconductsphysicalsitevisitsandassessmentsq Ourcompanyinterviewsmanagementtoassessethicalcultureandemployeeperceptionsq Ourcompanyconductsadebriefand/orformalreviewfollowinginvestigationsthatinclude

cultureofethicsaspartoftheanalysisq Ourcompanyreviewssocialmedia(e.g.,Twitter,Facebook)orotherwebsitesthatinclude

feedbackorcommentsaboutthecompany(e.g.,Glassdoor.com)(pleasespecifywhichsources)____________________

q Ourcompany'sculturemeasurementusesauniqueapproach(pleasespecify)____________________

q OurcompanydoesnotmeasurecorporateethicalcultureSkipLogic:If“Ourcompanydoesnotmeasurecorporateethicalculture”isselectedforquestion4G.1,therespondentwillbedirectedtoquestion4H.1

4G.2Youhaveindicatedthatyourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram.Fortheremainderofthissection,thissurveywillbereferredtoasthe“DedicatedCultureSurvey.”Whatpercentageofyourtotalglobalworkforcewasofferedtheopportunitytoparticipateinyourcompany’smostrecentDedicatedCultureSurvey?m Lessthan30percentm 30-39percentm 40-49percentm 50-59percentm 60-69percentm 70-79percentm 80-89percentm 90-100percentQuestion4G.2hasbeenupdatedfor2017SkipLogic:Question4G.2willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram”4G.3Youhaveindicatedthatyourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey.Fortheremainderofthissection,thissurveywillbereferredtoasthe“EngagementSurvey.”Whatpercentageofyourtotalglobalworkforcewasofferedtheopportunitytoparticipateinyourcompany’smostrecentEngagementSurvey?m Lessthan30percentm 30-39percentm 40-49percentm 50-59percentm 60-69percentm 70-79percentm 80-89percentm 90-100percentQuestion4G.3hasbeenupdatedfor2017

SkipLogic:Question4G.3willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey”4G.4OftheemployeeswhowereprovidedtheopportunitytorespondtoyourmostrecentDedicatedCultureSurvey,whatpercentageactuallyresponded?m Lessthan30percentm 30-39percentm 40-49percentm 50-59percentm 60-69percentm 70-79percentm 80-89percentm 90-100percentQuestion4G.4isnewfor2017SkipLogic:Question4G.4willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram”4G.5OftheemployeeswhowereprovidedtheopportunitytorespondtoyourmostrecentEngagementSurvey,whatpercentageactuallyresponded?m Lessthan30percentm 30-39percentm 40-49percentm 50-59percentm 60-69percentm 70-79percentm 80-89percentm 90-100percentQuestion4G.5isnewfor2017SkipLogic:Question4G.5willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey”

4G.6HowfrequentlydoesyourcompanyadministertheDedicatedCultureSurvey?m Morefrequentlythanannuallym Annuallym Every18monthsm Everytwoyearsm Everythreeyearsm Lessfrequentlythaneverythreeyearsm AdhocorasdesiredQuestion4G.6hasbeenupdatedfor2017SkipLogic:Question4G.6willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram”4G.7HowfrequentlydoesyourcompanyadministertheEngagementSurvey?m Morefrequentlythanannuallym Annuallym Every18monthsm Everytwoyearsm Everythreeyearsm Lessfrequentlythaneverythreeyearsm AdhocorasdesiredQuestion4G.7hasbeenupdatedfor2017SkipLogic:Question4G.7willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey”4G.8IndicatewhetheryourcompanyconductstheDedicatedCultureSurveyusinginternalresourcesorathirdparty.m OurcompanyconductstheDedicatedCultureSurveyinternallywithouttheassistanceofa

thirdpartyvendororconsultantm OurcompanyconductstheDedicatedCultureSurveywithassistancefromathirdparty

vendororconsultant(e.g.,forbenchmarking)(pleasespecifywhichthirdparty)____________________

m OurcompanyprimarilyusesathirdpartytoconducttheDedicatedCultureSurvey(pleasespecifywhichthirdparty)____________________

Question4G.8hasbeenupdatedfor2017

SkipLogic:Question4G.8willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram”4G.9IndicatewhetheryourcompanyconductstheEngagementSurveyusinginternalresourcesorathirdparty.m OurcompanyconductstheEngagementSurveyinternallywithouttheassistanceofathird

partyvendororconsultantm OurcompanyconductstheEngagementSurveyinternallywithassistancefromathirdparty

vendororconsultant(e.g.,forbenchmarking)(pleasespecifywhichthirdparty)____________________

m OurcompanyprimarilyusesathirdpartytoconducttheEngagementSurvey(pleasespecifywhichthirdparty)____________________

Question4G.9hasbeenupdatedfor2017SkipLogic:Question4G.9willbepresentedonlyiftheanswertoquestion4G.1“Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey”4G.10WhichtopicsareincludedintheDedicatedCultureSurvey?Pleaseselectallthatapply.q Employee’sawarenessofcomplianceresources(e.g.,hotlineawareness,CodeofConduct

awareness)q Employee’sopinionofexecutiveethicalleadershiportonefromthetopq Employee’sopinionofmanager’sethicalleadershipormoodfromthemiddleq Whethertheemployeehasobservedmisconductq Whethertheemployeeiscomfortablereportingmisconductq Employee’sperceptionofthecomplianceandethicsfunctionq Employee’sperceptionoforganizationaljustice(i.e.,whetherthecompanyactsfairly)q Employee’sperceptionofhisorherpeerenvironmentandcultureq Employee’sperceptionoftheeffectivenessoftheCodeq Employee’sperceptionoftheeffectivenessofpoliciesq Employee’sperceptionoftheeffectivenessofcompliancetrainingq Whethertheemployeefeelspressuretocommitmisconductq Whethertheemployeewouldrecommendtoafriendorfamilymemberthattheytakeajob

atthecompanyq Othertopics(pleasespecify)____________________Question4G.10hasbeenupdatedfor2017

SkipLogic:Question4G.10willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram”4G.11WhichtopicsareincludedinyourEngagementSurvey?Pleaseselectallthatapply.q Employee’sawarenessofcomplianceresources(e.g.,hotlineawareness,CodeofConduct

awareness)q Employee’sopinionofexecutiveethicalleadershiportonefromthetopq Employee’sopinionofmanager’sethicalleadershipormoodfromthemiddleq Whethertheemployeehasobservedmisconductq Whethertheemployeeiscomfortablereportingmisconductq Employee’sperceptionofthecomplianceandethicsfunctionq Employee’sperceptionoforganizationaljustice(i.e.,whetherthecompanyactsfairly)q Employee’sperceptionofhisorherpeerenvironmentandcultureq Employee’sperceptionoftheeffectivenessoftheCodeq Employee’sperceptionoftheeffectivenessofpoliciesq Employee’sperceptionoftheeffectivenessofcompliancetrainingq Whethertheemployeefeelspressuretocommitmisconductq Whethertheemployeewouldrecommendtoafriendorfamilymemberthattheytakeajob

atthecompanyq Othertopics(pleasespecify)____________________Question4G.11hasbeenupdatedfor2017SkipLogic:Question4G.11willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey”

4G.12Indicatewhichofthefollowingresults/feedbackpoints,ifany,aresupportedfromyourmostrecentDedicatedCultureSurvey.Pleaseselectallthatapply.q Allemployees(regardlessofseniorityorotherfactors)areheldaccountableforunethical

behaviororconductq Broadcompanyperceptionthatcomplianceandethicsisanimportantstrategicfunctionq Employeesreportthattheywouldbelikelytoreportconcernsandsuspectedmisconductq Ethicsandintegritydecisionsplayakeyroleinbusinessdecisionsq Strongcompanysupportexistsforthecomplianceandethicsinitiativesq Strongseniorexecutivesupportexistsforthecomplianceandethicsfunctionq Strongtoneatthemiddleexistsq Strongtonefromthetopexistsq ThereisnopressuretomeetbusinessobjectivesatallcostsQuestion4G.12hasbeenupdatedfor2017SkipLogic:Question4G.12willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyusesasurveyprimarilydevelopedtomeasureemployeeperceptionsofethicalcultureand/orthecomplianceprogram”4G.13Indicatewhichofthefollowingresults/feedbackpoints,ifany,aresupportedinyourmostrecentEngagementSurvey.Pleaseselectallthatapply.q Allemployees(regardlessofseniorityorotherfactors)areheldaccountableforunethical

behaviororconductq Broadcompanyperceptionthatcomplianceandethicsisanimportantstrategicfunctionq Employeesreportthattheywouldbelikelytoreportconcernsandsuspectedmisconductq Ethicsandintegritydecisionsplayakeyroleinbusinessdecisionsq Strongcompanysupportexistsforthecomplianceandethicsinitiativesq Strongseniorexecutivesupportexistsforthecomplianceandethicsfunctionq Strongtoneatthemiddleexistsq Strongtonefromthetopexistsq ThereisnopressuretomeetbusinessobjectivesatallcostsQuestion4G.13hasbeenupdatedfor2017SkipLogic:Question4G.13willbepresentedonlyiftheanswertoquestion4G.1is“Ourcompanyincludesquestionsonmeasuringemployeeperceptionsofethicalcultureand/orthecomplianceprogramaspartofabroaderHRorengagementsurvey”4G.14Pleasedescribewhattypesofanalysis,ifany,isbeingdonefollowingthecompletionofyourcompany’sassessmentofemployees’perceptionofcultureofethicsassessmentand/or

thecomplianceprogram.Thisincludeshowtheculturesurveyorotherresultsareused.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse

Part4H:Enforcement,DisciplineandIncentives4H.1Doesyourcompanyhaveawrittenmisconductinvestigationprocess?m Yesm No4H.2Indicatehowyourcompanytracksreportedincidencesofethicalmisconduct(whereallowedbylaw).q Thecomplianceandethicsfunctionroutinelytracksreportsandrelatedcases,regardlessof

howtheywerereceivedq Differentfunctionsorbusinessunitstrackdifferentreportsandrelatedcasesq Thecomplianceandethicsfunctionroutinelytracksreportsreceivedthroughthehotlineor

similarchannels,butopendoorreports(suchasthosereporteddirectlytoasupervisor)arenotnormallytracked

q Noneoftheabove4H.3Indicatewhichofthefollowingaspects,ifany,applytoyourcompany’snon-retaliationpolicy.Pleaseselectallthatapply.q Specifiesthatreportmustbemadeingoodfaithq Communicatedinourcompany’sCodeofConductq Communicatedasastand-alonepolicyq Includedinmisconductreportingmessaging(e.g.,inhotlineinfo)q Managementisrequiredtoreceivenon-retaliationtrainingq Specifiesthatretaliationisagainstthelawq Non-retaliationstatementispresentinexecutivecommunicationsq Includemessagingattheendofaninterviewconductedaspartofaninvestigationthatthe

companydoesnottolerateretaliationq Ourcompanydoesnothaveanon-retaliationpolicy

4H.4Indicatewhichestablishedproceduresyourcompanyhastoprotectemployeeswhoreportsuspectedmisconduct(thisquestionappliestothoseemployeeswhoidentifythemselveswhenmakingthereport).Pleaseselectallthatapply.q Monitorsickdayusageofthereportingindividualtowatchforindicationsofachangeinjob

satisfactionorcommitmentorcomfortbeingatworkq Monitorthereportingindividualforanychangeinperformanceevaluationsorjob

assignmentsq Monitorwhetherthereportingindividualhasachangeinjobstatus(e.g.,terminationor

addedtoaproposedreductioninforce)q Aprocesstohavesomeoneaffirmativelyfollowupwiththereportingindividualwithina

certainamountoftimetoinquirewhethertheyhavefeltanyformofretaliationq Informthereportingindividualatthetimeofreportofnon-retaliationpolicyandwhattodo

iftheyfeelretaliatedagainstq Aprocesstodeterminewhetheranemployeefacinginvoluntaryterminationhasreported

misconductorbeenawitnessinaninvestigationofallegedmisconduct(pleasenotethattheprocessneednotresultintheemployeenotbeingterminated,butmustresultinthatdeterminationbeingmadeinaninformedmannergiventheemployee’sstatusasareporterorwitnessinaninvestigation)

q Otheruniqueprocedurestoprotectemployees(pleasespecify)____________________q Noneoftheabove4H.5Whichmechanisms,ifany,doesyourcompanyutilizetoincentivizeemployeeswhoengageinethicalconduct,orwhoactivelysupportcomplianceinitiatives/complianceperformancemetrics?Pleaseselectallthatapply.q Formalevaluationofethicalconductaspartofemployeeevaluationsorannual

performancereviewsq Formalevaluationofethicalbusinessconductaspartofpromotiondecisionsq Formalcomponentofmanagerbonusorothercompensationdeterminationsq CultureSurveyresultsareconsideredinmanagerpromotiondecisionsq AwardsandrecognitionsshowcasingethicalbusinessconductQuestion4H.5hasbeenupdatedfor20174H.6Theregulators,particularlytheUnitedStatesDepartmentofJustice,haveindicatedtheyareinterestedinthemechanismscompanieshavetoimposeconsequencesonmanagerswhowerenotactivelyengagedorawareofmisconduct,butunderwhommisconductoccurred.

Pleaseexplainifyourcompanyhasanysuchmechanisms.Pleaselimityourresponseto500characters.Question4H.6isnewfor2017Thisquestionrequestsanopen-endedtextresponse4H.7Selectthefollowingthatbestdescribesyourcompany’sexitinterviewprocess.m Ourcompanydoesnotroutinelyconductexitinterviewsm Ourcompanyroutinelyconductsexitinterviews,buttheydonotincludequestionsthatare

designedtoassesswhetherthedepartingemployeewasawareorconcernedaboutpotentiallyunethicaleventsthatweretakingplaceatourcompany

m Ourcompanyroutinelyconductsexitinterviewsthatincludequestionsthataredesignedtoassesswhetherthedepartingemployeewasawareorconcernedaboutpotentiallyunethicaleventsthatweretakingplaceatourcompany

4H.8Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany’scomplianceandethicsprogramyoubelievesupportsyourquestionnaireanswers.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse

Part5:Citizenship,Sustainability,andCorporateResponsibilityThissectionreviewsawiderangeofyourcompany’sperformanceindicatorsassociatedwithsustainability,citizenshipandsocialresponsibility,including:

• environmentalstewardship• communityinvolvement• corporatephilanthropy• workplaceimpactandwell-being• supplychainengagementandoversight

Thequalityandeffectivenessoftheinitiativesareconsidered,inadditiontostatedandmeasureablegoals,accountability,andtransparency.5.1Doesyourcompanyconductsustainability-and/orsocialresponsibility-relatedinitiatives?m Yesm NoSkipLogic:If“No”isselectedforquestion5.1,therespondentwillbedirectedtoquestion5.195.2Whatisthehighestfull-timeroleresponsibleforsustainabilityandsocialresponsibilityatyourcompany?

ChiefExecutiveOfficer(orsimilarrole)

SeniorExecutive,

VicePresident,orfunctional

ChiefSustainability

Officer

ChiefEthics&

ComplianceOfficer

Director(mid-level

management)orManager(frontline

management)

Other Nosingleindividual

RoleResponsible

forSustainability

q q q q q q q

RoleResponsibleforSocial

Responsibility

q q q q q q q

5.3HowoftendoestheBoard,aBoardCommittee,orothergoverningauthorityreceiveformalbriefingsoninitiativesandprojectsrelatedtosustainabilityandsocialresponsibility?

Atleastmonthly Quarterly Semi-

annually Annually Everyonetotwoyears

Rarelyornever

Sustainability-Related

CommunicationsorBriefings

q q q q q q

SocialResponsibility-

RelatedCommunications

orBriefings

q q q q q q

5.4Howoftendoseniorexecutives(e.g.,CEOandotherC-suitemembers)receiveformalbriefingsregardingsustainabilityandsocialresponsibilityinitiativesandperformance?

Atleastmonthly Quarterly Semi-

annually Annually Everyonetotwoyears

Rarelyornever

CommunicationsorBriefings

q q q q q q

SocialResponsibility-

RelatedCommunications

orBriefings

q q q q q q

5.5Selectwhichtypesofcommunicationinvolvingseniorexecutives(e.g.,CEOandotherC-suitemembers)areusedwithinyourcompanytodiscusssustainabilityand/orsocialresponsibilityinitiatives.Pleaseselectallthatapply.

CommunicationsinvolvingSeniorExecutives

SocialResponsibility-RelatedCommunicationsinvolvingSenior

Executives

Personalizedintroductiontotrainingregardingtheimportanceofthecompany’ssustainability&socialresponsibilityinitiatives

Emailstotheworkforce q q

Onboardingvideo q q

Intranetsitevideo q q

Podcast q q

Townhall,annualkick-offorothercompany-widemeetingsleadby

seniorleadershipq q

Internalmeetingsinvolvingseniorleadership q q

InteractiveQ&Aforum,chatfunctionality q q

Sustainability&socialresponsibilityblogbymember(s)ofsenior

leadershipq q

Newsletter q q

SustainabilityReport q q

OtherTypesofCommunication(Pleasespecify) q q

Question5.5hasbeenupdatedfor20175.6Hasyourcompanyalignedsustainabilityand/orsocialresponsibilitywithitscorebusinessandoperations?Ifso,pleaseexplainhow.Pleaselimityourresponseto1,000characters.Thisquestionrequestsanopen-endedtextresponse

5.7Howoftendoesyourcompanycommunicatewiththefollowingexternalstakeholdersregardingsustainabilityperformanceandinitiatives?

Atleastquarterly

Twiceperyear

AnnuallyEverytwoyears

Everythreeyears

Everyfourormoreyears

Wedonotcommunicate

suchinitiativeswiththis

stakeholdergroup

Notapplicable

Suppliersorvendors q q q q q q q q

Clientsorcustomers q q q q q q q q

Non-governmentalorganizations

orotheractivistgroups

q q q q q q q q

Generalpublicor

neighboringcommunities

q q q q q q q q

Mediaorganizations q q q q q q q q

Investors q q q q q q q q

ElectedOfficials q q q q q q q q

Regulators q q q q q q q q

Other(pleasespecify) q q q q q q q q

Question5.7hasbeenupdatedfor20175.8Pleasedescribetheprocessusedtoengageexternalstakeholdersregardingsustainabilityperformanceandinitiatives.Pleaselimityourresponseto1,000characters.Thisquestionrequestsanopen-endedtextresponse

5.9Howoftendoesyourcompanycommunicatewiththefollowingexternalstakeholdersregardingsocialresponsibilityperformanceandinitiatives?

Atleastquarterly

Twiceperyear

AnnuallyEverytwoyears

Everythreeyears

Everyfouror

moreyears

Wedonotcommunicate

suchinitiativeswiththis

stakeholdergroup

Notapplicable

Suppliersorvendors q q q q q q q q

Clientsorcustomers q q q q q q q q

Non-governmentalorganizationsorotheractivist

groups

q q q q q q q q

Generalpublicorneighboringcommunities

q q q q q q q q

Mediaorganizations q q q q q q q q

Investors q q q q q q q q

ElectedOfficials q q q q q q q q

Regulators q q q q q q q q

Other(pleasespecify) q q q q q q q q

Question5.9hasbeenupdatedfor20175.10Doesyourcompanyassessormeasuretheeffectivenessorimpactofitssustainabilityand/orsocialresponsibilityinitiatives?m Yesm NoSkipLogic:If“No”isselectedforquestion5.10,therespondentwillbedirectedtoquestion5.13

5.11Pleaseexplainhowyourcompanyassessesormeasurestheeffectivenessorimpactofitssustainabilityand/orsocialresponsibilityinitiatives.Pleaselimityourresponseto1,000characters.Thisquestionrequestsanopen-endedtextresponse5.12Howoftendoesyourcompanyassessormeasuretheeffectivenessorimpactofitssustainabilityand/orsocialresponsibilityinitiatives?m Atleastquarterlym Twiceayearm Annuallym Everytwoyearsm Everythreeyearsm Everyfourormoreyears5.13Doesyourcompanyproduceareportregardingitscorporatecitizenship,responsibilityandsustainability?Pleaseselectallthatapply.q Noq Yes,weproduceastand-aloneCorporateCitizenship,ResponsibilityandSustainability

Report(“CSRReport”)q Yes,weproduceastand-aloneCSRReportandourCSRReportispubliclyavailableq Yes,weincludesuchreportingaspartofourannualreportq Yes,wemaintainaninteractivewebsitethatsummarizesourCSRinitiativesq Yes,whilewedon’tmaintainaninteractivewebsitethatsummarizesourCSRinitiatives,we

doincludeinformationregardingsuchinitiativesonourwebsite.q Yes,andourreportingadherestoGRISustainabilityReportingGuidelinesq Yes,butwedonotreportonCSRinitiativesinaCSRReport,ratherourreportingis

containedinauniquereport(Pleaseprovidethetitleofthereport)____________________Question5.13hasbeenupdatedfor2017SkipLogic:If“No”isselectedforquestion5.13,therespondentwillbedirectedtoquestion5.17

5.14HowoftenisyourCSRReportorotherreportregardingyourcompany’sCSRinitiatives(asdiscussedinquestion5.13)produced?m Everyfourormoreyearsm Everythreeyearsm Everytwoyearsm AnnuallyQuestion5.14hasbeenupdatedfor20175.15Pleasespecifytheyearinwhichyourcompany’sfirstCSRReportorotherreportregardingyourcompany’sCSRinitiativeswasproduced.Thisquestionrequiresanumericresponse5.16Wasyourcompany’smostrecentCSRReportorotherreportregardingyourcompany’sCSRinitiativesassuredoraudited?m No,wedonotauditorpursueassuranceofourCSRReportm Yes,weself-auditourCSRReportm Yes,ourCSRReportwasassuredorauditedindependently(pleasespecifytheorganization

providingassuranceorconductingtheaudit):____________________5.17Whichofthefollowingmethods,ifany,doesyourcompanyusetoquantitativelyassessormeasureitsenvironmentalperformance?Pleaseselectallthatapply.q GreenhouseGas(GHG)emissiondataq TripleBottomLine(TBL)accountingq Life-cycleassessmentsq ISO14000standardsq 5LevelFramework(5LF)q SustainabilityManagementSystem(SMS)q Othertypeofenvironmentalperformancemeasurement(Pleasespecify)

____________________q Ourcompanydoesn'tquantitativelyassessenvironmentalperformance

5.18Whatmeasureshasyourcompanytakeninordertomanagesustainability-relatedrisksofyoursupplychain?Pleaseselectallthatapply.q SustainabilityPolicy/CodeofConductforSuppliersq SustainablePurchasingPolicyq LifecycleBasedPurchasingProgramq SupplierSustainabilityQuestionnaireq SupplierSustainabilityAuditsq ThirdPartyAuditsforSupplyChainSustainabilityq Other(Pleasespecify)____________________5.19Doesyourcompanyrequireitsthirdpartiestohaveaformalsustainabilityorsocialresponsibilitypolicy?

Allthirdpartiesare

requiredtohaveaformalpolicyonthistopic

Onlycertainthirdpartiesarerequiredtohavea

formalpolicyonthistopic

Ourcompanydoesn’trequiresupplierstohave

aformalpolicy

SustainabilityPolicy q q q

SocialResponsibilityPolicy q q q

5.20Selectthefollowingsustainabilityprograms/initiativesyourcompanyhasinplace.Foreachprogram/initiativeselected,brieflydescribeyourcompany’scurrentgoal(s):q GHGReduction____________________q EnergyReduction____________________q WaterReduction____________________q WasteReduction____________________q LifecycleImpactReduction____________________q EmployeeEngagement____________________q SustainablePurchasing____________________q SustainableRiskManagement____________________q ClimateChange____________________5.21Hasyourcompanybeenafoundingmemberofanysignificantindustry,national,orinternationalinitiativerelatedtocorporatecitizenship,responsibilityandsustainability?m Yes(Pleasespecifywhichinitiatives)____________________m Nom Notsure

5.22Whatareyourkeysustainabilityaccomplishmentsovertheprevious12months?Pleasedescribebelowandprovideanysupportingdocumentation.Pleaselimityourresponseto1,000characters.Thisquestionrequestsanopen-endedtextresponse5.23DoesyourcompanyadheretotheUnitedNations’GuidingPrinciplesonBusinessandHumanRights?m Yesm Nom Notsure

5.24Whichofthefollowingprogramsareincludedamongyourcompany’sworkforce-relatedprograms/initiatives?Pleaseselectallthatapply.q Adoptionorfertilityassistanceprogramsq Affirmativeactionplanq Carpoolingsupportprogramsq Childcarefacilitiesq Choiceofhealth,vision,anddentalinsuranceq Contributorypensionscheme(suchas401k)q Diversityprogramq Employeeassistanceprogramsq Employeerecognitionprogramsq Flexschedulingq Gymfacilitiesorgymfeereimbursementprogramsq Highereducationscholarshipprograms,foreitheremployeesortheirrelativesq Matchinggiftprogramq Maternityorpaternityleaveprogramsq Mentoringprogramsq Paidtimeoffforemployeevolunteersq Preventativehealthcareprogramsq Publictransportationsubsidyq Sabbaticalq Telecommutingoptionsq Tuitionreimbursement(otherthancareertraining)q Wellnessprograms,includingphysicalandmentalhealthprogramsq Workforcetraining,skills,andleadershipdevelopmentprogramsq Otheruniqueinitiatives(Pleasespecify)____________________

5.25Indicatewhichcategoryyourcompany’smostrecentCarbonDisclosurePerformanceScorefallswithin.MoreinformationonCarbonDisclosurePerformanceScorescanbefoundatwww.cdp.netm MycompanyisnotcurrentlyratedbytheCarbonDisclosureProjectm Am Bm Cm Dm Em Notsure5.26Indicatewhichcategoryyourcompany’smostrecentCarbonDisclosureLeadershipIndexfallswithin.MoreinformationontheCarbonDisclosureLeadershipIndexcanbefoundatwww.cdp.netm MycompanyisnotcurrentlyratedbytheCarbonDisclosureProjectm 90orabovem 80-89m 70-79m 60-69m 50-59m 30-49m Lessthan30m Notsure5.27Doesyourcompanyhaveaformalcommunityinvolvementstrategy?m Yes,butitislargelydevelopedindependentlyofoverallcorporatestrategym Yes,anditisalignedwiththeoverallcorporatestrategym No,ourcompanydoesnotcurrentlyhaveaformalcommunityinvolvementstrategy

5.28Selectwhichinitiativesyourcompanyiscurrentlyparticipatinginoramemberof.Pleaseselectallthatapply.q UNGlobalCompactq WorldEconomicForum’sPartneringAgainstCorruptionInitiative(PACI)q WorldEconomicForum’sClimateChangeInitiativeq WorldEconomicForum’sCorporateGlobalCitizenshipInitiativeq WorldBusinessCouncilforSustainableDevelopmentq TheCopenhagenCommuniquéq TransparencyInternationalq UNGlobalInitiativetoPreventHumanTraffickingq GRIOrganizationalStakeholderProgramq GlobalRoundtableonClimateChangeq CarbonDisclosureProjectq WhiteHouseClimateChangePledgeq U.S.EnvironmentalProtectionAgencyprograms(e.g.,ClimateLeaders,GreenPower

partnership,NationalPartnershipforEnvironmentalPriorities)q Otherindustry-specific,local,nationalorinternationalinitiatives(Pleasespecify)

____________________5.29Withregardstocommunityinvolvement,pleaseindicatewhichofthefollowingapplytoyourcompany.Pleaseselectallthatapply.q Setspecificgoalsforcommunityinvolvementq Usekeyperformanceindicators(KPIs)tomeasureprogresstowardscommunity

involvementgoalsq EvaluatebusinessdecisionsinthecontextofsocietalimpactQuestion5.29hasbeenupdatedfor20175.30Inwhatwaysdoyouencourageemployeestosupportandaddvalueinlocalcommunities?Pleaseselectallthatapply.q Matchingemployeecharitabledonationsq Paidtimeoffforemployeevolunteereffortsq Encouragingorrequiringemployeesserveontheboardsofcharitableorganizationsq Facilitatingdonationdrives,(e.g.,clothing,food,etc.)q Otheruniqueorinnovativeways(pleasespecifyandsupportwithdocumentation)Question5.30hasbeenupdatedfor2017

5.31Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany’sCSRorSustainabilityprogramsyoubelievesupportsyourquestionnaireanswers.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse

Part6:Leadership,Innovation&ReputationLeadership,Innovation&Reputationmeasuresacompany’slegalcompliance,litigationandethicaltrackrecord,alongwiththestrengthofthecompany’sethicalreputationinthemarketplace.Whilewetakeintoaccountawardsandaccoladesgarnered,wealsolookatsomeconcreteexamplesofcorporateleadershipinlocal,national,industryand/orglobalinitiativesthatpromotebusinessethics,responsibleandsustainablebusinesspractices,environmentalstewardship,goodgovernance,transparency,andsocialresponsibility.6.1Hasyourcompanyearnedanyofthefollowingmediarecognitionsin2014,2015or2016?Pleaseselectallthatapply.q Fortune:100BestCompaniestoWorkForq Fortune:World'sMostAdmiredCompaniesq Fortune:ChangetheWorldq Newsweek:GreenRankings(note:top50overallorwithinthetop10foryourindustry)q Barron’s:World'sMostRespectedCompaniesq WorkingMother:100BestCompaniesq Forbes:100MostTrustworthyCompaniesq ReputationInstitute:GlobalRepTrak®100q DiversityMBA:Top50CompaniesforDiverseManagerstoWorkq DiversityInc.:Top50CompaniesforDiversityq DirectorshipMagazine:BoardroomLeadersq CorporateResponsibilityMagazine:CR’s100BestCorporateCitizensListq OtherMediaRecognitions(Pleasespecify)____________________Question6.1hasbeenupdatedfor2017

6.2Hasyourcompanyearnedanyofthefollowingawardsorrecognitionsinthepasttwoyears?Pleaseselectallthatapply.q BetterBusinessBureau:TorchAwardand/orIntegrityAwardq MalcolmBaldrigeNationalQualityAwardq CorporateRegister:CorporateResponsibilityReportingAwardq CorporateKnights:Global100q J.D.PowerandAssociatesaward(s)and/orcertification;pleasespecifywhichJ.D.Powerand

AssociatesAward(s)____________________q U.S.EPAEnergyStar:PartneroftheYearq U.S.EPAClimateLeadershipAwardsq HumanRightsCampaign:BestPlacestoWorkforLGBTEqualityq Interbrand:BestGlobalGreenBrandsq TheCivic50q BCorp:BestfortheWorldq OtherAwardsorRecognitions(pleasespecify)____________________6.3Isyourcompanycurrentlyfeaturedbyanythefollowingindices?Pleaseselectallthatapply.q CDP:ClimatePerformanceLeadershipIndexand/orCDP:ClimateDisclosureLeadership

Indexq FinancialTimesStockExchangeforGood:FTSE4GoodIndexq DowJonesSustainabilityIndicesq Maplecroft:ClimateInnovationIndexq STOXXGlobalESGLeadersIndexq HumanRightsCampaign:CorporateEqualityIndexq MSCI:ESGIndexesq Other(pleasespecify)____________________SkipLogic:Question6.3willonlybepresentediftheanswertoquestion2.4is“Publiccompany”

6.4Isyourcompany(oranyemployeesordirectors)afoundingmemberand/oranactivelyparticipatingmember(e.g.,attendingevents,involvementininitiatives)ofthefollowinggroups?Pleaseselectallthatapply.

ParticipatingMember FoundingMember

EthicsandComplianceInitiative q q

PracticingLawInstitute q q

SocietyofCorporateComplianceandEthics q q

BusinessRoundtable q q

WorldBusinessCouncilforSustainableDevelopment q q

TheWorldEconomicForum(WEF) q q

InternationalCorporateGovernanceNetwork q q

BetterBusinessBureau q q

UnitedNationsGlobalCompact q q

TheSustainabilityConsortium q q

BusinessforSocialResponsibility q q

NationalAssociationofCorporateDirectors q q

SustainablePurchasingLeadershipCouncil q q

WhiteHouseClimateChangePledge q q

SocietyofCorporateSecretariesandGovernanceProfessionals q q

Other(e.g.,industrygroups)(Pleasespecify) q q

6.5Hasamemberofthecompany’sseniorleadershipteam(C-suite)spokenatanyofthefollowingconferencesoreventsinthepasttwoyears?Itcouldbeakeynotespeechorappearanceonapanel.Pleaseselectallthatapply.q BusinessforSocialResponsibilityConferenceq CoalitionforEnvironmentallyResponsibleEconomies(CERES)Conferenceq ClintonGlobalInitiativeq FortuneBrainstormEq FortuneGlobalForumq FortuneMostPowerfulWomenSummitq MilkenInstituteGlobalConferenceq NetImpactq TheEconomistInnovationForumq GreenBizq StanfordDirectors'Collegeq SustainableBrandsq USGBCGreenBuildq TheNewYorkTimesCitiesforTomorrowConferenceq TheWallStreetJournalCEOCouncilq TheWallStreetJournalWSJECO:NOMICSq WorldEconomicForum(WEF)atDavosq Other(e.g.,academicforumssuchasatBostonCollegeCenterforCorporateCitizenship)

(Pleasespecify)____________________Question6.5hasbeenupdatedfor20176.6Howmanyconferencesoreventsspecifictoyourcompany’sindustryhavethefollowingseniorleadersspokenatinthepasttwoyears?Notethatthiscouldincludeakeynotespeechorappearanceonapanel.q ChiefExecutiveOfficer(orsimilartitle)____________________q ChiefEthics&ComplianceOfficer(orsenior-mostleaderofyourcomplianceandethics

department)____________________q ChiefSustainabilityOfficer(orsenior-mostleaderofyourcorporatesocialresponsibility

program)____________________q GeneralCounsel(orsenior-mostleaderofyourlegaldepartment)____________________Question6.6hasbeenupdatedfor2017

6.7Haveindividualsinthefollowingleadershippositionseverheldthetoppositionatanindustryassociation?Pleaseselectallthatapply,andpleasespecifywhichassociation(s)inthespaceprovided.q ChiefExecutiveOfficer(orsimilartitle)____________________q ChiefEthics&ComplianceOfficer(orsenior-mostleaderofyourcomplianceandethics

department)____________________q ChiefSustainabilityOfficer(orsenior-mostleaderofyourcorporatesocialresponsibility

program)____________________q GeneralCounsel(orsenior-mostleaderofyourlegaldepartment)____________________q ChiefCommunicationsOfficer(orsimilartitle)____________________Question6.7hasbeenupdatedfor20176.8Pleaseindicatethewaysinwhichyourcompanyperiodically(atleastannually)measuresitsreputation.Forthosemethodsselected,pleaseprovidedocumentationthatdemonstrateshowreputationistrackedand/orhowthecompanyisperceived.Pleaseselectallthatapply.q Mediamonitoring(includingsocialmedia)q Quantitativesurveys(eitherinternalorexternal)q Qualitativefocusgroups(eitherinternalorexternal)q Competitororpeerreviewq Numberofawardsreceivedq Rankingon“bestof”listsq Employeesurveyfeedbackq Customerfeedbackq NetPromoterScore(PleasespecifyyouraverageNPSscoreovertheprevioustwoyears)

____________________q Onlinecommentaryfromexternalstakeholders,suchascustomersonproductreview

websitesq Onlinecommentaryfrominternalstakeholders,suchasemployees(e.g.,Glassdoor.com)q Volumeofleadershipspeakingengagements(includinginvitationsthataredeclined)q Volumeofjobapplicantsq Genderordiversityassessmentq Summariesoranalysisofexitinterviewsq Other(Pleasespecify)____________________q MycompanydoesnotmeasureortrackreputationmetricsQuestion6.8hasbeenupdatedfor2017

6.9Pleaseratehowyoubelievethefollowingstakeholdergroupsperceiveyourindustry’soverallreputation.

Excellent VeryGood Good Fair Poor

NotSure/DoesNotApply

Customers(currentorpast) q q q q q q

Employees q q q q q q

Nationalmedia q q q q q q

Generalpublic/neighboringcommunities q q q q q q

Suppliersandvendors q q q q q q

Governmentandregulators q q q q q q

Non-governmentalorganizationsoractivistgroups q q q q q q

Thefinancialcommunityorinvestors q q q q q q

Localorregionalmediaoutlets q q q q q q

Onlineinfluencers,suchasbloggersorindustryexperts q q q q q q

6.10Pleaseratehowyourcompanyperceivesthecompany’soverallreputationwitheachofthefollowingstakeholdergroups.Pleasesupportyouranswerswithanyavailabledocumentation.

Excellent VeryGood Good Fair Poor

NotSure/DoesNotApply

Customers(currentorpast) q q q q q q

Employees q q q q q q

Nationalmedia q q q q q q

Generalpublic/neighboringcommunities q q q q q q

Suppliersandvendors q q q q q q

Governmentandregulators q q q q q q

Non-governmentalorganizationsoractivistgroups q q q q q q

Thefinancialcommunityorinvestors q q q q q q

Localorregionalmediaoutlets q q q q q q

Onlineinfluencers,suchasbloggersorindustryexperts q q q q q q

6.11Inthepastfiveyears,whichofthefollowing(ifany)applytoyourcompany(includinganysubsidiariesorjointventures)oranymembersofseniorleadership?Pleaseselectallthatapply.q Defendantinasecuritiesfraudclassactionlawsuitwhichwasnotfinallyadjudicatedin

company’sfavor.SuchadjudicationdoesNOTincludevoluntarydismissalpursuanttoasettlementagreement.

q Defendantinanantitrustlawsuitwhichwasnotfinallyadjudicatedincompany’sfavor.SuchadjudicationdoesNOTincludevoluntarydismissalpursuanttoasettlementagreement.

q Defendantinaseriouscivilaction(e.g.,tort)relatedtobusinessactivitiesotherthanasecuritiesclassactionlawsuitorantitrustlawsuitwhichwasnotfinallyadjudicatedincompany’sfavor.SuchadjudicationdoesNOTincludevoluntarydismissalpursuanttoasettlementagreement.

q Defendantinalawsuitallegingretaliationagainstawhistleblowerwhichwasnotfinallyadjudicatedincompany’sfavor.SuchadjudicationdoesNOTincludevoluntarydismissalpursuanttoasettlementagreement.

q Defendantinaquitamactionwhichwasnotfinallyadjudicatedincompany’sfavor.SuchadjudicationdoesNOTincludevoluntarydismissalpursuanttoasettlementagreement.

q Subjecttoagovernmentinvestigationthatwasclosedthroughadeclinationletterq Subjecttoagovernmentinvestigationthatwasclosedwithoutactionagainstthecompany

butnotthroughadeclinationletterq Achievedasettlementasadefendantortargetofagovernmentinvestigationwithor

withoutadmissionofliabilityq Subjecttoadeferredprosecutionornon-prosecutionagreementq Subjecttoacorporateintegrityagreementq Requiredtohaveacompliancemonitorq Indictedq Debarredq Paidmaterialfinesand/orpenaltiesrelatedtoacompliancefailureq Dismissedexecutive(s)orreceivedresignationsfromexecutive(s)duetoactual(oralleged)

misconductq Publiclydisclosedadatabreachthataffectedatleast1,000employees,customers,orother

stakeholdersq NoneoftheaboveQuestion6.11hasbeenupdatedfor2017SkipLogic:If“Noneoftheabove”isselectedORifnoanswersareselectedforquestion6.11,therespondentwillbedirectedtoquestion6.13

6.12Pleaseprovideadditionaldetailsregardingthesituation,outcome,andanyimpactsonyourcompanyasaresultoftheincident(s)asindicatedinthepreviousquestion.Pleaselimityourresponseto2,000characters.Thisquestionrequestsanopen-endedtextresponse6.13Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany’spositionasaleaderindevelopingethicalbusinesspractices,neworinnovativeethics-relatedinitiatives,orthatdemonstratesyourcompany’spositiveethicalreputation.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse

Part7:ConclusionThankyouforparticipatingintheEthisphereInstitute’s2017EthicsQuotientsurveyandWorld’sMostEthicalCompanyselectionprocess.Ifyouhaveanyquestionsorconcernsaboutthesurveyorapplicationprocess,pleaseemailwmeapplications@ethisphere.com

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