Independent Revision: 2 Date: 05.03.2015 Page 1 / 7 CONTENT 1 Purpose and objective... 2 2 Scope of policy... 2 3 Safety guidelines... 2 3.1 Measures in case of accident or fire... 2 3.2 Release requests... 3 3.3 Checking in and out independent contractors... 3 3.4 Occupational health and safety... 3 3.5 Environmental protection... 4 3.6 Data privacy / Protection of trade secrets... 4 3.7 Proper behavior on plant grounds... 5 4 Terms and abbreviations... 6 5 Applicable documents... 6 6 Appendices... 7 Process Owner Checked and Released by Company / Entity SWIS / QHSE SWIS / GF SWIN / GF Name / Date F. Pfeifer / 05.03.2015 R. Petzoldt / 05.03.2015 H. Neuhaus / 05.03.2015 Signature sgd. Pfeifer sgd. Petzoldt sgd. Erfurt
Independent Revision: 2 Date: 05.03.2015 Page 2 / 7 1 Purpose and objective The objective of this document is to harmonize and improve the safety standards for independent contractors working at Freiberg-based SolarWorld companies and to establish the legal framework for working with independent contractors. The assignment of independent contractors is subject to legal and professional regulations. All independent contractors will receive basic instruction on all issues regarding safety and proper behavior at our company and will be informed of the relevant risks, rules and regulations prior to commencement of work. SolarWorld will assign an independent contractor representative (FB) (e.g., purchaser, project manager, requisitioner, operator) who is responsible for the technical and organizational aspects in a specific area of operations (or has the legal duty to maintain safety). It is possible for several FBs to be working at the same time depending on the number of concurrent projects. A project manager who is an assigned independent contractor must have the professional and site knowledge necessary to complete the assigned tasks. A representative contract is required for longer assignments. All required release forms will be issued by the FB and approved by the relevant production or service department. 2 Scope of policy The provisions contained herein shall apply for all independent contractors who work on the plant grounds of SolarWorld companies in either Freiberg or Hilbersdorf. This policy defines independent contractors as all employees from external companies or suppliers. It does not pertain to day visitors or guests. This Independent is oblidged to observe in our internal intranet and on our homepage. (http://www.solarworld.de). 3 Safety guidelines There are the following incident areas according to the 12 th BImSchV (incident regulation), Appendix 3 at Freiberg site: SolarWorld Industries Sachsen GmbH - Zellfertigung SolarWorld Industries Sachsen GmbH - Recycling and SolarWorld Innovations GmbH. All persons in terms of this Independent contractor policy are oblidged to observe the Company Policy and Independent (visible under http://www.solarworld.de) as well as the environmental and safety regulations. 3.1 MEASURES IN CASE OF ACCIDENT OR FIRE Note the alarm plan posted on the wall. In case of fire alarm, immediately evacuate the building and proceed to the fire assembly point. o The assembly points for independent contractors working in the buildings DS 705 and DS 2000 are situated near the main entrences. o In all other buildings, the specific assembly points have to be frequented. Report to the department manager at the fire assembly point. The department manager can be identified by a reflective vest.
Independent Revision: 2 Date: 05.03.2015 Page 3 / 7 All accidents must be reported to the supervisor. All accident reports must be forwarded to the FB. In case of emergency, the company will provide trained first aid responders. 3.2 RELEASE REQUESTS Independent contractors must notify the FB of their work assignment 48 hours in advance. Visitors to the plant must also be registered 48 hours in advance. A list of all independent contractors having been instructed about this policy has to be given to the purchasing department within one week of commencing work. 3.3 CHECKING IN AND OUT INDEPENDENT CONTRACTORS 1. For each new job assignment, independent contractors must report to the following registration points: Gewerbegebiet Süd - industrial area South : reception office of DS 100 Gewerbegebiet Ost - industrial area East : reception office of DS 2000 Gewerbegebiet Saxonia - industrial ara Saxonia : administrative office of DS 700 or DS 705, DS 800 or DS 900 2. The record of instruction is checked at these offices. If no record is available, the independent contractors will be instructed at the registration points. 3. After registration, personal access cards will be issued and handed out to the independent contractors. These cards must be kept visible at all times. The validity of these access cards is defined by the FB. 4. Work-day registration in the work area is based on the work permit. Registration can be done at several points of contact (e.g., reception office, control room, shift manager, administrative office). Upon leaving the plant grounds, independent contractors must first check out at the points specified in the work permit (e.g., control room, shift manager, administrative office). 5. When a job is finished, the access cards must be returned at the registration points. 6. The FB must immediately be informed when an access card is lost. Independent contractors who fail to return their access cards will be charged 50 Euros. 3.4 OCCUPATIONAL HEALTH AND SAFETY 1. Independent contractors must ensure the safety and health of both themselves and others while working. They must also ensure the safety and health of anyone affected by their actions or failure to take actions at work. 2. Independent contractors must make proper use of all tools, work materials, material handling equipment and other resources. 3. Independent contractors must inform their supervisors and the FB of any immediate safety, health or environmental risks or safety defects they discover. All dangerous occurrences must be reported! Before calling on local authorities, the independent contractor must first notify the FB. 4. The independent contractor is responsible for having the necessary personal protective equipment. All independent contractors must wear personal protective equipment such as protective footwear, helmet, fall safety harness, etc. S1 safety footwear must be worn in the production areas of all company plants. 5. Scaffoldings, devices, tools and similar equipment must comply with professional guidelines. Liability is not recognized for tools and devices brought by independent contractors.
Independent Revision: 2 Date: 05.03.2015 Page 4 / 7 6. All ladders, work platforms and similar devices must be secured against accidents and comply with all applicable regulations. Only limited work may be carried out from ladders in accordance with BGV D36. Safety harnesses and safety lines must always be worn in situations where there is a risk of falling. 7. Fire regulations must be observed. Know all local fire prevention measures and the location of fire extinguishers, fire assembly points, etc. 8. Records of instruction or training, permits, certificates, and licenses for the operation of machines or devices must be presented to the FB upon request. 9. All electrical tools and equipment must be in proper working order and inspected at regular intervals (test deadlines have to be met). 10. All tools, machines and devices must be free of defects, suitable for the task at hand, and comply with all relevant occupational safety and accident prevention regulations. Be sure to follow all applicable operating instructions and manuals! The company s scope of responsibility only extends to the point of transfer between final installation and building connection. In other words, it does not extend past the power socket. 3.5 ENVIRONMENTAL PROTECTION 1. The introduction of any liquid or solid substances into the sewage system or the disposal of waste on plant grounds must be approved by the aforementioned supervising FB. If there are any unresolved questions on this subject, the FB must consult specialists for labor, environmental and work accident law. The storage tanks of the plant may not be used for this purpose. 2. Independent contractors may not bring or store hazardous substances, including water-polluting substances, on plant grounds without the consent of the supervising FB. If such substances are stored, the applicable storage guidelines must be followed at all times (maximum quantities, storage of incompatible materials, necessary storage conditions). When the job is completed, independent contractors must take with them the remains of any materials they have brought and used. 3. Water-polluting substances must be handled in an environmentally sound manner. 3.6 DATA PRIVACY / PROTECTION OF TRADE SECRETS 1. We will record and check the data of all personnel and incoming and outgoing vehicles. Personnel will be registered when their access cards are issued. The following information is recorded: last name first name company The following information is recorded manually: license plate number time of access card issue time of access card return access authorization Vehicles may only be parked in their assigned locations and must be issued a temporary parking permit by the registration offices. 2. Note on data privacy: SolarWorld will only use collected data for the purpose of access control and will never under any circumstances allow third-party access to such data. 3. In the course of performing your duties, you may obtain knowledge of confidential business information. In the interest of the client, such information must be kept strictly confidential. 4. You may not give unauthorized parties access to this information nor attempt to gain more confidential information than is needed for the fulfillment of your duties. 5. Any violations of this provision may be punishable under 17 of the German Unfair Competition Act. You may also face damage claims under applicable labor law.
Independent Revision: 2 Date: 05.03.2015 Page 5 / 7 3.7 PROPER BEHAVIOR ON PLANT GROUNDS 1. Only remain in those work areas specified in your job assignment. You may only enter or exit the work area through the designated access points. For any work that may pose a mutual risk, the aforementioned supervising FB is authorized to issue instructions to the independent contractors (property rights). 2. It is obligatory for members of other companies to wear safety vests according to EN 471 (reflective vests) while working in areas of production, maintenance, laboratory and storage. For this purpose, safety vests can be provided as a loan by the registration point to the members of other companies. The obligatory wearing of safety vests is not applicable when working in clean rooms, therefore colored overalls will be provided. 3. You may not remain on plant grounds after working hours. You must notify the FB whenever you start work, take breaks, work outside of normal hours (work days between 7 am and 8 pm) and finish work. 4. You must obtain special permission before you can bring or use camera or video devices on the plant grounds. If such devices are necessary, then consult your supervising FB. 5. Mobile phones and laptops with integrated cameras have to be shown unrequestedly at the registration point and a seal has to be sticked on the lense. While working at the plant grounds, the seal has to remain fixed on the camera of mobile phones or laptops. There will be samples taken at random and failing them can lead to an order to stay away. 6. The consumption of drugs or alcohol on plant grounds is strictly forbidden! If, due to the consumption of alcohol or other intoxicating substances, independent contractors are no longer capable of performing their duties without posing a danger to themselves or others, then their employment will be terminated and they must be immediately removed from the work area in consultation with their superiors. The client may subject independent contractors to drug and alcohol tests. 7. Smoking on plant grounds is prohibited except in the designated smoking areas. 8. Observe the following safety signs: - Prohibitory signs - Warning signs - Mandatory signs - Emergency signs - Informational signs as well as barriers around hazardous areas. 9. The removal or modification of safety signs or barriers may only be done by authorized managers in consultation with safety experts or is subject to managerial authority. 10. Caution, be aware of traffic on plant grounds! Forklifts, forklift trucks, cranes and automated transport systems are used on our transport routes. The transport routes and unloading areas are designated accordingly and must be kept free of obstructions at all times. Follow all safety signs and keep a safe distance from devices. 11. It is forbidden for independent contractors to modify the provided power supply for uncompleted jobs. Enlargements or changes of this power supply only can be effected by the ordering party itself or by a company assigned by the ordering party. 12. There is a liability to avoid any wast of energy. Not used machines and electrical tolls as well as lightning have to be turned off. This is especially valid for break times. 13. A work release permit must be filled out for all work. A copy of the permit must kept on hand and visible at the workplace. 14. The work release permit must be presented for all work involving welding, cutting, soldering, thawing or grinding. The independent contractor must name a supervisor for the duration of contract work. Smoke
Independent Revision: 2 Date: 05.03.2015 Page 6 / 7 Warning! Our buildings are monitored by fire alarm systems. If the fire alarm is triggered by an independent contractor who does not have a work release permit, his company shall bear the costs. 15. The FB must approve the storage of building materials and the location of on-site accommodations. 16. Connecting to supply lines of any kind (e.g., hydrants, compressed air, gas, electricity, etc,) requires the consent of the aforementioned supervising FB. 17. All groundwork or work done in reservoirs, sewer systems, shafts or mines requires a work release permit and must comply with the safety measures contained therein. 18. Before leaving the workplace, independent contractors ensure the safety of the area. Mines, shafts, open sewage channels, pits or similar must be adequately covered or properly fenced in and illuminated at night. 19. When working underneath a structure (piping, etc.) that is in the range of crane systems, the power switches of these systems must be turned off and secured against accidental restart. 20. Work on electrical systems and devices may only be performed by electricians and requires the consent of the supervising FB. 21. Traffic regulations, which include a maximum speed of 10km/h, must be observed on plant grounds. All traffic signs must be observed. Suitable safety measures must be taken whenever there is a risk that materials or objects can fall on work and traffic routes. 22. The supervising FB must be notified of any damages or malfunctions in our facilities or systems. 23. The work area must be kept clean and safe at all times. The waste generated by independent contractors must be disposed of at their own cost. When work is finished, the work area must be restored to its proper (initial) condition in consultation with the supervising FB. All construction work must be performed according to legal regulations. 24. Young interns or trainees working in our plant must be under constant supervision and may not be tasked with dangerous work of any kind. 25. When employing external / temporary workers, the independent contractor must instruct them on rules contained herein. 26. We ask that you and your employees try to limit interfering with our production operations while performing your job. 27. If you are unclear about any work-related safety issues, consult your superiors without delay or contact your assigned FB, the work safety office, or the environmental protection, waste or accident prevention manager. 28. Any violations of this independent contractor policy will be punishable as follows: - Warning - Eviction of independent contractors or their companies from plant grounds 29. Before starting work, independent contractors must provide written confirmation that they have been properly instructed. If instruction is provided in advance, the managers of the independent contractors must furnish proof of training before commencement of work. 4 Terms and abbreviations FB independent contractor representative = purchaser/project manager/requisitioner/operator SolarWorld companies = SolarWorld AG, SolarWorld Industries Sachsen GmbH SolarWorld Innovations GmbH and JSSi GmbH 5 Applicable documents FG-USI-F-007-EN Proof of independent contractor instruction
Independent Revision: 2 Date: 05.03.2015 Page 7 / 7 6 Appendices This document does not contain any appendices.