B Please provide details of your USA subsidiaries State Turnover Union employees Non-union employees Full time Part time Full time Part time C Does the Company have a written Human Resources manual or equivalent written management guidelines? Yes No If “yes”, are all management and supervisory employees: (i) provided with a copy of such manual? Yes No (ii) provided with training in the proper implementation of the Company’s personnel policies and procedures? Yes No D Please tick box if the manual/ guidelines indicate a policy on procedure with respect to the following events Written application for employment Yes No Legally prohibited discrimination Yes No Compliance with statutes Yes No Redundancies, termination of employment and early retirement Yes No Employee appraisals/reviews Yes No Confidential treatment of medical examinations Yes No Sexual harassment Yes No Employee disciplinary actions Yes No E Please tick relevant box(es) if decisions regarding these events are always subject to prior review by the Company’s Human Resources department, Legal department or outside Legal Adviser.
Crime Supplementary Questions 1 Is the principle of dual control and independent validation applied with regard to all payments, including the drawing and signing of cheques and the use and of electronic funds transfers, opening new bank accounts or amending approved signatory details Yes No 2 Please confirm that no individual can control the appointing of suppliers or the awarding of contracts from commencement to completion without the referral to others Yes No 3 Please confirm the maximum value of money, securities, precious metals and/or jewellery at any one location GBP 4 Are bank statements independently reconciled by those not permitted to make payments, including the drawing and signing of cheques and the use of electronic funds transfers, at least every 30 days? Yes No 5 In connection with any acquisition, are all recommendations arising from the due diligence process immediately implemented? Yes No 6 (a) Have all recommendations by External Auditors regarding internal controls been complied with following your last audit? Yes No (b) If “no”, please provide details 7 Are monthly management reports examined for variances against budget forecasts and such variances investigated? Yes No 8 Are wages/salaries independently checked against personnel records for unusual or excessive payments? Yes No 9 When recruiting or promoting employees to positions of trust involving handling of stock, money, financial or treasury functions, do you: (a) obtain written references covering, at least, their previous 3 years employment history? Yes No (b) undergo a process to ensure their suitability for the position? Yes No 10 Is an independent physical count of stock, raw materials, work in progress and finished goods undertaken at least half yearly and is this count reconciled against stock records? Yes No 11 Are unique passwords used to give various levels of entry to the computer depending on the users’ job functions? Yes No 12 Are passwords automatically withdrawn when people leave? Yes No 13 Can payment instructions only be made to accounts which are pre-determined as an approved beneficiary? Yes No If any question is answered No please provide full details.