Classification: Confidential

VENDOR ENVIRONMET SOCIAL GOVERNANCE (ESG) CHECKLIST

I&M Bank endear to partnership(s) that collectively and purposely drive innovation, transparency, and positive social and environmental
outcomes. We strongly believe that together with our partners, we have a duty to ensure realization of a healthy planet, people, and profitable
businesses. Our Environment Social & Governance (ESG) guiding principles are consistent with applicable national laws, regulations, and polices
as well as international standards. As such, we collaboratively work with our vendors onwards to the attainment of highest standards in business
ethics, and social and environment performance. Therefore, our expectation for our vendors is to uphold the principles of good business ethics,
safeguard human rights, health & safety, good working conditions, & environmental stewardship in their business activities.

The objective of the checklist is to provide an insight on our vendor ESG performance.

Instructions & notes:

• All responses will be held in strict confidence, and in line with the Bank’s data protection & information security guidelines.
• Read through and provide appropriate responses to the questions/information requirements outlined in this document:
• Please provide a YES/NO/NOT APPLICABLE in the response table
• Provide comments on YES/NO response in the adjacent comment section.

I&M ESG VENDOR ASSESSMENT QUESTIONNAIRE

SOCIAL PERFORMANCE
ASPECT DESCRIPTION RESPONSE COMMENT(S)
(YES/NO/NOT
APPLICABLE)
i. Number of Board of Directors
ii. Number of Female Board of Directors
iii. Number of female founders
iv. Percentage of female ownership
v. Total Number of Managers
vi. Number of female managers
vii. Total Number of employees (Indicate number in
Employment & Labour comment section)
Condition viii. Total number of female employees
ix. Total Number of permanent employees
x. Total number of temporary employees
xi. Does the company have initiatives to advance women
in their workforce? If yes provide details
xii. Do all employees have a formal contract of
employment, including permanent and seasonal
employees? If yes, please provide sample of contracts

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I&M ESG VENDOR ASSESSMENT QUESTIONNAIRE

for both temporary & permanent staff

xiii. Does the Company have a written policy to support

the fair and equitable progression and promotion of
employees and a system to monitor compliance with
this policy? If yes, please attach a copy
i. Does the company offer a fixed salary? Please provide
details on the salary structure (payment on an
hourly/daily/weekly/monthly basis)

ii. Does the company offer bonuses or other incentive

Salary & Remuneration programmes? If yes, please provide details in the
comment sections.
iii. Does the company adhere to the local and/or industry
minimum wage standards?

iv. What is the minimum wage paid to employees

(KES/USD/employee)

i. Does the company have an emergency response

plan? If yes, please provide details of the type of
events (disruption of processes, leakage of
hazardous, fires, explosions) and the accompanying
plans.
ii. Does the company have an Operational Health &
Safety (OHS) policy which is signed off by the CEO or
equivalent? Provide a copy
iii. Does the company have an Operational Health &
Safety (OHS) procedure in place?

Health & Safety iv. Does the company have employees dedicated to
OHS?
v. Does the company have a process to record and
investigate near misses and accidents, and to ensure
effective implementation of corrective actions?

vi. Does the company have significant OHS challenges?

If yes, please describe these challenges and what is
being doing to address these.
vii. Are collective protective measures prioritized e.g.,
provision of use of personal protective equipment
(PPEs)?
viii. Does the company provide OSH, Fire safety, and First
Aid related trainings to staff. If yes provide details

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I&M ESG VENDOR ASSESSMENT QUESTIONNAIRE

i. Is human rights performance embedded into the day-
to-day responsibilities of the company? If yes, how is
Human Rights & Dignity this responsibility organized within the company, and
why?
ii. Are employees and contract workers made aware of
the ways in which respect for human rights should
inform their decisions and actions? If yes, how are
they informed.
iii. Is there internal and external grievance redress
mechanism in place? If yes provide a copy
ENVIRONMENTAL PERFORMANCE
i. Does the Company have processes to assess the
environmental and social risks arising from its
operations? If yes, please describe the processes and
please provide copies of the policies developed and
any environmental impact assessments that have
been performed.
Environmental ii. Have there been any serious environmental incidents
Compliance or regulatory breaches in the last five years? If yes,
please provide details.
iii. Does the Company comply with any other regulations
that go beyond the local environmental laws,
standards, and regulations (e.g., ISO 14001, Edge
Certification? If yes, please elaborate on which
regulations.
i. What is the company’s main source of energy? (E.g.,
coal, gas, diesel, petroleum, renewable solar, nuclear
etc.)
ii. Does the company have any initiatives to increase the
efficiency of energy usage? If yes, please provide
details (e.g., improving insulating, LED lighting, heat
pump)
Energy Use iii. Does the company have any initiatives to reduce
absolute energy consumption? If yes, please provide
details (e.g., optimizing processes to eliminate
unnecessary consumption)
iv. Does your company track & record its energy
consumption
v. Has your company conducted an energy audit? If yes,
provide copy of your recent audit report.
i. What is your company’s main source of water
(Borehole, water vendors, county supply, and water
harvesting etc.,)

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I&M ESG VENDOR ASSESSMENT QUESTIONNAIRE

Water Use ii. Does your company measure its water use? If yes,
provide data on your average monthly and/or annual
consumption
iii. Does the Company have any initiatives to reduce total
consumption of water? If yes, please provide details.

i. Does your company have a waste management

strategy/policy/procedure? If yes provide a summary
copy
ii. Does the Company have initiatives to reduce waste
Waste Management (including recycling schemes)? If yes, please provide
details.
iii. Does the Company use or possess any chemicals or
hazardous substances on site? Please provide details
of these substances and how these are stored and
handled (e.g., drums, tanks,
aboveground/underground storage etc.).
i. Has your company experienced adverse impacts of
extreme weather events (drought, flooding, heat
stress, wildfires, etc..) in the last two years. If yes
Climate Change provide details on the impact to your operations
ii. Does the company recognize impacts of climate
change to have adverse impact on your operations or
business either directly or indirectly? If yes, provide
details
i. Does the company rely on the consistent supply of
raw materials for continued operation? If yes, please
provide details of the materials.

ii. Does the company have a responsible purchasing

policy/Code of Conduct for suppliers?
Supply chain
iii. Does the company conduct supply chain risk
assessment involving its procurement, supply chain,
and logistics departments? If yes, please provide
details.
iv. Is the company aware of the environmental practices
of its clients/sub-contractors and/or of other
companies from which the company sources
significant inputs?
v. Are ESG criteria included in the selection and
monitoring of key clients/suppliers?

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CERTIFICATION

The Vendor representative, who is duly authorized and has full legal capacity to complete this Questionnaire, certifies as to the matters set
forth in this Questionnaire, signs and certifies this document as follows:
a) To the best of my knowledge, all information set forth in this response is accurate and complete.
b) I agree to notify the Bank promptly of any material changes to the information provided herein, for the duration of our engagement.
c) The Vendor authorizes the Bank (directly or indirectly) to take such steps as may be necessary to verify the-information provided
in this Questionnaire; and
d) I acknowledge and understand that the provision of false or misleading information may result in the termination of any relationship
that may be entered into in the future between the Third Party and the Bank.

Signed for and on behalf of: [Insert name of Vendor party]

Signature:

Name:
Position:
Date:

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Classification: Confidential