Employee Handbook

SG2X PLAYBOOK Employee Handbook

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 1 TABLE OF CONTENTS INTRODUCTION TO THE SG2X PLAYBOOK EMPLOYEE HANDBOOK................................................2 WHAT IS THE SG2X PLAYBOOK EMPLOYEE HANDBOOK?...............................................................2 WHY IS THE SG2X PLAYBOOK EMPLOYEE HANDBOOK IMPORTANT? 3 HOW TO USE THE SG2X PLAYBOOK EMPLOYEE HANDBOOK........................................................5 HOW TO ANALYZE YOUR CURRENT HR POLICIES 5 THE SG2X PLAYBOOK EMPLOYEE HANDBOOK TEMPLATE SECTION I 6 COMPANY CODE OF ETHICS 6 HARASSMENT, SEXUAL HARASSMENT & SEXUAL EXPLOITATION 8 DIVERSITY & INCLUSION 10 GENDER EQUALITY 11 HUMAN RIGHTS 11 ANTI-HUMAN TRAFFICKING 13 ENVIRONMENTALSOURCINGANTI-CORRUPTION.............................................................................................................................14PROCEDURE17SUSTAINABILITY..................................................................................................18 THE SG2X PLAYBOOK EMPLOYEE HANDBOOK TEMPLATE SECTION II.........................................18 HIRING, RECRUITMENT & REMUNERATION.....................................................................................18 LEAVE AND BURDEN OF CARE 19 GRIEVANCE PROCEDURES 20 FLEXIBLE WORK HOURS 21 EMPLOYEE TERMINATION 22 PERFORMANCE REVIEW 24 EMPLOYEE PROFESSIONAL DEVELOPMENT 24 PROCUREMENT PROCEDURE 25 RISK MANAGEMENT PROCEDURE 26 COMMUNITY SERVICE OVERVIEW 27 EMPLOYEE COMMITMENT STATEMENT 28 STATEMENT OF ACKNOWLEDGEMENT 29 HR POLICY IMPLEMENTINGTEMPLATES........................................................................................................................30THESG2XPLAYBOOKEMPLOYEEHANDBOOK....................................................31

In the SG2X Playbook, we aim to guide SME owners through a process that helps them make the right, strategic choices that will help their company grow. This begins with strong HR policies that entrepreneurs and executives tailor to their company’s specific needs and then actually use to create a high-performing culture and workforce.

INTRODUCTION TO THE SG2X PLAYBOOK EMPLOYEE HANDBOOK

Poor management is one of greatest barriers that holds companies back from growing, but it is also one of the areas SME entrepreneurs and executives have the most control over and ability to change. By adopting and implementing this Employee Handbook and policies, entrepreneurs and executives can take a huge step away from being an SME and towards becoming a worldclass company.

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WHAT IS THE SG2X PLAYBOOK EMPLOYEE HANDBOOK?

We begin the SG2X Playbook with a focus on human capital and human resource (HR) management. We have learned that one of the greatest barriers to growth that keeps SME stuck in the “missing middle” is not a lack of financial capital, but a lack of quality human capital. While access to capital is certainly a barrier for many SMEs, we have found that when SMEs do obtain a loan or an equity investment, entrepreneurs and executives would rather use those funds to purchase physical assets or raw materials. Most entrepreneurs and executives fear that if they invest and train their best performers, those employees will leave them or, worse, become their competitor. While some turnover and employee issues are unavoidable, we have found that SME owners consistently under-invest in their human capital.

The purpose of this section of the SG2X Playbook, which we call the Employee Handbook, is to provide SME entrepreneurs, executives and managers (collectively “management”) with a tool to house and implement their HR policies. Do not let the term “gender-smart” lead you to believe that this is only for women-owned companies or policies for women. As you will learn, building a gender-smart business offers shareholders significant advantages. Unfortunately, most management teams either do not know about or refuse to adopt these policies despite the overwhelming evidence that, if done correctly, the company will achieve superior results.

We use the term “Employee Handbook” to mean a tool a company uses to communicate and implement its HR policies. The reality is that most employees and managers never read the dense HR policies – who has the time? But they are very important. So, the Employee Handbook summarizes them, and then provides guidance about how the policies are actually implemented on a day-to-day basis. The Employee Handbook should be given to all new employees when they are hired, and updated and reviewed periodically. Employees use the handbook to understand their rights, and managers use the handbook to protect their employees and ensure everyone understands the rules and policies that govern how people work at the company.

Please note, this document is not an exhaustive list of policies and others may need to be included in your company’s Employee Handbook based on the needs of the company or the laws of the country in which it operates. Rather, this is a template. Management should seek guidance from their fund managers or lawyers before adopting the policy language or linked policy templates included below. Most importantly, managers should

We believe that a key factor that drives the success of an SME is people management. And because women make up 50% of the market and in many cases 50% of the workforce, having a people management strategy that is intentionally designed to be “gender-smart” is simply a smarter way of doing business. And while we all may think we do not have biases towards different sexes, think again. One of the reasons why women are underrepresented in leadership positions or face discrimination in hiring and promotions is unconscious biases in decisionmaking. Gender-smart policies can help to illuminate and address unconscious bias and promote equality in employee recruitment and progression. Thus, before you read any further, we want to make sure that you, as either an SME manager (or fund manager), truly understand the importance of why adopting and implementing gender-smart policies are so important. Below, we’ve outlined some key facts and figures that will not only support but will drive your company to support gender equality and women’s economic empowerment.i

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 3 understand the policies in plain language so that they could describe them to an outsider, such as a potential investor or a future hire. Understanding these policies in plain language will also help you develop unique strategies to implement the policies, which could make your company stand out amongst its competitors.

Our aim is that by using the policy language and templates, you can save time and money and focus on the important task at hand: adoption of the policies so that your company will be able to realize improved employee satisfaction and create an environment for sustainability and growth. Adoption into your company’s culture is the real work in achieving gender equality within your company (and for fund managers to achieve it within their portfolios). We provide some strategies and ideas below to help you get inspired, and we hope you will dedicate the time and resources to make it happen in your organization.

WHY IS THE SG2X PLAYBOOK EMPLOYEE HANDBOOK IMPORTANT?

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THE IMPORTANCE OF ADOPTING GENDER-SMART POLICIES AND BUILDNG A GENDER-SMART WORKFORCE

HOW DOES ADOPTION MAKE A DIFFERENCE?

 Diversity is a key ingredient for better decision-making among teams –while homogenous groups may be susceptible to groupthink, diverse teams can leverage a greater variety of perspectives and are likely to consider information more thoroughly and accurately.

Engage a Wider Customer  In general, women either make or influence up to 80% of household

Attract Top Talent and Retain Employees

 When employees feel both included and that their employer supports diversity, they report experiencing trust and increased engagement at work.

 A 10% increase in perceptions of inclusion improves absenteeism, adding nearly one day a year in work attendance per employee.

 Diverse management teams are innovative and earn a premium for their innovation - companies with higher diversity in management earn 38% more of their revenues, on average, from innovative products and services than those companies with lower diversity.

Increase Company Revenue and Profit and Reduce Costs

 Women are more likely to express interest in an organization and perceive it as fair when women are highly represented in top management positions.

 Paid family leave offers clear advantages to both employers and families.

WHY ARE THEY IMPORTANT?

 Employee experiences of inclusion contribute to engagement and retention - 35% of an employee’s emotional investment to their work and 20% of their desire to stay at their organization is linked to feelings of inclusion.

 Companies rated in the top quartile for gender diversity on executive teams are 21% more likely to outperform on profitability and 27% more likely to have superior value creation.

a. Further, this is one of the biggest risks for investors and fund managers under their due diligence criteria and screening – the existence of discrimination and sexual harassment will make or break a decision on whether to invest in a company or trigger disciplinary action/penalties for existing investee companies that could lead to divestment.

 Women experience less discrimination and sexual harassment in inclusive workplace cultures. On average, 34% of women employees experience sexual harassment in the workplace, which not only deeply affects their lives, but also negatively impacts the company’s overall performance and culture.

A study by the Institute for Women's Policy Research found that paid family leave helps employers because it can increase employee morale, productivity, and labor force attachment once new parents (particularly mothers) return to work.

Companies with higher levels of gender diversity and with HR policies and practices that focus on gender diversity are linked to lower levels of employee turnover.

 Companies rated in the top quartile for ethnic/cultural diversity on executive teams were 33% more likely to have industry-leading profitability.

 Gender diverse corporate boards are associated with fewer financial reporting mistakes and controversial business practices such as fraud and earnings manipulation.

Create a Positive Work Culture and Increase Employee Productivity

HOW TO ANALYZE YOUR CURRENT HR POLICIES

4. Hold a working session with management to update the Employee Handbook based on the working group’s feedback.

6. Prepare a roll-out plan to share with employees and staff, as well as a monitoring plan to ensure key policies are being implemented.

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To analyze existing policies and level of adoption within your organization, we recommend managers use one of the following scorecards or frameworks. These can be daunting and overwhelming. So, to help you, we have put the page number in of where you can find the scorecard in the document. If you want more information on the background of these tools, we suggest you read the entire document.

SG2X PLAYBOOK EMPLOYEE HANDBOOK Base buying decisions. Access a Wider Pool of Investment Capital  Impact investors, including DFIs, are investing in companies and SME portfolios that can demonstrate a commitment to gender equality through pools of capital earmarked for gender-lens investing. Through the 2X Challenge alone, more than $4.5B in capital has been committed to gender-lens investing.

 SEAF Gender Equality Scorecard: investors, including fund managers and development finance institutions (DFIs) use this tool to assess investee companies (potential and existing), and SMEs use this tool to benchmark their performance against key areas and identify priorities for growth. See Safe & Healthy Workplace Environment (pages 56-57) for the relevant assessment questions and scoring instructions.

HOW TO USE THE SG2X PLAYBOOK EMPLOYEE HANDBOOK

1. Read through the Employee Handbook language and linked policy templates (below).

3. Convene a working group of four to six employees, ideally 50% men and women from different areas of the company, to review and discuss the HR policies identified as needing an upgrade or missing. Then, ask them to prepare a list of questions and recommendations that management will review when designing the fulsome HR policy.

2. Analyze existing policies and levels of adoption within your company (see the immediate next section on how to do this).

The SG2X Playbook Employee Handbook is designed to help a company quickly and smartly adopt best practices in HR management and gender equality. Light on theory, heavy on practical implementation, this handbook should be reviewed, then customized based on the company’s size, sector and specific laws in the country in which it operates.

5. Hire a local lawyer to review and approve the draft Employee Handbook.

To use this Employee Handbook template, the SME manager should:

GEM Framework Full Assessment: MEDA’s GEM Framework has an extensive assessment, a part of which evaluates the presence of gender-smart practices and policies. Given that the assessment collects a range of information and seeks to understand employee and manager opinions, MEDA recommends that it is conducted by a capacity builder with gender; environmental, social, and governance (ESG) and business experience who is less likely to be skewed by gender and other biases. The Full Assessment instructions start on page 33 of the framework with the Interview Tool starting on page 51 of the framework.

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SECTION I

COMPANY CODE OF ETHICS

1. Integrity: Being straightforward, honest and truthful in all professional and business relationships. You should not be associated with any information that you believe contains a materially false or misleading statement, or which is misleading by omission.

2. Objectivity: Not allowing bias, conflict of interest or the influence of other people to override your professional judgment.

3. Professional Competence and Due Care: An ongoing commitment to your level of professional knowledge and skill. Base this on current developments in practice, legislation and techniques. Those working under your authority must also have the appropriate training and supervision.

4. Confidentiality: You should not disclose professional information unless you have specific permission or a legal or professional duty to do so.

 The Women's Empowerment Principles Gender Gap Analysis Tool: this online assessment helps companies identify strengths, gaps, and opportunities to improve their performance on gender equality. Developed by the United Nations and IDB Invest, the assessment questions are based on real-life company practice, international standards, and indicators.

THE SG2X PLAYBOOK EMPLOYEE HANDBOOK TEMPLATE

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Company Vision: [Vision Statement] Values: [Values Statement] Mission: [Mission Statement]

Code of Ethics Principles: [COMPANY NAME] Code of Ethics is made up of five fundamental principlesii

The policy language included in this section is what HR and gender experts deem to be absolutely essential for the successful operation of any company. If your company is missing any of the policies listed below, they should immediately be adopted and implemented within your company. If any of your existing policies appear to be deficient or lacking in comparison, then consider upgrading your policy by using the language included in the templates below.

Respect for the Individual: We all deserve to work in an environment where we are treated with dignity and respect. The Company is committed to creating such an environment because it brings out the full potential in each of us, which, in turn, contributes directly to our business success. We cannot afford to let anyone’s talents go to waste.

The Company is an equal employment/affirmative action employer and is committed to providing a workplace that is free of discrimination of all types and from abusive, offensive or harassing behavior. Any employee who feels harassed or discriminated against should report the incident to his or her manager or to human resources.

Set Expectations for Managers: Management has the added responsibility for demonstrating, through their actions, the importance of this Code. In any business, ethical behavior does not simply happen; it is the product of clear and direct communication of behavioral expectations, modeled from the top and demonstrated by example. Again, ultimately, our actions are what Tomatters.make our Code work, managers must be responsible for promptly addressing ethical questions or concerns raised by employees and for taking the appropriate steps to deal with such issues. Managers should not consider employees’ ethics concerns as threats or challenges to their authority, but rather as another encouraged form of business communication. At the Company, we want the ethics dialogue to become a natural part of daily work.

The Company will investigate all reported instances of questionable or unethical behavior. In every instance where improper behavior is found to have occurred, the company will take appropriate action. We will not tolerate retaliation against employees who raise genuine ethics concerns in good faith.

When considering any action, it is wise to ask: does this support the Company’s commitment to environmental and social responsibility? Will this build trust and credibility for the Company? Will it help create a working environment in which the Company can succeed over the long term? Is the commitment I am making one I can follow through with? The only way we will maximize trust and credibility is by answering “yes” to those questions and by working every day to build our trust and credibility.

Open and Honest Communication: At the Company, everyone should feel comfortable to speak his or her mind, particularly with respect to ethics concerns. Managers have a responsibility to create an open and supportive environment where employees feel comfortable raising such questions. We all benefit tremendously when employees exercise their power to prevent mistakes or wrongdoing by asking the right questions at the right times.

Building Trust: The success of our business is dependent on the trust and confidence we earn from our employees, customers and shareholders.iii We gain credibility by adhering to our commitments, displaying honesty and integrity and reaching company goals solely through honorable conduct. It is easy to say what we must do, but the proof is in our actions. Ultimately, we will be judged on what we do.

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5. Professional Behavior: Comply with relevant laws and regulations. You must also avoid any action that could negatively affect the reputation of the profession.

Health and Safety: The Company is dedicated to maintaining a healthy environment. A safety manual has been designed to educate you on safety in the workplace. If you do not have a copy of this manual, please see the HR department.

HARASSMENT, SEXUAL HARASSMENT & SEXUAL EXPLOITATION [COMPANY NAME] will not tolerate harassment or sexual harassment of any applicant, employee or customer by a managing partner, fellow employee, or independent contractor on the Company premises or at "on location" sites, nor will the Company tolerate sexual exploitation and abuse of any member of the communities in which the Company operates by any staff member, employee or independent contractor of the Company or of our partners or portfolio Harassmentcompanies.onthe

Uphold the Law: [COMPANY NAME]’s commitment to integrity begins with complying with laws, rules and regulations where we do business. Further, each of us must have an understanding of the company policies, laws, rules and regulations that apply to our specific roles. If we are unsure of whether a contemplated action is permitted by law or the Company policy, we should seek the advice from the resource expert. We are responsible for preventing violations of law and for speaking up if we see possible violations. Because of the nature of our business, some legal requirements warrant specific mention here. [Note to employer: Insert any applicable industry-specific laws here].

basis of any protected characteristic is also strictly prohibited. Under this policy, harassment is verbal, written or physical conduct that denigrates or shows hostility or aversion toward an individual because of his or her race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, marital status, citizenship, genetic information, or any other characteristic protected by law, or that of his or her relatives, friends or associates, and that: a) has the purpose or effect of creating an intimidating, hostile or offensive work environment, b) has the purpose or effect of unreasonably interfering with an individual’s work performance, or c) otherwise adversely affects an individual’s employment opportunities.

Selective Disclosure: We will not selectively disclose (whether in one-on-one or small discussions, meetings, presentations, proposals or otherwise) any material nonpublic information with respect to the Company, its securities, business operations, plans, financial condition, results of operations or any development plan. We should be particularly vigilant when making presentations or proposals to customers to ensure that our presentations do not contain material nonpublic information.

Competition: We are dedicated to ethical, fair and vigorous competition. We will sell the Company’s products and services based on their merit, superior quality, functionality and competitive pricing. We will make independent pricing and marketing decisions and will not improperly cooperate or coordinate our activities with our competitors. We will not offer or solicit improper payments or gratuities in connection with the purchase of goods or services for the Company or the sales of its products or services, nor will we engage or assist in unlawful boycotts of particular customers.

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Proprietary Information: It is important that we respect the property rights of others. We will not acquire or seek to acquire improper means of a competitor’s trade secrets or other proprietary or confidential information. We will not engage in unauthorized use, copying, distribution or alteration of software or other intellectual property.

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Harassing conduct includes epithets, slurs or negative stereotyping; threatening, intimidating or hostile acts; denigrating jokes; and written or graphic material that denigrates or shows hostility or aversion toward an individual or group that is placed on walls or elsewhere on the employer’s premises or circulated in the workplace, on company time or using company equipment by email, phone (including voice messages), text messages, social networking sites or other means.

Sexual exploitation is defined as actual or attempted abuse of a position of vulnerability, power, or trust, for sexual purposes, including, but not limited to, profiting monetarily, socially or politically from the sexual exploitation of another. Sexual abuse is defined as actual or threatened physical intrusion of a sexual nature, whether by force or under unequal or coercive conditions. Sexual exploitation and abuse are distinct from sexual harassment. Sexual exploitation and abuse occur when a position of power is used for sexual purposes against a beneficiary (whether of [COMPANY NAME]’s products or services, or of [COMPANY NAME]’s partners or portfolio companies) or vulnerable member of the communities in which [COMPANY NAME] operates, whereas sexual harassment is directed against a colleague, employee or other person in the workplace. In addition, the Company will not tolerate harassment on other grounds, including race, color, national origin, religion, age, disability, and any other basis prohibited by applicable law.

Harassment includes jokes, verbal abuse and epithets, degrading comments, the display of offensive objects and pictures, and other physical or verbal conduct that the individual might reasonably find to be offensive or that creates a hostile work environment.

Sexual harassment can take two distinct forms: “quid pro quo” and “hostile work environment.”

Sexual harassment is defined as unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature when (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment, (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual or (3) such conduct has the purpose or effect of substantially interfering with an individual’s work performance or creating an intimidating, hostile, or offensive working environment.

Quid pro quo harassment occurs when submission to sexual conduct is made a condition of employment or employment benefits. Hostile work environment occurs when sexual conduct unreasonably interferes with an employee’s work performance or creates an intimidating, abusive or offensive work environment. Sexual harassment includes verbal harassment, such as epithets, derogatory comments or slurs; physical harassment, such as assault, impeding or blocking movement, or any physical interference with normal work movement; and visual harassment, such as derogatory posters, cartoons, or drawings.

Incidents of alleged harassment/sexual harassment, or sexual exploitation and abuse, will be taken seriously by the Company and will be promptly investigated when such allegations are made. Appropriate corrective action, up to and including termination, will be taken if claims are determined to be true. Any individual who believes that he/she has been subject to harassment/sexual harassment or sexual exploitation and abuse, or has reason to believe harassment/sexual harassment or sexual exploitation and abuse may be taking place towards other individuals, either within [COMPANY NAME] or externally in related organizations or settings (such as in our portfolio companies, Chigign Tobiya or other [COMPANY NAME]-led initiatives), whether or not it directly affects that individual, should report the circumstances as soon as possible to the Operations Manager or a managing partner. All complaints will be

We embrace and encourage our employees’ differences in age, color, disability, ethnicity, family or marital status, gender identity or expression, language, national origin, physical and mental ability, political affiliation, race, religion, sexual orientation, socio-economic status, veteran status, and other characteristics that make our employees unique. [COMPANY NAME]’s diversity initiatives are applicable - but not limited - to our practices and policies on recruitment and selection; compensation and benefits; professional development and training; promotions; transfers; social and recreational programs; layoffs; terminations; and the ongoing development of a work environment built on the premise of gender and diversity equity that encourages and enforces:

DIVERSITY & INCLUSION

Diversity, Equity and Inclusion: [COMPANY NAME] is committed to fostering, cultivating and preserving a culture of diversity, equity and inclusion.iv

 Employer and employee contributions to the communities we serve to promote a greater understanding and respect for diversity.

All employees of [COMPANY NAME] have a responsibility to treat others with dignity and respect at all times. All employees are expected to exhibit conduct that reflects inclusion during work, at work functions on or off the work site, and at all other company-sponsored and participative events. All employees are also required to attend and complete annual diversity awareness training to enhance their knowledge to fulfill this responsibility.

 Work/life balance through flexible work schedules to accommodate employees’ varying needs.

 Respectful communication and cooperation between all employees.

Our human capital is the most valuable asset we have. The collective sum of the individual differences, life experiences, knowledge, inventiveness, innovation, self-expression, unique capabilities and talent that our employees invest in their work represents a significant part of not only our culture, but our reputation and company’s achievement as well.

 Teamwork and employee participation, permitting the representation of all groups and employee perspectives.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 10 treated with confidentiality, to the extent possible given the Company’s obligation to investigate and report to development partners, and no retaliatory or punitive action will be taken against an employee on account of filing a complaint in good faith.

In addition, supervisors are prohibited from dating employees who are employed in their immediate area of supervision or responsibility. Any supervisor who is involved in a relationship with a subordinate must report the relationship to the Operations Manager or a managing partner so that a reassignment of supervisory duties can be made. Employees who engage in personal relationships with co-workers should conduct themselves in a business-like manner and not engage in inappropriate physical contact while on the Company premises or at “on location” sites.

This policy is in line with the U.N. Guiding Principles on Business and Human Rights, we base our human rights policy commitment on the International Bill of Human Rights (consisting of the Universal Declaration of Human Rights, the International Covenant on Civil and Political Rights, and the International Covenant on Economic, Social and Cultural Rights) and the principles concerning fundamental rights set out in the International Labour Organization’s Declaration on

[COMPANY NAME] confronts and challenges discrimination and human rights violations based on gender, including gender-based violence, and other forms of exclusion. We also challenge stereotyping and unequal power relations between women, men, boys, and girls to promote gender equality, women's rights, and inclusion. We foster an organizational culture that embraces and exemplifies our commitment to gender equality, women's rights and inclusion, while supporting employees and portfolio companies to adopt good practices, positive attitudes and principles of gender equality and inclusion.

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Any employee found to have exhibited any inappropriate conduct or behavior against others may be subject to disciplinary action. Employees who believe they have been subjected to any kind of discrimination that conflicts with the company’s diversity policy and initiatives should seek assistance from a supervisor or an HR representative.

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 Strengthen and build partnerships with the greater community that promotes respect for gender equality, diversity and inclusion; engage partners in joint approaches to promote gender equality, girls’ rights, and inclusion.

Design, implement, monitor and evaluate gender inclusive initiatives; implementing longterm strategies that spur social norm change to end injustice, challenge unequal power relations and address the root causes of discrimination.

 Monitor and evaluate all of our work from the perspective of achieving gender equality, women's rights, and inclusion, in order to improve the quality of our work, contribute to continuous learning, provide an evidence base to inform future decisions and ensure accountability to the people we work with and for.

HUMAN RIGHTS

GENDER EQUALITY

Applicable Requirements: In order to effectively promote gender equality, women's rights and inclusion, [COMPANY NAME] commits to:  Integrate gender equality and inclusion measures that align with and complement the company’s Guiding Statements into our business processes, management functions and leadership, and the way we conduct our work. We do not tolerate practices that result in gender-based discrimination, exclusion or inequality based on gender or other forms of identity.

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Strengthen and scale up our efforts to influence decision makers at all levels to embrace gender equality, women's rights and inclusion.

Fundamental Principles and Rights at Work and the United Nations Global Compact v [COMPANY NAME] is committed to respecting all internationally recognized human rights as relevant to our operations.

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Mandatory conduct and sourcing principles enforced by [COMPANY NAME] and, where applicable, through the company’s network of suppliers and distributors:

Our principle is that where national law and international human rights standards differ, we will follow the higher standard; where they are in conflict, we will adhere to national law, while seeking ways to respect international human rights to the greatest extent possible.

 Business is conducted lawfully and with integrity: this means compliance with all local laws and regulations; prohibition on any and all forms of bribery, corruption, extortion or embezzlement; identification and avoidance of conflicts of interest; competitor information is obtained and used legitimately and in compliance with all applicable laws and regulations; and all business and commercial dealings are transparently performed and accurately recorded in the company’s and supplier’s books and records.

All workers are treated with respect and dignity: this means no worker is subject to any physical, sexual, psychological or verbal harassment, abuse or other form of intimidation. There is no discrimination in employment, including hiring, compensation, advancement, discipline, termination or retirement. Discrimination based on race, ethnicity, age, role, gender, gender identity, color, religion, country of origin, sexual orientation, marital status, pregnancy, dependents, disability, social class, union membership or political views is prevented. In particular, attention is paid to the rights of workers most vulnerable to discrimination.

[COMPANY NAME] prohibits discrimination, forced, trafficked and child labor and is committed to safe and healthy working conditions, the dignity of the individual and the right to freedom of association and collective bargaining and effective information and consultation procedures. [COMPANY NAME] is also committed to the principle of free, prior and informed consent, and supports its implementation by national authorities.

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All work is conducted on a voluntary basis: under no circumstances will [COMPANY NAME] or supplier or distributor use forced labor, whether in the form of compulsory or trafficked labor, indentured labor, bonded labor or other forms. Mental and physical coercion, slavery and human trafficking are prohibited.

 All workers are paid fair wages: all workers of [COMPANY NAME] should be provided with a total compensation package that includes wages and benefits, and meets or exceeds the legal minimum standards or appropriate prevailing industry standards, whichever is higher. [COMPANY NAME] will strive to work with suppliers and distributors to ensure that they provide fair wages to their employees.

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All workers are of an appropriate age: under no circumstances will [COMPANY NAME] employ individuals that are under the local legal minimum age for work. [COMPANY NAME] will endeavor to ensure this policy is strictly followed by their suppliers or distributors.

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Provide or arrange housing that fails to meet the host/cooperating country housing and safety standards (if [COMPANY NAME] provides or arranges for the employee’s housing); and/or

ANTI-HUMAN TRAFFICKING

Empowering Women Through Rights, Skills and Opportunities: In Africa, many women face discrimination and disadvantage, lack access to skills and training, and face roadblocks to their active participation in the economy. They often lack the protection of basic rights and laws. Poverty, discrimination and violence against women are major barriers to opportunity.

Women are integral to [COMPANY NAME] ability to achieve long-term success. We seek to manage and grow a responsible business where women participate on an equal basis. We believe that women’s rights and economic inclusion are priorities to achieve sustainable growth.

 Use forced labor in the performance of a contract, cooperative agreement, or sub-award;  Deny any employee access to his/her identity or immigration documents;  Use misleading or fraudulent practices during the recruitment of any employee(s) and/or the offer of employment; Use recruiters who violate [Country] and or the applicable labor laws where the recruitment occurs;  Charge employee(s) recruitment fees;

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Procure any sex act in exchange for anything of value and/or of perceived value;

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Withhold or fail to provide and/or pay the cost for an employee’s return transportation upon the end of his/her employment (for employees who are not local nationals of the host/cooperating country where the work occurs and who traveled to the host/cooperating country to work on a project contract, subcontract, cooperative agreement, or sub-award);

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This Human Rights policy starts with the respect of the rights of all people, including women, and extends to their promotion as well as helping to develop skills and open up opportunities, both in our own operations and our supplier and distributors, where possible.

Business is conducted in a manner which supports environmental sustainability: operations, sourcing, manufacturing, distribution of products and the supply of services are conducted with the aim of protecting and preserving the environment.

Pursuant to the terms of [list local laws and/or regulations], [the Company’s] employees, agents, as well as its subcontractors and suppliers and their employees and agents, are forbidden tovi:

Recruit, harbor, transport, provide, or obtain persons, through the use of force, fraud, and/or coercion, and subject any person to involuntary servitude; and/or procure commercial sex acts from any person; 

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Women are integral to [COMPANY NAME] ability to achieve long-term success. We seek to manage and grow a responsible business where women participate on an equal basis. We believe that women’s rights and economic inclusion are priorities to achieve sustainable growth.

Empowering Women Through Rights, Skills and Opportunities

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Fail to provide an employment and/or recruitment agreement, or other required work documents in writing as required by applicable US or local law or the contract, cooperative agreement, or sub-award.

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: In Africa, many women face discrimination and disadvantage, lack access to skills and training, and face roadblocks to their active participation in the economy. They often lack the protection of basic rights and laws. Poverty, discrimination and violence against women are major barriers to opportunity.

This Human Rights policy starts with the respect of the rights of all people, including women, and extends to their promotion as well as helping to develop skills and open up opportunities, both in our own operations and our supplier and distributors, where possible.

Any violation of the Anti-Human Trafficking policy could result in immediate termination. [COMPANY NAME] employees are expected to report any credible information of violations of this policy. [COMPANY NAME] employees are also required complete annual anti-human trafficking awareness training.

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Anti-Human Trafficking Reporting: [COMPANY NAME] employees can be confident that they may comply with their responsibility to report suspected instances of human trafficking in good faith, without fear of retaliation, and subject to protection from reprisal for whistleblowing on trafficking in persons violations, or any activity that violates the contract clause or cooperative agreement standard provision.

ANTI-CORRUPTION

 [COMPANY NAME] employees shall immediately inform their supervisor if they become aware of credible information of human trafficking.

The payment of bribes to influence the acts or decisions of foreign officials, foreign political parties or candidates for foreign political office is unethical and strictly forbidden. It is counter to the moral expectations and values of [COMPANY NAME] and our stakeholders. Not only is it unethical, but it is also bad business as well. It erodes confidence of our employees, customers, suppliers and other stakeholders in the integrity of the business, investment and regulatory ecosystems in which we operate. It short-circuits the marketplace by directing business to those companies too inefficient to compete in terms of price, quality or service, or too lazy to engage in honest salesmanship, or too intent upon unloading marginal products.

In short, bribes reward corruption instead of efficiency and put pressure on ethical enterprises to lower their standards or risk losing business. Bribing government officials, political parties or candidates for political office is strictly forbidden and will not be tolerated at [COMPANY NAME], whether by our employees or by portfolio companies or employees of these companies.

 May report suspected or actual human trafficking activities to our anonymous reporting form linked here [link online anonymous reporting form], by calling the Global Human Trafficking Hotline at +1-844-888-FREE or contacting them by email at help@befree.org

Being employed (you or a close family member) by, or acting as a consultant to, a competitor or potential competitor, supplier or contractor, regardless of the nature of the employment, while you are employed with [COMPANY NAME].

Conflicts of Interest: A simple way to avoid corruption and bribery is to avoid conflicts of interest.vii We must avoid any relationship or activity that might impair, or even appear to impair, our ability to make objective and fair decisions when performing our jobs. At times, we may be faced with situations where the business actions we take on behalf of [COMPANY NAME] may conflict with our own personal or family interests. We owe a duty to [COMPANY NAME] to advance its legitimate interests when the opportunity to do so arises. We must never use [COMPANY NAME] property or information for personal gain or personally take for ourselves any opportunity that is discovered through our position with [COMPANY NAME].

Here are some other ways in which conflicts of interest could arise:

Hiring or supervising family members or closely related persons.  Serving as a board member for an outside commercial company or organization.



Owning or having a substantial interest in a competitor, supplier or contractor.

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Having a personal interest, financial interest or potential gain in any [COMPANY NAME] transaction.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 15

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Gifts, Gratuities and Business Courtesies: [COMPANY NAME] is committed to competing solely on the merit of our products and services. We should avoid any actions that create a perception that favorable treatment of outside entities by [COMPANY NAME] was sought, received or given in exchange for personal business courtesies. Business courtesies include gifts, gratuities, meals, refreshments, entertainment or other benefits from persons or companies with whom [COMPANY NAME] does or may do business. We will neither give nor accept business courtesies that constitute, or could reasonably be perceived as constituting, unfair business inducements that would violate law, regulation or policies of [COMPANY NAME] or customers, or would cause embarrassment or reflect negatively on [COMPANY NAME]’s reputation.

Any demands for a bribe or witnessing of corrupt practices are to be immediately reported to a [COMPANY NAME] manager or can be done so anonymously through [COMPANY NAME]’s Bribery Reporting form found at the following link: [link online anonymous bribery reporting form]

Placing company business with a firm owned or controlled by a [COMPANY NAME] employee or his or her family.

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

Accepting gifts, discounts, favors or services from a customer/potential customer, competitor or supplier, unless equally available to all [COMPANY NAME] employees. Determining whether a conflict of interest exists is not always easy to do. Employees with a conflict of interest question should seek advice from management. Before engaging in any activity, transaction or relationship that might give rise to a conflict of interest, employees must seek review from their managers or the HR department.

: Most business courtesies offered to us in the course of our employment are offered because of our positions at [COMPANY NAME]. We should not feel any entitlement to accept and keep a business courtesy. Although we may not use our position at [COMPANY NAME] to obtain business courtesies, and we must never ask for them, we may accept unsolicited business courtesies that promote successful working relationships and good will with the firms that [COMPANY NAME] maintains or may establish a business relationship

 The courtesies are not frequent and do not reflect a pattern of frequent acceptance of courtesies from the same person or entity.

Flowers, fruit baskets and other modest presents that commemorate a special occasion.

who award contracts or who can influence the allocation of business, who create specifications that result in the placement of business or who participate in negotiation of contracts must be particularly careful to avoid actions that create the appearance of favoritism or that may adversely affect the company’s reputation for impartiality and fair dealing. The prudent course is to refuse a courtesy from a supplier when [COMPANY NAME] is involved in choosing or reconfirming a supplier or under circumstances that would create an impression that offering courtesies is the way to obtain [COMPANY NAME] business.

Meals, Refreshments and Entertainment: We may accept occasional meals, refreshments, entertainment and similar business courtesies that are shared with the person who has offered to pay for the meal or entertainment, provided that:

The courtesy does not create the appearance of an attempt to influence business decisions, such as accepting courtesies or entertainment from a supplier whose contract is expiring in the near future.

Employeeswith.

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The employee accepting the business courtesy would not feel uncomfortable discussing the courtesy with his or her manager or co-worker or having the courtesies known by the public.

 They are not inappropriately lavish or excessive.



Accepting Business Courtesies

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 16

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Gifts: Employees may accept unsolicited gifts, other than money, that conform to the reasonable ethical practices of the marketplace, including:

 Gifts of nominal value, such as calendars, pens, mugs, caps and t-shirts (or other novelty, advertising or promotional items).



Generally, employees may not accept compensation, honoraria or money of any amount from entities with whom [COMPANY NAME] does or may do business. Tangible gifts (including tickets to a sporting or entertainment event) that have a market value greater than $100 may not be accepted unless approval is obtained from management.

Employees with questions about accepting business courtesies should talk to their managers or the HR department.

our government customers, for whom special rules apply, we may provide nonmonetary gifts (i.e., company logo apparel or similar promotional items) to our customers.

: Any employee who offers a business courtesy must assure that it cannot reasonably be interpreted as an attempt to gain an unfair business advantage or otherwise reflect negatively upon [COMPANY NAME]. An employee may never use personal funds or resources to do something that cannot be done with [COMPANY NAME] resources.

 The business courtesy is consistent with industry practice, is infrequent in nature and is not lavish.

The business courtesy is properly reflected on the books and records of [COMPANY NAME].

 Suppliers must not utilize involuntary labor of any type. This shall include, but not be limited to, forced, indentured, bonded or prison labor.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 17

Offering Business Courtesies

Further, management may approve other courtesies, including meals, refreshments or entertainment of reasonable value, provided that:

The following applies to all suppliers providing products and/or services to [COMPANY NAME]:

SOURCING PROCEDURE

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 The practice does not violate any law or regulation or the standards of conduct of the recipient’s organization.

 Suppliers must not utilize child labor. For purposes of the Code, a “child” will be considered any person younger than (i) fifteen (15) years old; (ii) the minimum age for completing compulsory education in the country of manufacture; or (iii) the minimum age for employment in such country, whichever is the highest.

 Suppliers must pay each of their employees at least the minimum wage, and supply the minimum benefits, required by applicable local laws. In the absence of applicable local laws, Suppliers shall provide minimum wages and benefits consistent with industry practice in such locations.

 Suppliers must treat each of their employees with respect and dignity. As such, Suppliers shall not subject any employee to physical, sexual, verbal or other forms of harassment, coercion or abuse.

Accounting for business courtesies must be done in accordance with approved company Otherprocedures.thanto

 Suppliers shall not subject any employees or applicants for employment to unlawful discrimination.

The purpose of this policy is to ensure that [COMPANY NAME] collaborates with suppliers who share our values regarding sustainability.viii We expect that our suppliers, as a minimum, follow our human rights and sustainability principles when conducting their own business. This is the starting point for entering into and maintaining a business relationship with [COMPANY NAME].

On an annual basis, [COMPANY NAME] management will review the company’s operational activities in view of the above to determine whether such activities are in substantial compliance, and will review the above in view of any changes to applicable laws, rules and regulations, such as [list applicable environmental laws and regulations], to determine whether any updates, refinements or improvements are necessary or advisable.

THE SG2X PLAYBOOK EMPLOYEE HANDBOOK TEMPLATE

SECTION II The policies included in this section are what HR and gender experts deem to add value to the operation of any company and are generally considered to be best practices. If your company is missing any of the policies listed below, you should seriously consider adopting and implementing them within your company, but certainly prioritize the policies listed above in the Minimum Requirement section. If any of your company’s existing policies appear to be deficient or lacking in comparison, then consider upgrading your policy by using the language included in the templates below.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 18 

 [List 3-5 considerations that are relevant to your business. This may be anything from the reduction of paper and office materials, enforcing raw waste minimization policies, recycling all materials eligible under local law, to operational, manufacturing or other environmental factors)

Suppliers shall work in a systematic, goal-oriented and proactive manner to reduce the impact to the environment including pollution prevention and waste minimization

Any violation of this policy could result in the immediate termination of the supplier contract and/or agreement.

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

A key goal of [COMPANY NAME] Environmental Sustainability Policy is to be a good corporate and environmental steward, both in its own operational activities and in supporting activities of its suppliers and distributors. At its core, the Company seeks to “do no harm” and strive to not contribute to climate change. In service of this goal, the policy aims to enhance the company’s environmental performance, fulfill all relevant compliance obligations (including any applicable requirements from local, state and national laws and regulations) and achieve environmental objectives that support the reduction of climate change. Key categories of consideration include improving water efficiency, energy efficiency, materials efficiency, chemicals efficiency and minimization of waste. With respect to [COMPANY NAME], these goals will be specifically enhanced through the following activities:

Suppliers shall comply with all applicable health, safety and welfare laws, rules and regulations, and shall provide a safe working place for their employees. Suppliers must have and implement effective programs to promote the foregoing.

All forms of corruption and bribery are unacceptable. Suppliers should work against corruption and bribery in all its forms, including but not limited to extortion, fraud, money laundering and facilitation payments.

ENVIRONMENTAL SUSTAINABILITY

HIRING, RECRUITMENT & REMUNERATION

Yourprofessionals.medicalinformation will be kept confidential. Disclosure of employee medical information is restricted to limited situations where a manager or supervisor has a job-related reason to know it. Employees who disclose employee medical information without proper authorization will be subject to disciplinary action, up to and including discharge.

Eligibility: Eligible employees must meet the following criteria:

Employees with Disabilities: Our Company is committed to providing equal employment opportunities to otherwise qualified individuals with disabilities, which may include providing reasonable accommodation where appropriate. In general, it is your responsibility to notify a managing partner of the need for an accommodation. Upon doing so, the managing partner may ask you for your input, the type of accommodation you believe may be necessary, or the functional limitations caused by your disability. Also, when appropriate, we may need your permission to obtain additional information from your physician or other medical or rehabilitation

Parental Leave Policy Overview: [COMPANY NAME] will provide up to [enter number] weeks of paid parental leave to employees following the birth of an employee’s child or the placement of a child with an employee in connection with adoption or foster care.ix The purpose of paid parental leave is to enable the employee to care for and bond with a newborn or a newly adopted or newly placed child. This policy will run concurrently with [list local, state or federal parental leave laws and regulations], as applicable. This policy will be in effect for births, adoptions or placements of foster children occurring on or after [date].

Equal & Fair Compensation: The Company does not discriminate between the sexes regarding pay. The Company pays the same wage rate (salary) to individuals, whether they are male or female, for comparable work requiring comparable skills under comparable circumstances. The right of female employees to be free from discrimination in their compensation is protected under labor laws governing [COMPANY NAME]’s operations.

LEAVE AND BURDEN OF CARE

Equal Opportunity Employment: [COMPANY NAME] is committed to ensuring that all current and prospective employees are afforded equal opportunities, treatment and a harassment-free work environment. [COMPANY NAME] provides equal employment opportunities in accordance with local laws for all without regard to race, color, religion, sex, sexual preference, atypical hereditary cellular or blood trait, HIV/AIDS, ancestry, national origin, age, marital or family status, height or weight or disabilities as defined by law. The Company will ensure that employment decisions (including, but not limited to, recruitment, advertising, hiring, layoffs, termination, placements, compensation, promotion, demotion, training, and company sponsored educational, social and recreational programs and events) are made and administered in a nondiscriminatory manner. Any conduct of any employee in violation of this policy will result in disciplinary action, up to and including termination. It is the policy of the Company to ensure that all persons receive equal employment opportunities solely on the basis of their skills, abilities, job-related qualifications, competence and job performance. In short, the Company does not discriminate against anyone on any basis that is prohibited by law.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 19

As is the case with all company policies, the organization has the exclusive right to interpret this policy.

 Have been employed with the company for at least [number of months].

Approved paid parental leave may be taken at any time during the [enter number]-month period immediately following the birth, adoption or placement of a child with the employee. Paid parental leave may not be used or extended beyond this [enter number]-month time frame. In the event of a female employee who herself has given birth, the [enter number] weeks of paid parental leave will commence at the conclusion of any short-term disability leave/benefit provided to the employee for the employee’s own medical recovery following childbirth. Employees must take paid parental leave in one continuous period of leave and must use all paid parental leave during the [enter number]-month time frame indicated above. Any unused paid parental leave will be forfeited at the end of the [enter number]-month time frame. Upon termination of the individual’s employment at the company, he or she will not be paid for any unused paid parental leave for which he or she was eligible.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 20

Each week of paid parental leave is compensated at 100% of the employee’s regular, straighttime weekly pay. Paid parental leave will be paid on regularly scheduled pay dates.

Requests for Paid Parental Leave: The employee will provide his or her supervisor and the human resource department with notice of the request for leave at least 30 days prior to the proposed date of the leave (or if the leave was not foreseeable, as soon as possible). The employee must complete the necessary HR forms and provide all documentation as required by the HR department to substantiate the request.

 Have given birth to a child.

 Be a spouse or committed partner of a woman who has given birth to a child.

Amount, Time Frame and Duration of Paid Parental Leave: Eligible employees will receive a maximum of [enter number] weeks of paid parental leave per birth, adoption or placement of a child/children. The fact that a multiple birth, adoption or placement occurs (e.g., the birth of twins or adoption of siblings) does not increase the [enter number]-week total amount of paid parental leave granted for that event.

 Have adopted a child or been placed with a foster child (in either case, the child must be age 17 or younger). The adoption of a new spouse's child is excluded from this policy.

 Be a full- or part-time, regular employee (temporary employees and interns are not eligible for this benefit). In addition, employees must meet one of the following criteria:

 Have worked at least [number of hours] during the [number of months] immediately preceding the date the leave would begin.

[COMPANY NAME] employees are encouraged, in the first instance of grievance, to address such issues with their managers or the HR manager, as most problems can be resolved swiftly.

If for any reason that is not possible or if an employee is not comfortable raising the issue with his or her manager or HR, [COMPANY NAME]’s [Title of Executive Officer] does operate with an open-door policy.

Tocomplainant.anonymously

Employee Handbook prohibits personnel from reporting possible violations of federal or local law or regulation to any governmental agency or entity, including but not limited to [list relevant local, state or federal agencies]. Personnel do not need the prior authorization of the company to make any such reports or disclosures, and personnel are not required to notify the company that they have made such reports or disclosures.

Open Door Policy: It is the Company's philosophy that problems and misunderstandings, which may arise concerning employment, can best be solved through open communication. [COMPANY NAME] management observes an open-door policy to resolve any dispute an employee may have regarding company policies in force and employee rights under these policies by having disputes addressed by successively higher levels of management. The opendoor policy provides the means by which any question about employment with the company may be resolved. An employee who has a concern about an employment question should discuss it with [manager or executive title]. Persons who feel that they are experiencing harassment or discrimination must feel free to come forward with complaints, and the company must be free to conduct a thorough investigation without any interference. Accordingly, [COMPANY NAME] wants to make it clear that no one may retaliate or discriminate against a person for making a complaint or for participating in an investigation. Prohibited retaliation includes intimidation, coercion, harassment or negative acts or comments against a report an instance of discrimination, harassment, sexual harassment, sexual exploitation or abuse, or to request assistance in dealing with the instance of sexual harassment, exploitation or abuse which you are reporting, please fill out the form at the following link: [Note to SME: Create and link an online form that employees can fill out

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 21 GRIEVANCE PROCEDURES

FLEXIBLE WORK HOURS

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Flexible Work Arrangement: While not all positions will be amenable to flex work arrangements, consideration of flexible work schedules will be reviewed on a case-by-case basis taking into account the company’s need and the employee’s ability to maintain a high level of service and work.x  Flex arrangement, flexible work arrangement, or flexible arrangement (collectively “flexible work arrangement”) – work hours, work week that vary from the standard schedule of the department in which the staff member works. Flex arrangements include flex time, compressed work week, telework and reduced work schedules.

 Reduced work schedule – either a reduction in regularly scheduled hours worked each week (i.e., 28 hours), or a partial year appointment (i.e., 9, 10, or 11 months) to permit a block of time off during a non-peak season for the department. The employee maintains full-time status and leave accruals are earned on a prorated basis.

 Core office hours – a block of hours within the workday or work week, determined by the department based on their unit’s business needs, during which all employees are expected to be at work and available for meetings and other departmental activities.

Telework – a flexible arrangement where employees perform job duties at an alternate location, such as a home office.



Flex work arrangements are discretionary based upon the operational needs of the department and must have the prior approval of the authorized official. Either the employee or supervisor may initiate discussion of flexible work arrangements. General factors to be considered when evaluating feasibility of flex arrangements include:

If a flex arrangement is desirable, the employee and supervisor will jointly submit a written proposal to the authorized official which should include the following elements:

 Duration of a trial period to determine effectiveness of arrangement; and  Frequency of review (at least annually) of flex arrangement.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 22

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

Flex time – agreed-upon starting and departure times that differ from the standard schedule for the department. The schedules may be fixed for a period or can vary from day to day.

EMPLOYEE TERMINATION

 Employee is maintaining satisfactory performance and attendance;  Employee’s ability to work independently, including desire to be successful in a flex schedule;  Employee’s communication skills;  Nature of the work to be performed; and  Impact on the department’s operations and other employees.

The Flexible Work Arrangement Request Form (“FWA Request”) should be used. The FWA Request is reviewed by the staff member’s direct supervisor and submitted to the authorized official for consideration. Flex arrangements may be modified or terminated for any reason or as needed to ensure that the arrangement does not negatively impact the employee’s or the unit’s work quantity, quality, or productivity.

Compressed work week – regularly scheduled hours worked are fixed over fewer than five days a week.

A. He/She has received warning letters in accordance with the Company’s policies; B. He/She contravenes the rules and regulations stated in this Employee Handbook; C. Willful waste of Company time and/or materials; D. Serious misconduct or insubordination;

F. Refusal to accept a transfer to any branch, department or other section of the Company or relocation, as may be necessary for the employee’s performance of his/her duties, without adequate justification; G. Abolishment of the staff member’s position; and/or H. In all cases, the legal requirements and guidelines for termination in the labor laws where [COMPANY NAME] employees reside.

Termination of Employment by Employer: The Company may terminate an employee in accordance with the following:

I. An employment for an indefinite period may be terminated by either party upon written notice.

C. Inability to carry out duties efficiently; D. Failure to abide by these Regulations or policies of the Company; E. Involvement in any criminal activity;

An employee who completed his/her probation period is required to notify a managing partner in writing of his/her intention to resign from employment at least thirty days prior to his/her departure date. An employee who terminates his contract of employment contrary to this provision, i.e., without giving thirty days’ prior notice, is liable to pay compensation to the company equivalent to the sum of the thirty days’ salary minus the actual number of days’ notice provided to the Company, to the extent permitted by local law, rule and regulation.

Voluntary Termination:

B. Failure by the staff to demonstrate the expected expertise, experience, competence, conscientiousness, reliability or diligence;

III. An employee who contravenes the Rules and Regulations laid down in this Employee Handbook may be given a warning in writing by a managing partner of the Company or his/her immediate supervisor. The employee may be dismissed if:

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 23

II. For the sake of clarity, in the case of ‘at will’ employment arrangements, the Company need not necessarily have reason to terminate the arrangement. The Company will consider the following factors, among potentially other factors, in termination decisions: A. Unsatisfactory performance of duties by the staff with little hope for improvement;

PERFORMANCE REVIEW

IV. Termination of employment for a definite period shall be subject to the terms and conditions of the corresponding letter of appointment of the staff member.

Performance evaluations are conducted periodically, and should occur at least once each year. A managing partner will discuss the evaluation with the employee, provide positive and/or negative feedback, discuss career plans, suggest additional training, or specify corrective action if appropriate. The performance evaluation is an important factor in determining salary adjustments.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 24 E. Misconduct includes; 1. Flagrant disregard of the contents and clauses of this Conditions of Service 2. Betraying of the Company’s secret 3. Theft, pilfering or fraud 4. Dereliction of duty 5. Gross insubordination 6. Refusal to obey a reasonable instruction

Unsatisfactory Job Performance: When an employee is not performing in a satisfactory manner and/or at an acceptable professional level, the Company reserves the right, in its sole discretion, to initiate a performance improvement process designed to educate the employee regarding job expectations and assist the employee in achieving those expectations. The specific terms of any particular performance improvement plan will be developed by the employee’s supervisor, both as to job expectations and duration of the performance improvement time period. If according to the performance evaluation a staff member’s rating falls below the required average and there is little chance for improvement, this may lead to termination of employment, as permitted and in accordance with applicable laws. No paid time off, other than due to illness or paid holidays, may be taken during the performance

V. Upon termination of a contract, the terminated employee will be required to sign a statement indicating that he/she has received all consideration due to him/her and that they have no future claim against [COMPANY NAME].

VI. When the employment contract of an employee is terminated, he/she may request and, upon the Company’s receipt of such a request, receive from the Company a certificate of work. The certificate shall state the employee’s salary, positions, length of service and type of activities performed.

Performance Reviews: [COMPANY NAME] periodically reviews its employees' performance to ensure that the employee's work is of the highest quality and as appropriate, to provide merit salary increases as incentives for higher productivity and career advancement.

Locally Owned, Minority-Owned, Female-Owned and Small Businesses: In addition to seeking Best Value for all purchases, [COMPANY NAME] employees shall take necessary steps to solicit participation of locally owned, minority-owned, female-owned and small businesses whenever possible. These steps include soliciting proposals from minority- or women-owned businesses that provide the goods or services that are being sought. Where possible and feasible, delivery schedules will be established, and work will be subdivided to maximize participation by small businesses or minority- or women-owned businesses. Where feasible, evaluation criteria will include a factor with an appropriate weight for these firms.

PROCUREMENT PROCEDURE

Procurement of Goods and Services: All [COMPANY NAME] employees must abide by the authorization levels and guidelines set forth by the company. If any limits are unclear, employees are expected to consult with senior staff or managers prior to initiating the purchase or procurement of goods or services or management of [COMPANY NAME] cash or bank Procurementaccounts. of all goods or services shall favor a competitive process that enhances access, transparency, competition and fairness and results in Best Value (“Best value” defined as the optimal combination of quality, service, time and cost considerations, over the useful life of the good, service or asset). A reasonable number of suppliers (at least 3) should be reviewed for consideration and/or given an opportunity to bid in order to avoid situations where there may be a bias toward procuring and/or awarding a contract for goods, services or assets for the company.

[COMPANY NAME] will consider requests to reimburse fees paid by employees for educational courses and exams, association fees, course dues, and other professional development costs directly associated with the employee's role, on a case-by-case basis. To be considered, an employee must be in good standing, must have been employed with the company for at least [number of months], and must articulate the benefit such education or professional fees will have on their performance with [COMPANY NAME]. Employees who leave within [number of months] of receiving reimbursement for such fees will be required to pay back to the company.

Pay Raises & Bonuses: Employee pay raises may be based on performance, development partners’ requirements and/or the assumption of a new position or functions, as determined by the company’s management. Bonuses are discretionary and may be paid when the Company’s profits and the employee’s performance are exceptional.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 25 improvement process, nor is an employee eligible for a salary increase or promotion during this period.

Documentation: In addition to documenting the procurement process as described above in the Procurement of Goods and Services section, invoices, quotes, receipts, emails and other documents supporting all procurements are to be retained and sent to the operations manager for proper filing. The documentation should, at a minimum, contain a description of goods or services provided, the amount paid, and the date of the transaction, recognizing that receipts for smaller transactions (e.g., those under [deemed threshold/limit]) are likely to contain less information. Transaction documents should contain adequate information to show compliance

EMPLOYEE PROFESSIONAL DEVELOPMENT

RISK MANAGEMENT PROCEDURE

Avoidance of Conflict of Interest: [COMPANY NAME] employees, including partners, employees, agents, or independent contractors, shall avoid participation in procurement decisions if their participation presents an actual or apparent conflict of interest. A conflict of interest exists when the individual involved in procurement decisions, or partners, engages immediate family members or an organization in which the individual has a financial or other significant interest and would benefit from the outcome of that decision. Where a potential, actual or apparent conflict of interest exists, the [COMPANY NAME] employees with the conflict shall inform the [COMPANY NAME] manager responsible for approving the transaction (or another manager, if the [COMPANY NAME] employees with the conflict is a [COMPANY NAME] manager) of the nature of the conflict. A [COMPANY NAME] manager without a conflict of interest must approve the procurement of goods and services. Absent approval from a disinterested [COMPANY NAME] manager (i.e., a partner without a conflict of interest with respect to the transaction), no [COMPANY NAME] employees, including manager, employees, agents, or independent contractors, may solicit or accept gratuities, favors or anything of monetary value from individuals or entities in relation to the procurement of goods or services. This rule applies to gratuities, favors or other things of monetary value [COMPANY NAME] employees may receive from vendors and others who regularly provide goods and services to [COMPANY NAME].

● In this step, [COMPANY NAME] will scan the internal and external environment and identify the key risks that could affect the achievement of the expected outcomes.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 26 with applicable procurement rules. Purchases of goods or services in excess of [deemed threshold/limit] shall be accompanied with no less than an invoice outlining the details of the purchase mentioned above and a payment confirmation or receipt. Purchases of goods or services in excess of [deemed threshold/limit] shall be accompanied by a proforma invoice, written proposal or quote in advance of being awarded the engagement. Further, in all scenarios exceeding [deemed threshold/limit], a manager should be notified and determine whether the engagement shall be memorialized in an executed agreement between [COMPANY NAME] and the contracted party.

[COMPANY NAME] integrated risk management policy is a continuous, proactive and systematic process to understand, manage, and communicate risk across the organization. [COMPANY NAME] process requires making strategic decisions that contribute to the achievement of our company's objectives. Risk management is the process of identification, analysis and acceptance or mitigation of uncertainty in decisions. Overall, [COMPANY NAME] risk management policy highlights the importance of scanning for new risks, assessing risks on the likelihood and impact, developing risk response strategies, and identifying accountabilities for managing, reporting and monitoring risks.

[COMPANY NAME] follows a five-step risk management cycle for development projects and investments based on the Government of Canada’s Integrated Risk Management Policy, Treasury Board Secretariat guidance and international risk management standards (ISO 31000)xi:

Step 1: Identify and define risks

PLAYBOOK EMPLOYEE HANDBOOK | 27

● As such, [COMPANY NAME] will regularly review the risk analysis; risks will always be reassessed, and the corresponding consequences/responses updated if the operating context changes abruptly.

● [COMPANY NAME] will determine how the identified internal and external risks will affect the immediate, intermediate and ultimate objectives of the company.

● Monitoring risks involves identifying whether the likelihood of each risk occurring, or its potential impact, is increasing or decreasing. If a risk trend proves to be unstable, [COMPANY NAME] will adjust the risk response(s) accordingly.

● Aside from updating the risk analysis, [COMPANY NAME] will keep tabs on situations that could become risks to the initiative and bring forth this information in a timely manner.

SG2X

● For each risk, [COMPANY NAME] will establish the residual risk level. Residual risk is the level of risk after risk responses have been taken into account. [COMPANY NAME] will state the level of likelihood that the risk will occur and its potential impact using the three-point scale.

Step 2: Determine effect of risk on outcomes

● [COMPANY NAME] acknowledges that reviews do not necessarily require that the entire risk analysis be re-done from scratch, but a scan of the various elements (context, expected results, risks and responses, risk levels) will be conducted to ensure this information is current and fitting. Risk responses will also be tracked for effectiveness and adjusted when necessary.

Step 3: Identify risk responses

[COMPANY NAME] will take into consideration the integration of environment, gender equality, and governance themes where relevant.

Step 4: Assess level of risks

Step 5: Monitor, update and report

● [COMPANY NAME] will provide a brief summary of the risk response approaches to be used to manage or prevent the identified risk event, ensuring that the risk responses are financially and technically feasible, and well-designed to reduce the impact and/or likelihood of the identified risks. The response will also be realistic in terms of timely implementation in reaction to needs and will be action-oriented and comprehensive.

It is important to note that this cycle is repetitive. Once Step 5 is performed, the process returns to Step 1. Regular monitoring (Step 5) must be conducted which could potentially lead to revisions of risks, responses and risk levels (Steps 1-4).

● As time passes, the project or investment’s context will likely change as will the risks to the achievement of expected results. Risks may disappear or shift, and new risks may arise, which will necessitate adjusting risk definitions and the corresponding risk responses.

COMMUNITY SERVICE OVERVIEW

It is in the best interest of all employees of [COMPANY NAME] to support, protect and grow [COMPANY NAME] and its culture. The following policies will help ensure a safe and equitable environment that works for each employee of [COMPANY NAME] and furthers the interests of all Thestakeholders.policiesdescribed

[COMPANY NAME] encourages employees to become involved in their communities, lending their voluntary support to programs that positively impact the quality of life within these Thecommunities.following

Volunteer Time: Employees are eligible to take up to [number of hours] hours of paid time off each month to participate in their specific volunteer program. Volunteer time must be requested in advance and when possible, should be regular and on a set schedule to help with the coordination of other work-related responsibilities. Volunteer time should not conflict with the peak work schedule and other work-related responsibilities, create a need for overtime or cause conflicts with other employees' schedules.

Eligibility: All full-time employees are eligible. Interested employees should have expected performance or above. Interested employees should meet with their managers to discuss their volunteer choice, schedule and to receive approval.

in this handbook apply to all persons employed by [COMPANY NAME].

guidelines are for [COMPANY NAME]'s employees who serve as volunteers in non-profit and/or community development programs that are either of personal interest or are corporate-sponsored initiatives.

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 28

Additional jurisdiction-specific policies are included in country-specific addenda, which supplement the policies in this handbook (and constitute a part of this handbook). [COMPANY NAME] management prepared this manual and its accompanying addenda intending that it adhere to both sound management and good labor-management principles, as well as applicable country-specific laws, rules and regulations. These policies outline the basic terms of your employment, as they may supplement any contract or offer letter presented to you, including any amendments to such contract or letter. [COMPANY NAME] has designed this handbook to inform you of important policies that you will be expected to follow, as well as benefits [COMPANY NAME] offers to employees and other general information about the Company’s operations. Please take the time to read this handbook in order to familiarize yourself with its contents. We hope this handbook will better enable you to understand your responsibilities as an employee. If you have any questions about any company policy or benefits, please discuss them with your supervisor . [COMPANY NAME] expects integrity and honesty from each employee. The policies set forth in this handbook are designed to help us meet this objective. We have included policies on [LIST POLICIES]. Every employee is responsible for learning these policies and abiding by them. Our success depends on the collaborative work of all employees. Our employment environment is a direct function of all employees’ commitment to behave in a professional, respectful and civil manner toward each other.

EMPLOYEE COMMITMENT STATEMENT

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careful review of the handbook, please sign a copy and return it to your supervisor.

STATEMENT OF ACKNOWLEDGEMENT

____________________________document. ____________________________ Signature of Employee Date ____________________________ ____________________________ Signature of Manager Date

SG2X PLAYBOOK EMPLOYEE HANDBOOK

[COMPANY NAME] encourages employee participation, contribution and teamwork. [COMPANY NAME] also encourages employees to have an open and direct working relationship with co-workers and supervisors. We expect and require employees to act professionally at all times. This includes treating all employees in a friendly way, displaying respect for all employees and being courteous at all times.

By signing below, I acknowledge that I have read, understand and agree to adhere to the policies set forth in the [COMPANY NAME] Employee Handbook. I also agree to abide by the [LAW SUCH AS: U.S. Foreign Corrupt Practices Act of 1977, which requires transparent accounting and bans bribery of officials]. I also pledge to adhere to the standards set forth in this

[COMPANY NAME] expects that employees will behave professionally to resolve any disagreements or differences of opinion. With the exception of conflicts arising out of harassment complaints or violations of other policies or laws, employees are encouraged to approach their co-worker directly with any issues or concerns the two employees may be having. If the issue is still not resolved peacefully and professionally, the employee should then discuss the matter with his or her supervisor. Our goal is to foster an employment environment based on mutual respect and professionalism. It is to the benefit of all of us to work toward this Aftergoal.

LINKS TO SAMPLE POLICY TEMPLATES POLICY ORGANIZATION WEBSITE LINK Code of Ethics and Business Conduct (including AntiCorruption and Bribery) SHRM LINK Anti-Harassment and Sexual Harassment SHRM LINK Diversity, Equity and Inclusion SHRM LINK Human Rights Unilever LINK Anti-Human Trafficking SHRM LINK Ethical Sourcing Procedure SSAB and NUCOR LINK 1 and LINK 2 Grievance Procedure SHRM LINK Hiring and Recruitment SHRM LINK Paid Parental Leave SHRM LINK Flexible Work (Telecommuting)Hours SHRM LINK Employee Termination SHRM LINK 1 and LINK 2 Employee DevelopmentProfessional SHRM LINK Risk Management GAC LINK Community Service SHRM LINK Health and Safety Policy SME Toolkit South LINK

Some notable HR platforms and resources include:

3. Workable – has a collection of publicly available HR policies, as well as procedures for hiring and recruiting that can be accessed through a paid monthly subscription.

2. SME Toolkit South Africa – has a collection of useful HR discussion topics, best practices and a few policies that are appropriate for South African SMEs, but can also be easily tailored to other countries on the continent.

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There exists a wide range of policy templates that can be found online, either publicly available or through paid, member-only human resources platforms and associations. The policy language included in the SG2X Playbook Employee Handbook is rooted in both public and private policy resources, and thus we encourage fund managers and their SME portfolios to read the standard, gender-smart policy language included herein, as well as perform research to source additional policy language that suits their sector, industry or country-specific needs.

HR POLICY TEMPLATES

1. Society for Human Resource Management (SHRM) – has a collection of publicly available and private HR policies that can be access through a paid monthly subscription. Most of the templates we recommend you use, come from SHRM.

3. All Hands or Team Training - Provide in depth monthly trainings on specific policies. Include case studies from other organizations to highlight both breaches and successes of a policy. An annual calendar may be useful.

1. Onboarding & Commitment - Provide a training on all policies and answer any questions as part of the onboarding process. Be sure to include real examples to help employees see the relevance of each policy. Depending upon the staff members level of education, having them sign the Employee Handbook as part of a commitment ceremony may be useful.

THE SG2X PLAYBOOK EMPLOYEE HANDBOOK

2. Annual Training and Test - Provide an annual refresher training to all staff on the Employee Handbook and collect employee commitments/signatures each year. A short test may be provided to ensure comprehension of the material.

2. Signage - Signage should be developed with key messages and placed at strategic locations throughout the facility.

STRATEGIES FOR ADOPTION AND IMPLEMENTATION

The following strategies should be considered to help ensure adoption and implementation to all Employee Handbook policies throughout all levels of the organization, including for nonprofessional staff members. As we implement the SG2X Playbook, this section will be updated with lessons learned and case studies.

3. Daily Verbal Reminders - consider implementing a key messages calendar that provides a schedule of key messages for managers to remind their team members at the start of each shift.

4. All Hands or Team Meetings - Consider a monthly, quarterly or annual meeting that celebrates success of the organization, recognizes achievements and provides key reminders related to policies.

1. Onboarding & Commitment - Provide a training on all policies, answer any questions and have the employee sign the Employee Handbook as part of the onboarding process.

5. Recognition - Whether weekly, monthly or quarterly, be sure to find a way to recognize employees going above and beyond to abide by the policies. You could focus on a policy or principal per month and have the team vote on who should win the award/prize.

Implementation for NonProfessional Employees

USER CATEGORY STRATEGIES

SG2X PLAYBOOK EMPLOYEE HANDBOOK | 31 Africa HIV/AIDS Policy Statement SME Toolkit South Africa LINK

Implementation for Professional Employees

5. Positive Reinforcements - consider a weekly, monthly or quarterly rhythm to recognize staff members for upholding key policies related to gender equality.

IMPLEMENTING

4. Reminders - Provide short bullet point reminders during weekly team meetings. An annual calendar of key messages may be useful.

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ii The language included in this section was sourced from the CIMA Code of Ethics

The language included in this section was sourced from Deloitte, Catalyst and McKinsey

x

The language included in this section was sourced from American University The language included in this section was sourced from Global Affairs Canada

The language included in the Code of Ethics Policy was sourced from Society for Human Resource Management

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vi

The language included in this section was sourced from Society for Human Resource Management

xi

The language included in this section was sourced from Unilver The language included in this section was sourced from DAI’s Anti-Human Trafficking Poster.

iii

viii The language included in this section was sourced from SSAB and NUCOR The language included in this section was sourced from Society for Human Resource Management

The language included in this section was sourced from Society for Human Resource Management

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i

v

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