Appendix B: Procedure for Complaints, Investigations and Determination of Remedies

The Oversight Committee shall appoint a body of Assessors, led by a Head Assessor, who shall be responsible for the investigation of complaints and determination of remedies consistent with this Agreement. Assessors shall have relevant expertise, meaning that they have demonstrated professional expertise in investigating of gender-based violence and harassment and/or that ii) they have demonstrated expertise in investigating other forms of discrimination at the workplace including discrimination on the basis of caste and/or migration status. Assessors shall also be independent, meaning that they i) shall be permitted to carry out their activities without interference as described below and ii) shall not have worked at any time for any organization that has previously worked on GBVH at Natchi Apparels; and the Assessors, absent clear evidence of malfeasance or incompetence shall be permitted to carry out their activities, consistent with this Agreement, without restriction or interference, notwithstanding assistance from the Oversight Committee with administrative functions including financial management and controls, design and quality assurance and training.

Any written complaints of Category 1-3 violations may within six months of the incident be reported to the ICC or to the Assessors who shall refer them to the ICC; the ICC shall delegate the Head Assessor to select an Assessor to investigate and recommend remedies in a report to the ICC, which the Head Assessor shall approve. Prior to investigation, the ICC may facilitate conciliation with the consent of the worker alleging the violation(s), in which any remedy except monetary compensation may be agreed to and an Assessor shall attend such conciliation as a neutral observer to record such implementation plan.

Anonymous complaints of Category 1-3 violations or Category 4 complaints may be reported to the Assessors, who shall investigate and recommend remedies in a report to Eastman Exports. The Assessors may investigate all allegations that if true, would constitute a violation of Appendix A.

In conducting investigations, the Assessors shall observe the following obligations:

1. The Assessors shall fully comply with the POSH Act including but not limited to respecting due process and providing both parties an opportunity to be heard during the inquiry and a copy of the findings made available to both, enabling them to make a representation against them before the ICC; note the ICC does not delegate its Section 11 civil court powers under the POSH Act to the Assessors;

2. Assessors shall maintain records of the subject matter, handling, and disposition of all complaints received via the Grievance Mechanism, whether investigated or not;

3. Assessors shall request that any complainant(s) identify witnesses and other persons with first-hand information relevant to the subject matter of the Investigation, and, wherever prudent, interview these individuals at an offsite location;

4. Assessors shall maintain, unless given express personal permission to the contrary, the confidentiality of complainants, witnesses, and other individuals providing information to them concerning the subject matter of an Investigation and ensure that such persons shall be protected from retaliation for cooperating with the investigation;

5. If, at any time, it shall not be possible to carry out a fair and credible Investigation or to direct Remedies if violations are found, while also maintaining the confidentiality of the complainant and/or any of the witnesses, Assessors shall inform any complainants and/or relevant witnesses, and secure their informed consent before proceeding further with the Investigation and/or incorporating the latter’s testimony into the investigation’s findings.

6. Assessors shall in order to avoid interference with their work, whenever possible, schedule interviews with complainant(s), witnesses, and other persons with first-hand information relevant to the subject matter of the Investigation in advance, and arrange that these interviews be conducted in a location away from the Factories, prior to interviewing the person(s) alleged to have violated the Code of Conduct, any witnesses proposed by the latter, or any Supervisors or Managers (except where the Supervisor or Manager to be interviewed is a complainant);

7. Assessors shall when interviewing the person(s) alleged to have violated Appendix A and/or any Managers and Supervisors, inform the interviewees that any form of retaliation against the complainant or other persons providing information to the Assessors concerning the relevant subject matter shall result in the Assessor requiring that those responsible for the retaliation be subjected to disciplinary action, up to and including termination or dismissal;

8. Assessors shall in each investigation determine whether a violation of Appendix A has been proved based on whether the preponderance of the evidence gathered shows the violation, except in cases where there is a rebuttable presumption;

9. Assessors shall communicate their final report to the complainant, to the ICC and to both the Parties in writing on a confidential basis;

10. Assessors shall operate in all their activities in appropriate languages, including by engaging the services of translators, and shall issue their final reports as needed in both English and Tamil.

The Oversight Committee shall define a set of data points to be measured and released publicly no less than biannually. The Oversight Committee may periodically request that the Assessors prepare certain information on the Program including its progress for public publication, such as but not limited to statistics and case examples. Any such public disclosures shall not include the names of individuals involved in the complaint or information that would lead to their identification and which shall not be publicly reported until at least four (4) months from the date on which the Assessors reached a determination. In all cases, absent express permission to the contrary, such public reports shall not contain any information that would allow any complainants, or any witnesses other than the person(s) alleged to have violated Appendix A, to be identified.

The Assessors shall in all instances comply with applicable laws, and if it is determined by a Court of Law that any of the provisions of this Procedure conflict with the binding provisions of applicable law, Parties shall amend such provisions of this Procedure to resolve such conflict.