C O R P O R A T E P O L I C Y M A N U A L Section 19 Equal Employment/Affirmative Action A. SUMMARY B. APPLICABILITY C. POLICY D. PROCEDURES E. REFERENCES Exhibit 1 - Reaffirmation Statement Exhibit 2 - Nondiscrimination Agreement & Warranty under CT General Statutes 4a-60(a)(1) And 4a-60a(a)(1) Code of Ethics United Technologies Corporation 2016
A. SUMMARY United Technologies Corporation (the Corporation) will treat applicants for employment and employees without regard to race, religion, color, age, gender, gender identity or expression, sexual orientation, national origin, marital status, veteran status, or disability, whether in recruitment, employment, promotion, transfer, compensation, or other conditions of employment. B. APPLICABILITY This Policy applies to the Corporation and the subsidiaries, divisions and other business entities it controls worldwide. C. POLICY 1. The Corporation will treat applicants for employment and employees without regard to race, religion, color, age, gender, gender identity or expression, sexual orientation, national origin, marital status, veteran status or disability, whether in recruitment, employment, promotion, transfer, compensation, or other conditions of employment. The Corporation will abide by the national and local laws of the countries in which it operates and the laws of the United States as they may apply to business outside the United States. Those entities of the Corporation doing business outside the United States may conform to local requirements and practices in lieu of the procedural requirements of Section D of this Policy. 2. In carrying out this policy, the Corporation will ensure that: a) Decisions on selection and employment are based upon the principle of Equal Employment/Affirmative Action and involve only valid requirements for employment opportunities; b) Decisions on promotion are in accord with the principles of Equal Employment/Affirmative Action and involve only valid requirements for promotional opportunities; c) Compensation, employee development, benefits, transfers, layoffs, recall from layoffs, company sponsored (both company operated and company supported) training and educational assistance programs, social and recreational programs, and facilities are in accordance with the principles of Equal Employment/Affirmative Action; and d) Periodic analyses of all personnel actions are conducted to ensure Equal Employment /Affirmative Action. 3. The President and Chief Executive Officer fully supports the Corporation s affirmative action programs and is committed to the implementation of the Corporation s equal opportunity and affirmative action policies. Under direction of the President and Chief Executive Officer, the Executive Vice President and Chief Human Resources Officer is responsible for establishing and carrying out the procedures and practices formulated for the purpose of implementing this Policy. 4. Responsibility for implementing this Policy within each line organization is assigned to United Technologies Corporation 2016 Page 2 of 5
the senior manager at each location. 5. Any supervisor responsible for hiring, terminating, or any other personnel activity regarding current staff members or applicants must comply with this Policy and its implementing procedures. D. PROCEDURES 1. General Procedures a) Objectives Established Under the Affirmative Action Plan. Each year, objectives will be established with respect to females and minorities in specific job groups. Supervisors should have knowledge of these objectives and consider them when hiring, recruiting, promoting, and selecting personnel for layoff. b) Maintaining an Applicant Log. Management is responsible for maintaining a log of all job applicants. The log will include: applicant name, race code, gender code, job position/classification and disposition (i.e., if offer was made and if offer was accepted or rejected). The logs will be maintained for the required time period to record activity for both internal and external applicants. 2. Reemployment of Veterans a) Within U.S. based operations, reemployment must be offered to all persons covered. Persons covered means: (i) Inductees into active duty in the U.S. Armed Forces; (ii) Enlistees and Reenlistees into active duty in the U.S. Armed Forces; (iii)active reservists in the U.S. Armed Forces; (iv) U.S. National Guardsmen; (v) Reservists returning from training duty (other than the initial period of active duty for training); or (vi) Persons rejected for military service. b) Detailed procedures setting forth the eligibility requirements and other matters for the reemployment of veterans are available from operating unit Counsel. E. REFERENCES See Exhibit 1 - EEO Policy See Exhibit 2 regarding the Corporation s policy on performance of contracts with the State of Connecticut and its political subdivisions. Corporate Policy Manual - Section 2 - Affirmative Action for Persons with Disabilities, Disabled Veterans and Veterans of the Vietnam Era United Technologies Corporation 2016 Page 3 of 5
E X H I B I T 1 EXHIBIT 1 Reaffirmation Of Equal Employment Opportunity Policy It is the policy of United Technologies Corporation to ensure equal opportunity and treatment in recruitment, compensation, terms, conditions, and privileges of employment to all qualified persons without regard to race, color, age, religion, gender, gender identity or expression, national origin, sexual orientation, disability, or veteran status. In carrying out this policy, the Company will ensure: A. Employment decisions are based on the principle of Equal Employment Opportunity. Recruitment and hiring decisions are based on valid requirements for such opportunities. B. Promotion decisions are based on the principle of Equal Employment Opportunity and valid job requirements. C. Personnel decisions, such as those pertaining to compensation, benefit programs, transfers, layoffs, recall from layoff, Company sponsored (both Company operating and Company supported) training and educational assistance programs, and social and recreational programs are administered in accordance with the principle of Equal Employment Opportunity. D. Analyses of personnel transactions are conducted to ensure equal opportunity. E. Every effort is made to maintain a positive, productive work environment that is respectful of individual differences and is free of all forms of harassment, including sexual harassment. F. Reasonable accommodations are made for the physical and mental limitation of employees and applicants who are otherwise qualified to perform the essential functions of a job unless such an accommodation would impose an undue business hardship. Reasonable accommodations are similarly made for the religious observances and practices of applicants and employees. The President and Chief Executive Officer fully supports the Corporation s affirmative action programs and is committed to the implementation of the Corporation s equal opportunity and affirmative action policies. Responsibility for accomplishing the objectives of the Equal Employment Opportunity Policy for the Corporate Headquarters is assigned to the Executive Vice President and Chief Human Resources Officer. The implementation of the Company's Affirmative Action Program is assigned to the Vice President, EEO and Employment Counsel, who is the EEO Program Manager. In this capacity, he/she will monitor the effectiveness of the Program. Supervisors are made aware of their responsibility for implementing the Company's Equal Employment Opportunity Policy and are reminded that, as is the case with all other Company policies, their effectiveness in carrying out its objectives is among the criteria considered in evaluating their job performance. Gregory J. Hayes President and Chief Executive Officer United Technologies Corporation 2016 Page 4 of 5
EXHIBIT 2 NONDISCRIMINATION AGREEMENT AND WARRANTY UNDER CONNECTICUT GENERAL STATUTES, SECTIONS 4a-60(a)(1) and 4a-60a(a)(1) In the performance of any contracts awarded by the State of Connecticut or any political subdivision other than a municipality, UTC and its operating companies agree and warrant that in the performance of the contract, they will not discriminate or permit discrimination against any person or group of persons on the grounds of race, color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation, mental disability or physical disability, including, but not limited to, blindness, unless it is shown that such disability prevents performance of the work involved, in any manner prohibited by the laws of the United States or of the state of Connecticut. UTC and its operating companies further agree to take affirmative action to insure that applicants with job related qualifications are employed and that employees are treated when employed without regard to their race, color, religious creed, age, marital status, national origin, ancestry, sex, mental retardation, mental disability or physical disability, including, but not limited to, blindness, unless it is shown by such contractor that such disability prevents performance of the work involved. UTC and its operating companies further agree and warrant that in the performance of the contract awarded by the State of Connecticut or any political subdivision other than a municipality, they will not discriminate or permit discrimination against any person or group of persons on the grounds of sexual orientation, in any manner prohibited by the laws of the United States or of the state of Connecticut, and that employees are treated when employed without regard to their sexual orientation. United Technologies Corporation 2016 Page 5 of 5