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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.
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includefollowupinformationintheopen-endedcomments/feedbacksectionattheendofeachsectioninthesurveyorwiththesubmissionofsupportingdocumentation.
Youreceivedapersonalizedlinktothesurveyearlierviaemail.ThisURLservesasyourcompany’suniqueidentifier.Youmaystopandexitatanytimeduringthesurveyprocess,andresumeyourprogressbyfollowingthelinkagain.Youmaygobackandeditanyresponse.
Toavoidduplicatingoroverwritinginformation,itisstronglysuggestedthattheonlinesurveybecompletedbyasingleindividualatyourcompany.Oncethesurveyissubmitted,nofurthereditsmaybemade.
Ifyouhaveanyquestionsorexperiencetechnicaldifficulty,[email protected]
HowtoUseThisPDF
ThisPDFisdesignedtoallowyoutoefficientlyprepareresponsesandcollectanyneededinformationfromotherstakeholderswithinthecompanybeforecompletingtheonlinesurvey.ItisstronglyrecommendedthatyouprepareanswerstoeachquestionusingthisPDFcopyoftheSurveyinadvanceofcompletingtheonlinesurvey.Doingsowillexpeditetheonlineprocess.
Furthermore,thisPDFdocumentprovidesadditionalcontextthatwillnotappearwheninteractingwiththeonlinesurvey.Pleasenotethefollowingtexthighlightsandwhattheyrepresent:
Textprovidedinabluehighlightsignifiesskiplogicthatmay,dependinguponhowaparticularquestionisanswered,affecttheappearanceofthatquestionorsubsequentquestionsinthemannerdescribed.ThismeansthatnotallquestionscontainedinthePDFwillbeincludedintheonlinesurveypresentedtoyourcompany.
Textprovidedinanorangehighlightidentifiesquestionsthatareneworhavebeenrevisedforthe2017EQSurvey
Textprovidedinagrayhighlightdescribestheuniqueanswertyperequiredforagivenquestion,suchasopen-endedtextornumericentry
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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
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nomineeregardingtheWMEprocess,anyrelatedtopicsortodiscussorprovideEthisphereservices,events,orproducts.
2017WMELogo
ByparticipatingintheWMEselectionprocess,nomineeunderstandsandagreesthatifitshouldbeselectedtoEthisphere’s2017World’sMostEthicalCompanieslist,whilenomineemayusetexttoannounceandpublicizethehonor,itmustfollowEthisphere’spublishedBrandingandLogoUsageGuidelines,andthatanyuseofEthisphere’s2017WMElogoortheterm“World’sMostEthicalCompany”willbegovernedbyEthisphereLogoUseandBrandingGuidelinesandrelatedtermsandlicensefees.HonoreesmaynotdesigntheirownlogonordepartfromtheBrandingandLogoUseGuidelines.
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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):
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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
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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
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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
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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
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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
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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.
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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
onlinesurveytool)m Theperformancereviewisconductedbyaconsultingfirm(orotherthird-partyexternalto
thecompany)m AperformancereviewisnotcurrentlyconductedQuestion3.9hasbeenupdatedfor2017SkipLogic:If“Wedonotconductevaluations”isselectedfor“CommitteesoftheBoard”inquestion3.7,therespondentwillnotbepresentedquestion3.9
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3.10Pleaseselectthefollowingthatbestdescribestheprocessforconductingperformanceevaluationsforindividualdirectors.m Theperformancereviewisconductedinternallywithnoexternalassistancem Theperformancereviewisconductedinternallyusinganoutsideresourceortool(e.g.,an
onlinesurveytool)m Theperformancereviewisconductedbyaconsultingfirm(orotherthird-partyexternalto
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
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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
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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
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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
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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
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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
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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.
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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
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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
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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
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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”
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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
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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
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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
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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
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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
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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
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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)”
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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
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thattheywillfollowourCodeandthecertificationspecificallyincludeslanguage(inadditiontoanyincludedintheCode)regardingdisclosingoravoidingconflictsofinterest”
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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
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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
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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)____________________
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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
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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
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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
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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)____________________
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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
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4D.9Whichofthefollowingapplytohowyourcompanymanagesitsexposuretohumantraffickingrisk?Pleaseselectallthatapply.q Ourcompanymaintainsacommunicationsprogrampromotingazero-tolerancepolicy
prohibitinghumantraffickingandtrafficking-relatedactivitiesandtheconsequencesshouldemployeesviolatethisprohibition
q OurcompanymaintainsacommunicationsprogramthatinformsemployeesofthehotlinephonenumberoftheGlobalHumanTraffickinghotlineat1-844-888-FREEand/[email protected]
q Ourcompanymaintainsarecruitingplanthatpermitsonlytheuseofrecruitingcompanieswithtrainedemployees
q Ourcompanymaintainsarecruitingplanorpolicythatprohibitschargingemployeesrecruitmentfees
q Ourcompanymaintainsarecruitingplanorpolicythatrequireswagesmeetapplicablehost-countryrequirementsorexplainsanyvariance
q Ourcompanymaintainsahousingplanthatmeetsthehost-countryhousingandsafetystandards,ifnecessarytoprovideorarrangeemployeehousing
q Ourcompanymaintainsaprocedurepreventingallagentsandsubcontractorsfromengagingintraffickinginpersonsandrequiresthatourcompanyterminatesanyagents,subcontractors,orsubcontractoremployeesthathaveengagedinhumantrafficking-relatedactivities
q Ourcompanyusesother,uniqueeffortstopreventhumantrafficking(Pleasespecify)____________________
q Ourcompanyoroursupplychainhavealimited,non-materialexposuretohumantraffickingrisk
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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
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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
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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
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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)____________________
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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)____________________
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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
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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)
____________________
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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
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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
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4E.21Doseniorexecutiveleadersincludeexamplesofethicaldecisionstheyhavefacedintheircommunicationmaterials?m Yesm No4E.22Doesthecomplianceandethicsfunctionincludeexamplesofrealworldethicalorcompliancedilemmasorissuesintheircommunicationmaterials?Pleaseselectallthatapply.q Yes,weusethingsthathavehappenedwithinourorganization(withorwithoutdetails
omittedtopreserveanonymity)q Yes,weusethingsthathavehappenedoutsideourorganization(i.e.,inthenewsoratpeer
companies)q NoQuestion4E.22hasbeenupdatedfor2017
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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
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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”
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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
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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
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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
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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
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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
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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)____________________
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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)____________________
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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
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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
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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
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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
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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
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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”
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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
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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
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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”
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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
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thecomplianceprogram.Thisincludeshowtheculturesurveyorotherresultsareused.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse
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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
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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.
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Pleaseexplainifyourcompanyhasanysuchmechanisms.Pleaselimityourresponseto500characters.Question4H.6isnewfor2017Thisquestionrequestsanopen-endedtextresponse4H.7Selectthefollowingthatbestdescribesyourcompany’sexitinterviewprocess.m Ourcompanydoesnotroutinelyconductexitinterviewsm Ourcompanyroutinelyconductsexitinterviews,buttheydonotincludequestionsthatare
designedtoassesswhetherthedepartingemployeewasawareorconcernedaboutpotentiallyunethicaleventsthatweretakingplaceatourcompany
m Ourcompanyroutinelyconductsexitinterviewsthatincludequestionsthataredesignedtoassesswhetherthedepartingemployeewasawareorconcernedaboutpotentiallyunethicaleventsthatweretakingplaceatourcompany
4H.8Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany’scomplianceandethicsprogramyoubelievesupportsyourquestionnaireanswers.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse
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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
head
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
Question5.2hasbeenupdatedfor2017
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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
Sustainability-Related
CommunicationsorBriefings
q q q q q q
SocialResponsibility-
RelatedCommunications
orBriefings
q q q q q q
Question5.4hasbeenupdatedfor2017
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5.5Selectwhichtypesofcommunicationinvolvingseniorexecutives(e.g.,CEOandotherC-suitemembers)areusedwithinyourcompanytodiscusssustainabilityand/orsocialresponsibilityinitiatives.Pleaseselectallthatapply.
Sustainability-Related
CommunicationsinvolvingSeniorExecutives
SocialResponsibility-RelatedCommunicationsinvolvingSenior
Executives
Personalizedintroductiontotrainingregardingtheimportanceofthecompany’ssustainability&socialresponsibilityinitiatives
q q
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
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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
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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
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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
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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
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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
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5.22Whatareyourkeysustainabilityaccomplishmentsovertheprevious12months?Pleasedescribebelowandprovideanysupportingdocumentation.Pleaselimityourresponseto1,000characters.Thisquestionrequestsanopen-endedtextresponse5.23DoesyourcompanyadheretotheUnitedNations’GuidingPrinciplesonBusinessandHumanRights?m Yesm Nom Notsure
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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)____________________
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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
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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
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5.31Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany’sCSRorSustainabilityprogramsyoubelievesupportsyourquestionnaireanswers.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse
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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
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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”
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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
Question6.4hasbeenupdatedfor2017
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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
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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
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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
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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
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6.12Pleaseprovideadditionaldetailsregardingthesituation,outcome,andanyimpactsonyourcompanyasaresultoftheincident(s)asindicatedinthepreviousquestion.Pleaselimityourresponseto2,000characters.Thisquestionrequestsanopen-endedtextresponse6.13Pleaseprovideanyadditionalcommentaryasitpertainstoyourcompany’spositionasaleaderindevelopingethicalbusinesspractices,neworinnovativeethics-relatedinitiatives,orthatdemonstratesyourcompany’spositiveethicalreputation.Pleaselimityourresponseto500characters.Thisquestionrequestsanopen-endedtextresponse
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Part7:ConclusionThankyouforparticipatingintheEthisphereInstitute’s2017EthicsQuotientsurveyandWorld’sMostEthicalCompanyselectionprocess.Ifyouhaveanyquestionsorconcernsaboutthesurveyorapplicationprocess,[email protected]