Preview
Nicky Jatana (State Bar No. 197682)
JACKSON LEWIS P.C.
725 South Figueroa Street, Suite 2500
Los Angeles, CA 90017-5408
Telephone: (213) 689-0404
Facsimile: (213) 689-0430
E-mail: Nicky.Jatana@jacksonlewis.com
Scott P. Jang (State Bar No. 260191)
JACKSON LEWIS P.C.
50 California Street, 9th Floor
San Francisco, CA 94111-4615
Telephone: (415) 394-9400
Facsimile: (415) 394-9401
E-mail: Scott.Jang@jacksonlewis.com
Isabella L. Shin (State Bar No. 294937)
JACKSON LEWIS P.C.
10 160 West Santa Clara Street., Suite 400
San Jose, California 95113
11 Telephone: (408) 579-0404
Facsimile: (408) 454-0290
12 E-mail: Isabella.Shin@jacksonlewis.com
13 Attorneys for Defendants
WESTROCK COMPANY; WESTROCK
14 SERVICES, LLC; JOE ISAIS; and EDWARD ARIAS
15 SUPERIOR COURT OF THE STATE OF CALIFORNIA
16 COUNTY OF MONTEREY
17
18 ALICIA REYNA, an individual, Case No. 21CV000272
19 Plaintiff, ASSIGNED FOR ALL PURPOSES TO HON.
CARRIE M. PANETTA, DEPT. 14
20 V.
EXHIBIT 5 TO COMPENDIUM OF
21 WESTROCK COMPANY, a corporation; EVIDENCE IN SUPPORT OF
WESTROCK SERVICES, LLC, a limited DEFENDANTS’ MOTION FOR
22 liability company; JOE ISAIS, an individual, SUMMARY JUDGMENT OR, IN THE
EDWARD ARIAS, an individual; and DOES ALTERNATIVE, SUMMARY
23 1 through 100, inclusive, ADJUDICATION
24 Defendants. Date: July 14, 2023
Time: 8:30 a.m.
25 Dept.: 14
Judge: Hon. Carrie M. Panetta
26 Complaint Filed: 01/20/2021
Trial Date: 08/04/2023
27
28
Exhibit 5 to Compendium of Evidence ISO Defendants’ Motion for Summary Judgment/Adjudication
Case No. 21CV000272
Max
it WW
= WestRock
July 22, 2019
Joseph Isaias
VIA HAND DELIVERY
Dear Joe,
This letter is in follow-up to the recently lodged complaint brought against you by another
employee of the Company alleging that you engaged in inappropriate conduct including
inappropriate touching and comments.
As you are aware, upon receipt of the complaint, the Company conducted an investigation
into the allegations. We have now completed our investigation and are providing you this
letter.
Although the investigation did not substantiate the specific allegations brought against
you, we are providing you with this letter, including the attached policies, to remind you of
the Company's policies on these subjects and to ensure that you understand that the
Company will not tolerate any inappropriate conduct as outlined in the attached policies.
Additionally, WestRock is committed to a retaliation free workplace. As a result, you are
hereby reminded that the Company will not tolerate retaliation against any employee who
honestly and in good faith raises a concern or reports misconduct. Retaliation under this
policy can include:
* any action taken to materially adversely impact the terms of conditions of an
employee’s employment, such as reprimand, transfer, increased scrutiny, or
making work more difficult;
* threatening, marginalizing or otherwise generating or exhibiting hostility to
another employee because of their involvement in reporting or investigating
misconduct; or
* any conduct which has the purpose of discouraging employees from resisting or
complaining about conduct they believe in good faith is improper.
| have attached copies of WestRock’s Mutual Respect in the Workplace Policy and
WestRock’s Anti-Harassment Supplemental Policy for California. These policies reflect
WestRock’s commitment to respect in our workplaces, including discrimination-free,
harassment-free and retaliation-free workplaces. The Company's expectations have
always been that you comply with these policies. Failure to comply with these policies,
can lead to discipline, including and up to, termination of employment.
ISAISO00001
By your signature below, you acknowledge receipt of this letter, including the attached
policies.
Caluton
Sincerely, ¢
Jennifer Colucci
Area HR Manager
Ce: James Murkison, Business Unit General Manager
Linda Jepson, HR Representative
gQ f= 7.2219
Joseph Isaias Date
i
ISAISO00002
S WestRock
POLICY NAME: MUTUAL RESPECT IN THE WORKPLACE
DEPT/GROUP: HUMAN RESOURCES
POLICY SCOPE: ALL EMPLOYEES
POLICY REGION: GLOBAL
EFFECTIVE/REVISED JULY 1, 2018
DATE:
OWNER: CHIEF HUMAN RESOURCES OFFICER
Short Statement: This global policy reflects WestRock’s commitment to respect in our
workplaces, including discrimination-free, harassment-free and bullying-free workplaces. This
policy also reflects our commitment to accessibility and accommodation and provides
information on responsibilities, reporting and investigation and discipline of misconduct under
this policy.
Respect in our Global Workplaces
Our WestRock Code of Conduct includes our shared value of Respect -- we treat one another
with respect and earn the respect of others through our actions. Respect in our workplaces
embodies our commitment to diversity, teamwork and collaboration, personal dignity and
professionalism, among many others. We each share the responsibility to create workplaces
that sustain and nurture respect.
e We treat WestRock colleagues and business partners with dignity and respect.
e We create an environment free from discrimination, harassment and bullying.
. We provide equal opportunity, reasonable accommodation and foster accessibility in
our facilities and the work we do.
We acknowledge one another’s contributions without regard to cultural or physical
characteristics or beliefs, and we resolve our differences with respect and
professionalism.
We embrace diversity in our workplace as a valuable asset and source of creativity and
innovation.
Workplace Free of Discrimination, Harassment and Bullying
Discrimination-Free
At WestRock, we have zero tolerance for discrimination in our global workplaces. Any
employment decision or practice that unlawfully discriminates based on any characteristic
ISAISO00003
S WestRock
protected by applicable law is strictly prohibited. WestRock policy applies to all aspects of
employment, including recruitment, hiring, selection for training, transfer, promotion and
separation.
The types of characteristics protected by law vary across our global locations. Examples of
protected characteristics can include, but are not limited to, race, gender, color, national or
ethnic origin, religion, age, sexual orientation and disability. Please consult your region,
country, state or local policies for guidance specific to your work location.
Harassment-free and bullying-free
WestRock is committed to providing workplaces free from harassment and bullying. This
includes any work-related conduct that may take place outside of the workplace, such as
business trips, business meetings, and business-related social events and, in some
circumstances, conduct unrelated to work but which has an impact on the workplace. This
policy applies to all WestRock employees and to third parties, such as temporary workers,
contractors, vendors, customers and third-party service providers performing work for
WestRock or at WestRock locations. Whether conduct is offensive or unwelcome is based on
the viewpoint of a reasonable person.
Harassment can be a single event or a pattern of conduct that is based on a characteristic
protected by applicable law, the effect of which is to create a work environment that a
reasonable person would consider hostile, offensive or intimidating.
Examples of events or conduct that may constitute harassment, singly or in combination,
include, but are not limited to, the following:
. Unwanted and inappropriate physical contact or horseplay;
. Offensive or intimidating comments or gestures or insensitive jokes or pranks that
undermine the dignity of a person;
Sending or displaying materials that a reasonable person would find offensive;
Mocking, mimicking or belittling a person based on a protected characteristic or making
derogatory or stereotypical remarks about a protected group; and/or
e Shunning or deliberately excluding someone because of a protected characteristic.
Harassing conduct can come in many forms, such as face-to face interactions, e-mail,
documents, message boards, pictures, symbols or objects. People can be harassed, even if they
are not the intended target. Petty slights, annoyances and isolated incidents (unless extremely
serious) will not rise to the level of harassment.
Sexual harassment is unwelcome verbal or physical conduct of a sexual nature where
submission to the conduct is made explicitly or implicitly a term or condition of an employee’s
employment or when submission to or rejection of such conduct is used as the basis for
employment decisions affecting the employee. The conduct must unreasonably interfere
ISAISO00004
S WestRock
with an employee’s work performance or create an intimidating, hostile or offensive working
environment.
Examples of conduct that may constitute sexual harassment include, but are not limited to, the
following:
. Unwelcome sexual advances or physical contact;
e Continued and unwelcome suggestions (verbally, or through gestures or conduct) for
dating, romance, social or sexual activity;
Sexually suggestive comments, offensive jokes, or lewd or offensive horseplay;
Pornographic, suggestive or explicit photographs, pictures or drawings that a reasonable
person would find offensive; and/or
Suggestions that sexual favors or submission to sexual activity may affect one’s job,
performance evaluation, or working conditions.
Sexual harassment is not confined to male-female interactions; it can include conduct between
members of the same sex.
Bullying is repeated, unwanted or abusive conduct that a reasonable person would find hostile,
offensive and unrelated to WestRock’s legitimate business interests. Abusive conduct may
include, but is not limited to,
e repeated verbal abuse, such as derogatory remarks, insults and epithets;
. verbal or physical conduct that a reasonable person would find threatening, intimidating
or humiliating; and/or
e malicious undermining of a person’s work performance.
Legitimate, reasonable and constructive feedback of an employee’s performance or behavior or
a reasonable instruction given to employees during their employment will not amount to
bullying or abusive conduct on its own. A single act generally will not constitute abusive
conduct, unless especially severe and egregious.
Equality of Opportunity, Accessibility and Accommodation
WestRock is committed to providing equality of opportunity for applicants and employees. It is
WestRock policy that all employees and applicants otherwise eligible for employment will be
evaluated on their individual merit and qualifications for the work to be performed. WestRock
policy applies to all aspects of employment, including recruitment, hiring, selection for training,
transfer, promotion and separation.
WestRock provides reasonable accommodation/adjustments related to a disability and/or
other legally protected status where such accommodation/adjustment enables access to our
workplace and/or enables individuals to carry out their work duties and the
accommodation/adjustment does not pose an undue burden.
ISAISOO0005
S WestRock
The process of identifying an appropriate workplace accommodation/adjustment is fact-based
and individualized requiring collaboration and consultation.
Workplace accommodation/adjustment: If you need an accommodation/adjustment in the
workplace related to a disability and/or other legally protected status, please complete the
Request for Accommodation or Adjustment Form attached to this policy to begin the interactive
review process with your local HR contact (or designee). Third party contractors or vendors
should consult their employer to begin this process.
Hiring process accommodation/adjustment: If you believe you need an
accommodation/adjustment related to a disability and/or other legally protected status in the
application, recruitment or hiring process, please email talentacquisition@westrock.com.
Diversity and Inclusio!
Diverse perspectives encourage different solutions and inclusion encourages ideas. We
welcome new ways of thinking and work hard to cultivate an environment where everyone’s
voice can be heard. Diversity reflects all the ways we are different. Inclusion is fostering an
environment in which our co-workers can proudly bring their differences to work every day and
it gives them the opportunity to contribute their best. We believe that when we embrace our
differences and intentionally include everyone, all our stakeholders — our co-workers, our
customers, our suppliers, our investors and the communities where we live and work — have
the greatest opportunity to win together to drive superior results and to maximize shareholder
value.
Freedom of Association
Where employees are represented by a legally recognized union or works council, we are
committed to establishing a constructive dialogue and bargaining in good faith with their freely
chosen representatives.
Child Labor
WestRock prohibits the hiring or employment of individuals who are under 18 years of age. To
the extent that applicable law is more restrictive, WestRock will comply with local child labor
laws.
Forced Labor and Human Trafficking
WestRock prohibits the use of all forms of forced labor, including prison labor, indentured
labor, bonded labor, military labor, modern forms of slavery and any form of human trafficking.
Work Hours, Wages and Benefits
ISAISOO0006
S WestRock
WestRock compensates employees competitively relative to the industry and relevant local
labor market and in accordance with the terms of applicable collective bargaining agreements.
We work to ensure full compliance with applicable wage, work hours, overtime and benefits
laws.
Responsibilities, Reporting and Investigations
Creating a workplace founded on respect requires the active participation of every WestRock
employee. We must all be familiar with this policy and we must address or report conduct
when we believe in good faith that such conduct violates this policy.
If you believe you are being discriminated against, harassed or bullied, you must report that
conduct. All reports of discrimination, harassment or bullying will be investigated promptly,
and confidentiality will be maintained to the greatest extent possible. If you have concerns for
your security or safety related to or arising from discrimination, harassment, bullying or any
other circumstance please consult WestRock’s Workplace Violence Policy.
Supervisors and managers are held to the highest standards of conduct as leaders within our
company because of the trust that is placed in them to direct, manage, coach and support
WestRock employees. Supervisors and managers who know of or who are made aware of
conduct that may violate this policy must immediately report the conduct to Human Resources,
Legal or Compliance, as noted below.
Many instances of misconduct or perceived misconduct under this policy can be resolved
respectfully and professionally among WestRock employees through communication, such as
by expressing discomfort or by explaining that the conduct is hurtful, belittling or disrespectful.
If the conduct does not stop or you are uncomfortable with direct communication for any
reason, then you must report the conduct in another manner. Our shared goal is to end any
conduct that violates this policy.
WestRock has numerous ways to report conduct that may violate this policy:
e Employees are encouraged to work with local management and HR where appropriate
to resolve issues.
Employees may also contact corporate HR representatives, such as their HR Business
Partner, HR Vice President or the Chief Human Resources Officer.
Employees may also report directly to the legal department or to the Chief Compliance
Officer.
Complaints may also be submitted via the WestRock Compliance Line. Look for the
compliance line poster at your location or refer to “Resources” on the WestRock
intranet for country-specific, toll-free dialing instructions (click here to view the
ISAISO00007
S WestRock
compliance line poster). You may also send your concern by email to
complianceline@westrock.com or by mail to:
WestRock Compliance Line
Attn: Legal Department
1000 Abernathy Road NE, Suite 125
Atlanta, GA 30028 USA
WestRock will investigate and resolve appropriately all reports of misconduct under this policy.
Retaliation Free Workplaci
Retaliation for reporting conduct that may violate this policy or for participating in any
investigation under this policy is not tolerated. Retaliation includes any material adverse
employment action against an employee because the employee has complained in good faith
about or resisted misconduct under this policy, including unlawful harassment, discrimination,
bullying or retaliation, or because he or she has cooperated in or assisted with an investigation.
Retaliation under this policy can include:
any action taken to materially adversely impact the terms of conditions of an employee’s
employment, such as reprimand, transfer, increased scrutiny, or making work more
difficult;
threatening, marginalizing or otherwise generating or exhibiting hostility to another
employee because of their involvement in reporting or investigating misconduct; or
any conduct which has the purpose of discouraging employees from resisting or
complaining about conduct they believe in good faith is improper.
Engaging in protected activity does not shield an employee from all discipline, including
termination, if the action is motivated by non-retaliatory and non-discriminatory reasons that
would otherwise result in such consequences.
Discipline for Violation:
Failure to abide by this policy may result in discipline up to and including termination of
employment. While the laws and customs may vary across our workplaces and geographies,
our commitment to respect in our workplace is the same wherever we work. Conduct that
does not constitute actionable discrimination, harassment or bullying as those terms are
defined by applicable law may still violate this policy and may still result in discipline up to and
including termination of employment if the conduct does not comport with WestRock’s
commitments in this policy.
ISAISO00008
S WestRock
Other Laws and Regulation
If there is any discrepancy between local labor agreements, works council agreements, local
law, regulations, or ordinances, the policy will be interpreted and applied in a manner
consistent with those agreements, laws, regulations, or ordinances.
This policy does not create a contract of employment nor it is intended to create any
contractual rights or obligations. In those jurisdictions where employment at will is permitted,
the terms of this policy will not change or alter the at-will status of any employee’s
employment with WestRock.
The original language for this policy is English. In the event of any discrepancy between the
original language version and any other version, the original language version will govern.
ISAISOO0009
S WestRock
APPENDIX A
COMPLAINT FORM
This form is provided to aid you in submitting a complaint of bullying, discrimination, harassment,
and/or retaliation to human resources. You are not required to use this form to file a complaint.
WestRock will investigate and resolve appropriately all reports of misconduct.
Instructions
Please complete all applicable sections of this form. It is important to be as specific as possible in
your complaint so that WestRock may fully investigate the conduct alleged. Please include all
information you believe should be considered in an investigation. You are not limited to the space
provided. WestRock encourages you to attach any additional materials that may assist us in
investigating your claim.
Details of Complaint
Reporting Employee Name: Title: Date:
e Identify the individual(s) who experienced the alleged conduct:
Identify the individual(s) who committed the alleged conduct:
Has anyone else witnessed the alleged conduct? If yes, please identify those individuals:
Identify (to the best of your knowledge) when the bullying, discrimination, harassment, and/or
retaliation occurred. If it occurred over a period of time or continues to occur, identify that
period of time:
APPENDIX A — Global Mutual Respect in the Workplace Policy
ISAISO00010
S WestRock
. Have you previously reported or complained about the alleged conduct to anyone at WestRock?
If so, please identify the person to whom you reported the conduct and the date of the report:
. Describe in detail the facts that form the basis of this complaint (attach additional sheets of paper
if necessary):
e Is there any evidence (e.g., documents, emails, videotapes, audiotapes, or other records or
materials) we should review? If yes, please identify and describe all such evidence and/or attach
it to this complaint:
| acknowledge that | have read and understand the above information. | certify that to the best of my
knowledge, the information | have provided is accurate. | understand and acknowledge that a copy
of this complaint and any attachments may be viewed by appropriate Company representatives
involved in the investigation of this complaint.
Employee Signature Date
APPENDIX A — Global Mutual Respect in the Workplace Policy
ISAISO00011
S WestRock
ANTI-HARASSMENT: SUPPLEMENTAL POLICY FOR
POLICY NAME:
CALIFORNIA
DEPT/GROUP: LEGAL DEPARTMENT
POLICY SCOPE: CALIFORNIA EMPLOYEES
POLICY REGION: UNITED STATES
EFFECTIVE DATE: OCTOBER 18, 2016
OWNER: CHIEF HUMAN RESOURCE OFFICER
WestRock is committed to providing a workplace that is free from unlawful harassment
and discrimination. WestRock strictly prohibits and does not tolerate unlawful
harassment or discrimination against employees and other covered persons (as defined
below) by co-workers, supervisors, managers or third parties on the basis of an
individual's race, color, age (40 or older), religion (including creed), national origin,
ancestry, mental or physical disability, medical condition, genetic information, marital
status, sex (including pregnancy), gender, gender expression, gender identity, sexual
orientation, military or veteran status, or any other characteristic protected under
applicable federal, state, or local law. WestRock also prohibits and does not tolerate
unlawful harassment against employees who are perceived to have any of these
characteristics or who associate with a person who has, or is perceived to have, any of
these characteristics. Harassment can occur in the workplace, after hours, or on social
media. It should always be reported and will not be tolerated by WestRock.
Harassment applies to the conduct of a supervisor toward a subordinate, an employee
toward another employee, a non-employee toward an employee, an employee toward a
non-employee (such as a temporary employee, a contractor or a consultant), a non-
employee toward an employee, or an employee toward an applicant for employment. It
may occur between members of the opposite sex or the same sex.
ISAISO00012
Date: 07/02/2019
Time: 6:05AM
Location: HR’s Office in Salinas
Attendees: Lien Tran and Eddie
Lien met with Eddie to investigate a harassment complaint that was brought forward to the company’s
attention. As a reminder, Lien informed Eddie that he cannot retaliate against the employee who came
forward with the complaint. Eddie acknowledged and said he understood. Lien asked Eddie his relations
with Alicia and he said that they work together. Eddie confirmed that they sat down to have lunch
together in the breakroom a couple of times and have had conversations. Lien asked about the
conversation they had regarding Eddie getting wax on his arm while working in the wet lock. During his
conversation with Alicia, she asked him, “does it hurt when it gets on you? You know since the wax is
hot” and why he responded to Alicia with “I kinda like it. | kinda like it in a kinky way.” Eddie said, “I was
playing around and didn’t mean anything of it. Of course it hurts my arm. It’s hot wax. | like to joke
around with everyone.” Lien responded by telling Eddie that his response to Alicia was inappropriate.
Lien then asked about an incident that occurred when Alicia shared with Eddie that Mariano had asked
her not to be reaching over for the bundles because it could hurt her back and why his response to her
was “yeah, as much as we love to watch you bend over.” Eddie said he does not recall making that
comment. Lien asked about the incident where Eddie made the comment “Let your hair down Ma. |
wanna see you for the woman that you are.” Eddie explained that he calls every female “Ma” as a
greeting and he did ask if she could let down her hair because she shared that she got a haircut. Lien
then asked about the event that took place when Alicia was clocking out and he said, “You’re beautiful,
Ma.” Eddie shared that on the production floor he overheard people calling her an ugly duckling so his
comment of saying she is beautiful was his gesture of being kind. Per Eddie, his intent was just to give
her a nice compliment and nothing more as he stated he is a happily married man. Lien asked if Eddie
has any questions or anything he would like to add. Going forward, Eddie stated that he will refer to
Alicia by her name and not “Ma”. He will also be cautious of statements and comments as others may
perceive it offensively. Eddie then stated he would like to apologize to Alicia and that he didn’t mean to
offend her with his comments. Lien advised Eddie not to approach Alicia with an apology as she may not
be comfortable if he came up to her. Eddie then asked if Lien can apologize to Alicia on his behalf.
WRO000594
Date: 07/02/2019
Time: 7:00AM
Location: HR’s Office in Salinas
Attendees: Lien Tran and Alicia Reynes
Lien met with Alicia to investigate the complaint that she has filed against Eddie and Joseph Isaias. Alicia
stated that the harassment started even before she came onboard. Joseph (Joe) approached Alicia’s
dad, Charlie, and said “if she doesn’t come on time, she won’t make it.” During Alicia’s 4 days of
onboarding and training, Joe popped in and out of the training room all day. Lien asked if Joe did
anything or made any comments to Alicia. Alicia said no and that Joe was just passing through.
Alicia’s first week of work on the production floor, Joe was not there because he was on vacation.
Second week of work, Alicia was training on the 823 and was working with Ricky and Miguel. Joe would
come by the machine and say, “better do box check, better do this..., and better do that...” to Alicia.
Alicia said that Joe was always on her and was turning the machine up to speed it up while she was
working and said to her, “if you can’t handle the machine, you won’t make it.” Alicia did not appreciate
the tone that Joe used when he was talking to her. Instead of training her how to do it, Joe would jump
in and stack for Alicia. After 2-3 days on the 823 machine, Joe asked Alicia to sweep the production floor
and clean the garbage cans. Alicia said that people were questioning why Joe asked Alicia to clean. Alicia
said she would stack one day, then clean, and then stack the next. Lien shared with Alicia that most
entry level positions on the production floor will require housekeeping and shared examples at Milpitas
that not only Pre-Press positions will sweep and clean the garbage cans, but Milpitas’ Assistant
Operators and Operators also contribute with housekeeping — especially if there’s down time or if PM is
being done. Alicia had a better understanding of the entry level position after Lien explained the basic
responsibilities/duties that the job entailed.
Alicia said she was also being trained on the EVOL and one day Joe made a comment that she did not
appreciate. Joe said to her, “don’t make excuses. Excuses are for losers. You’re not a loser, are you?”
Alicia said she was intimidated by Joe so she was afraid to speak up and that if she tries to tell him
something, he wouldn’t listen.
While Alicia was receiving training on the EVOL, Joe was standing too close to her and on multiple
occasions and would put his hand on her waist to move her aside instead of saying “excuse me”. It made
Alicia feel uncomfortable. Alicia started crying and said that something happened in her past and she
doesn’t like people touching her.
While talking to Alicia on the production floor, Joe would stand so close to Alicia where her breast was
pressing against his chest. Lien asked if Alicia ever asked Joe to take a step back and to respect her
boundary and space. Alicia said she did not as she was afraid since she was still in her probationary
period and that she did not want Joe to retaliate against her dad, Charlie.
Alicia said the day after Mike Montoya’s passing, she was done cleaning the machine and ran into Joe in
the lobby who asked her to use the dolly to take the coffee upstairs using the elevator. When Alicia got
upstairs near the Customer Service entrance door, it was locked. She then went downstairs to ask Jim to
open the door. Joe was in the room with Jim, so he volunteered to go unlock the door. On their way
upstairs, they were conversing about work and Mike Montoya. When they got to the doorway by the
WR000253
breakroom, Alicia stopped underneath the doorway and said, “the room looks brighter since the last
time | was in here for onboarding.” Alicia then stated that she didn’t realize how close Joe was standing
behind her. She moved to the side and Joe also moved to the side (same side as Alicia). He then asked if
her she would like a cup of hot chocolate. Alicia said yes. While waiting for the hot chocolate to be
ready, Joe said to Alicia with his arms wide open as if he was expecting for a hug, “it’s my birthday
today. I’m 46.” Alicia said she felt awkward, so she patted his arm and wished him a happy birthday.
Lien asked if there was any additional encounters/incidents that involved Joe. Alicia said no and that she
has been avoiding him.
Alicia then proceeded to talk about Eddie (Ed) and informed Lien that her first interaction with him was
when she was working on a 12 hours shift. Alicia was in the lunch room when Ed approached her and
asked if she wanted company. Alicia said, “sure.” Alicia’s jeans were dirty and Ed pointed out that there
was a lot of paint on her pants. Alicia told him the paint was from the job. Alicia then noticed that there
was wax on Ed’s arm so she asked him if it hurts. Ed said, “no. | like it in a kinky way.” During the lunch,
Ed said something that Alicia didn’t hear clearly, so she said “what?” Ed then said, “let your hair down
Ma. | want to see you for the woman that you are.” Alicia said she felt awkward and uncomfortable and
stopped eating her food at that point. The following day, Ed just sat down with Alicia for lunch and asked
Alicia, “how’s your shift?” Alicia responded with “good”. Alicia then shared with Ed that the Safety
Manager advised her not to reach over for the bundles because she can injure herself. Ed then made the
comment, “we want to see you bend over.” Alicia felt uncomfortable and got up and left. Lien asked
Alicia if she reported Ed’s comments to management. Alicia said no because she was afraid.
Lien told Alicia she should not be afraid to talk to someone in management if someone is harassing her.
If she does not feel comfortable talking to a Supervisor, she can always come to Linda. Lien also
provided Alicia with her mobile number if she is more comfortable speaking with Lien. Alicia was also
informed of WestRock’s anonymous hotline number that is posted on the bulletin board. In addition,
Lien shared WestRock’s Employee Assistance Program and told her that there are guidance counselors
who are available should she need to talk. It is strictly confidential and there is no charge to Alicia as it is
part of WestRock’s benefits. Alicia thanked Lien for listening and informed her that she will talk to Linda
or give Lien a call should another incident occurs. Lien asked if Alicia is okay and how she’s feeling after
their meeting. Alicia said she was feeling a lot better now that the incidents have been reported.
WRO000254
Date: 07/02/2019
Time: 10:05AM
Location: HR’s Office in Salinas
Attendees: Lien Tran and Joseph Isaias
Lien met with Joseph Isaias to investigate a harassment complaint that was brought forward to the
company’s attention by Alicia Reynes. Lien reminded Joseph (Joe) that he cannot retaliate against the
employee who came forward with the complaint. Joe acknowledged and understood. Lien asked Joe his
relations with Alicia and Joe said that Alicia is a new hire that has been working swing and graveyard. Joe
said he has been staying over to work for Jim the last 2 months. Lien asked about Joe’s actions while
training Alicia on the Evol and why he placed his hand on her waist on numerous occasions. Per Joe, he
doesn’t recall doing that, but if he did — it was to pass through and to move her aside. There was nothing
more to it. Lien told Joe that he must be cautious of his interactions with employees as some individuals
are not comfortable with others touching them. Joe said, “I completely understand that. Lien, to be
honest with you — | have a daughter who does not like anybody touching her — including me. Something
happened to her so | understand people’s boundary and space. Alicia never said anything to me, so |
didn’t know that anything was bothering her. Alicia is also a really affectionate person. There was a time
where | was helping Alicia during training and | showed her how to do something and she made the
comment “you’re real strong, | can give you a hug” and she patted my chest. | didn’t hug her or
anything.” Joe then continued, “Lien, if Alicia would have told me that what | was doing was bothering
her — | would’ve been aware and stopped it immediately.” Lien shared with Joe that Alicia was afraid to
speak up because she was intimidated by him. Joe acknowledged that he knows he needs to work on his
communication, and he said that is something he will improve on. Lien told Joe that there is effective
communication for manager training in the TMS that Joe should look into. He said he will.
Lien then asked Joe what happened the morning after Mike Montoya’s passing. Per Joe, “I was in the
lobby and saw the coffee downstairs. | guess Mike use to be the person who brought the coffee up, so |
started bringing up the coffee by myself. Alicia saw me and asked me if | needed help. | told her to use
the dolly to bring the coffee upstairs.” Lien asked, “did you go upstairs with her?” Joe then said, “I was in
Jim’s office and Alicia came in saying the door was locked, so | went with her upstairs to go unlock it.”
Lien then asked what happened as they were going upstairs. Joe said they had a really good
conversation and was laughing, so he shared with Alicia that it was his birthday as they were in good
spirits. There was no further intentions other than that.
WRO00595
S WestRock
WORKPLACE INVESTIGATION FORM — CONFIDENTIAL ATTORNEY CLIENT COMMUNICATION
This Form should be used for all complex investigations of workplace issues typically involving review of documents and
witness interviews. It is not required in simple, day-to-day HR issues that can be handled per standard workplace interaction
or resolution.
SUMMARY DATA
Date of Complaint: 7/22/2019 Location: Human Resources Office
Complaining Party: Alicia Reyna, Frank Pulido Accused Party: WestRock
Is Complainant Union: KlYes CINo Has a grievance been filed? LYes XINo
Type of Allegation in Complaint: Harassment
. If you chose “Other” you are not required to use this form and you are not required to consult your WRK Regional Attorney.
Please use good judgment. If you believe the issue is significant, please contact your WRK Regional Attorney to discuss
handling.
If you chose “Safety Violation” you must direct this complaint for handling by the appropriate Safety personnel. Please copy
your WRK Regional Attorney on significant safety violations.
. If you chose “Security” you must contact Corporate Security (miles.burden@westrock.com)
For all other investigations, you must use this form and send this form and all attachments in draft form to the WRK Attorney for
advice and counsel before finalizing your investigation.
. If there is a pending grievance, contact your WRK Regional Attorney for guidance before proceeding beyond the Summary
Data section of this document. Just because there is a pending grievance does not necessarily mean that we do not
investigate.
In other cases, contact your WRK Regional Attorney once you have completed the summary data and investigation
preparation for guidance on next steps.
You may not share this form or the results of your investigation with anyone other than your WRK Regional Attorney without
permission from counsel.
Brief Summary of Complaint: Alicia Reyna came to Linda Jepson’s office on 06/28/19 to report that she was being
harassed by Joe Isaias and Eddie Arias
How was Complaint Received: Alicia reported the issue to Linda on 06/28/19 and provided a handwritten statement to
Linda on 07/01/19
Investigator Selected:
& The selected investigator has no conflicts that might affect his/her judgment.
& The selected investigator does not report (directly or indirectly) to the complaining party, the accused or any known
key witnesses in the investigation.
&] The selected investigator has the training and subject matter knowledge sufficient to conduct the investigation.
Instructions: If you are not able to check all three boxes, please work with your HRBP or HRVP to assign an investigator to
the claim.
Interim Actions:
O Interim action is needed to protect the safety or security of the complainant or witnesses. Contact your WRK Regional
Attorney or Corporate Security immediately.
CO Interim action is needed to protect the complainant from potential retaliation or other potential harm.
CO Interim action is needed to protect the witnesses from potential retaliation or other potential harm.
WR000596
Workplace Investigation Form
Confidential Attorney Client Communication
Click or tap here to enter text
Page 2 of 12
Instructions: If any box is checked, please describe the interim action taken below. If you are uncertain what to do,
please contact your WRK Regional Attorney.
Click or tap here to enter text
INVESTIGATION PREPARATION
This section must be completed before you begin your investigation. Remember that you will need to revisit these questions
and add/revise them as your investigation proceeds and you become aware of new issues or evidence. This should be a
working document to help guide your investigation.
Identify the issues to be investigated. Harassment allegation made against Eddie Arias and Joe Isaias
Identify all witnesses you may need to Alicia Reyna, Eddie Arias, Joe Isaias
interview or contact to fully investigate
the issues raised. (Create an outline of
topics to discuss with each witness and
determine the order in which you would
like to conduct the interviews. Be
prepared to give witnesses the proper
introduction about the importance of
truthfulness, confidentiality, and our
non-retaliation policy — see witness
interview template).
Identify all documents or information Alicia Reyna’ written statement
you need to collect to investigate the
issues raised. (Determine whether you
need to review documents before
conducting interviews.)
Identify all workplace policies that may {Mutual Respect Policy, Anti-Harassment in the Workplace Policy
apply to the issues raised in the
complaint. (Ensure that you are familiar
with the policies.)
Review complainant’s and accused’s N/A
disciplinary and performance records for
the past 2-3 years to see if there are
related issues.
Review Compliance Line history and None
disciplinary records to see if there is a
record of similar or related activity in
the department or at the location
involving complainant or accused.
WRO00597
Workplace Investigation Form
Confidential Attorney Client Communication
Click or tap here to enter text.
Page 3 of 12
INVESTIGATION RESULTS SUMMARY
Names of persons Eddie Arias on 07/02/2019 at 6:05AM
interviewed in Investigation Alicia Reyna on 07/02/2019 at 7:00AM
and dates of interviews: Joseph Isaias on 07/02/2019 at 10:05AM
All witness interviews using the Martha Bazaldia on 07/18/2019
Witness Interview Form should Alicia De La Torre on 07/18/2019 at 3:30PM
be attached. Leanne Sanks on 07/18/2019 at 3:45PM
OlWitness Interviews attached
Full Summary of OoDraft report for attorney review attached with headers
Investigation:
*Draft report can be an On 07/02/2019 at 6:05AM, Lien met with Eddie Arias to investigate a harassment
attachment. Include a header on
complaint that was brought forward to the company’s attention. As a reminder, Lien
all pages “Privileged for Attorney
informed Eddie that he cannot retaliate against the employee who came forward with
Review.”
the complaint. Eddie acknowledged and said he understood. Lien asked Eddie his
relations with Alicia and he said that they work together. Eddie confirmed that they sat
down to have lunch together in the breakroom a couple of times and have had
conversations. Lien asked about the conversation they had regarding Eddie getting wax
on his arm while working in the wet lock. During his conversation with Alicia, she asked
him, “does it hurt when it gets on you? You know since the wax is hot” and why he
responded to Alicia with “I kinda like it. | kinda like it in a kinky way.” Eddie said, “I was
playing around and didn’t mean anything of it. Of course it hurts my arm. It’s hot wax. |
like to joke around with everyone.” Lien responded by telling Eddie that his response to
Alicia was inappropriate. Lien then asked about an incident that occurred when Alicia
shared with Eddie that Mariano had asked her not to be reaching over for the bundles
because it could hurt her back and why his response to her was “yeah, as much as we
love to watch you bend over.” Eddie said he does not recall making that comment. Lien
asked about the incident where Eddie made the comment “Let your hair down Ma. |
wanna See you for the woman that you are.” Eddie explained that he calls every female
“Ma” as a greeting and he did ask if she could let down her hair because she shared that
she got a haircut. Lien then asked about the event that took place when Alicia was
clocking out and he said, “You’re beautiful, Ma.” Eddie shared that on the production
floor he overheard people calling her an ugly duckling so his comment of saying she is
beautiful was his gesture of being kind. Per Eddie, his intent was just to give her a nice
compliment and nothing more as he stated he is a happily married man. Lien asked if
Eddie has any questions or anything he would like to add. Going forward, Eddie stated
that he will refer to Alicia by her name and not “Ma”. He will also be cautious of
statements and comments as others may perceive it offensively. Eddie then stated he
would like to apologize to Alicia and that he didn’t mean to offend her with his
comments.
WR000598
Preview
Nicky Jatana (State Bar No. 197682) JACKSON LEWIS P.C. 725 South Figueroa Street, Suite 2500 Los Angeles, CA 90017-5408 Telephone: (213) 689-0404 Facsimile: (213) 689-0430 E-mail: Nicky.Jatana@jacksonlewis.com Scott P. Jang (State Bar No. 260191) JACKSON LEWIS P.C. 50 California Street, 9th Floor San Francisco, CA 94111-4615 Telephone: (415) 394-9400 Facsimile: (415) 394-9401 E-mail: Scott.Jang@jacksonlewis.com Isabella L. Shin (State Bar No. 294937) JACKSON LEWIS P.C. 10 160 West Santa Clara Street., Suite 400 San Jose, California 95113 11 Telephone: (408) 579-0404 Facsimile: (408) 454-0290 12 E-mail: Isabella.Shin@jacksonlewis.com 13 Attorneys for Defendants WESTROCK COMPANY; WESTROCK 14 SERVICES, LLC; JOE ISAIS; and EDWARD ARIAS 15 SUPERIOR COURT OF THE STATE OF CALIFORNIA 16 COUNTY OF MONTEREY 17 18 ALICIA REYNA, an individual, Case No. 21CV000272 19 Plaintiff, ASSIGNED FOR ALL PURPOSES TO HON. CARRIE M. PANETTA, DEPT. 14 20 V. EXHIBIT 5 TO COMPENDIUM OF 21 WESTROCK COMPANY, a corporation; EVIDENCE IN SUPPORT OF WESTROCK SERVICES, LLC, a limited DEFENDANTS’ MOTION FOR 22 liability company; JOE ISAIS, an individual, SUMMARY JUDGMENT OR, IN THE EDWARD ARIAS, an individual; and DOES ALTERNATIVE, SUMMARY 23 1 through 100, inclusive, ADJUDICATION 24 Defendants. Date: July 14, 2023 Time: 8:30 a.m. 25 Dept.: 14 Judge: Hon. Carrie M. Panetta 26 Complaint Filed: 01/20/2021 Trial Date: 08/04/2023 27 28 Exhibit 5 to Compendium of Evidence ISO Defendants’ Motion for Summary Judgment/Adjudication Case No. 21CV000272 Max it WW = WestRock July 22, 2019 Joseph Isaias VIA HAND DELIVERY Dear Joe, This letter is in follow-up to the recently lodged complaint brought against you by another employee of the Company alleging that you engaged in inappropriate conduct including inappropriate touching and comments. As you are aware, upon receipt of the complaint, the Company conducted an investigation into the allegations. We have now completed our investigation and are providing you this letter. Although the investigation did not substantiate the specific allegations brought against you, we are providing you with this letter, including the attached policies, to remind you of the Company's policies on these subjects and to ensure that you understand that the Company will not tolerate any inappropriate conduct as outlined in the attached policies. Additionally, WestRock is committed to a retaliation free workplace. As a result, you are hereby reminded that the Company will not tolerate retaliation against any employee who honestly and in good faith raises a concern or reports misconduct. Retaliation under this policy can include: * any action taken to materially adversely impact the terms of conditions of an employee’s employment, such as reprimand, transfer, increased scrutiny, or making work more difficult; * threatening, marginalizing or otherwise generating or exhibiting hostility to another employee because of their involvement in reporting or investigating misconduct; or * any conduct which has the purpose of discouraging employees from resisting or complaining about conduct they believe in good faith is improper. | have attached copies of WestRock’s Mutual Respect in the Workplace Policy and WestRock’s Anti-Harassment Supplemental Policy for California. These policies reflect WestRock’s commitment to respect in our workplaces, including discrimination-free, harassment-free and retaliation-free workplaces. The Company's expectations have always been that you comply with these policies. Failure to comply with these policies, can lead to discipline, including and up to, termination of employment. ISAISO00001 By your signature below, you acknowledge receipt of this letter, including the attached policies. Caluton Sincerely, ¢ Jennifer Colucci Area HR Manager Ce: James Murkison, Business Unit General Manager Linda Jepson, HR Representative gQ f= 7.2219 Joseph Isaias Date i ISAISO00002 S WestRock POLICY NAME: MUTUAL RESPECT IN THE WORKPLACE DEPT/GROUP: HUMAN RESOURCES POLICY SCOPE: ALL EMPLOYEES POLICY REGION: GLOBAL EFFECTIVE/REVISED JULY 1, 2018 DATE: OWNER: CHIEF HUMAN RESOURCES OFFICER Short Statement: This global policy reflects WestRock’s commitment to respect in our workplaces, including discrimination-free, harassment-free and bullying-free workplaces. This policy also reflects our commitment to accessibility and accommodation and provides information on responsibilities, reporting and investigation and discipline of misconduct under this policy. Respect in our Global Workplaces Our WestRock Code of Conduct includes our shared value of Respect -- we treat one another with respect and earn the respect of others through our actions. Respect in our workplaces embodies our commitment to diversity, teamwork and collaboration, personal dignity and professionalism, among many others. We each share the responsibility to create workplaces that sustain and nurture respect. e We treat WestRock colleagues and business partners with dignity and respect. e We create an environment free from discrimination, harassment and bullying. . We provide equal opportunity, reasonable accommodation and foster accessibility in our facilities and the work we do. We acknowledge one another’s contributions without regard to cultural or physical characteristics or beliefs, and we resolve our differences with respect and professionalism. We embrace diversity in our workplace as a valuable asset and source of creativity and innovation. Workplace Free of Discrimination, Harassment and Bullying Discrimination-Free At WestRock, we have zero tolerance for discrimination in our global workplaces. Any employment decision or practice that unlawfully discriminates based on any characteristic ISAISO00003 S WestRock protected by applicable law is strictly prohibited. WestRock policy applies to all aspects of employment, including recruitment, hiring, selection for training, transfer, promotion and separation. The types of characteristics protected by law vary across our global locations. Examples of protected characteristics can include, but are not limited to, race, gender, color, national or ethnic origin, religion, age, sexual orientation and disability. Please consult your region, country, state or local policies for guidance specific to your work location. Harassment-free and bullying-free WestRock is committed to providing workplaces free from harassment and bullying. This includes any work-related conduct that may take place outside of the workplace, such as business trips, business meetings, and business-related social events and, in some circumstances, conduct unrelated to work but which has an impact on the workplace. This policy applies to all WestRock employees and to third parties, such as temporary workers, contractors, vendors, customers and third-party service providers performing work for WestRock or at WestRock locations. Whether conduct is offensive or unwelcome is based on the viewpoint of a reasonable person. Harassment can be a single event or a pattern of conduct that is based on a characteristic protected by applicable law, the effect of which is to create a work environment that a reasonable person would consider hostile, offensive or intimidating. Examples of events or conduct that may constitute harassment, singly or in combination, include, but are not limited to, the following: . Unwanted and inappropriate physical contact or horseplay; . Offensive or intimidating comments or gestures or insensitive jokes or pranks that undermine the dignity of a person; Sending or displaying materials that a reasonable person would find offensive; Mocking, mimicking or belittling a person based on a protected characteristic or making derogatory or stereotypical remarks about a protected group; and/or e Shunning or deliberately excluding someone because of a protected characteristic. Harassing conduct can come in many forms, such as face-to face interactions, e-mail, documents, message boards, pictures, symbols or objects. People can be harassed, even if they are not the intended target. Petty slights, annoyances and isolated incidents (unless extremely serious) will not rise to the level of harassment. Sexual harassment is unwelcome verbal or physical conduct of a sexual nature where submission to the conduct is made explicitly or implicitly a term or condition of an employee’s employment or when submission to or rejection of such conduct is used as the basis for employment decisions affecting the employee. The conduct must unreasonably interfere ISAISO00004 S WestRock with an employee’s work performance or create an intimidating, hostile or offensive working environment. Examples of conduct that may constitute sexual harassment include, but are not limited to, the following: . Unwelcome sexual advances or physical contact; e Continued and unwelcome suggestions (verbally, or through gestures or conduct) for dating, romance, social or sexual activity; Sexually suggestive comments, offensive jokes, or lewd or offensive horseplay; Pornographic, suggestive or explicit photographs, pictures or drawings that a reasonable person would find offensive; and/or Suggestions that sexual favors or submission to sexual activity may affect one’s job, performance evaluation, or working conditions. Sexual harassment is not confined to male-female interactions; it can include conduct between members of the same sex. Bullying is repeated, unwanted or abusive conduct that a reasonable person would find hostile, offensive and unrelated to WestRock’s legitimate business interests. Abusive conduct may include, but is not limited to, e repeated verbal abuse, such as derogatory remarks, insults and epithets; . verbal or physical conduct that a reasonable person would find threatening, intimidating or humiliating; and/or e malicious undermining of a person’s work performance. Legitimate, reasonable and constructive feedback of an employee’s performance or behavior or a reasonable instruction given to employees during their employment will not amount to bullying or abusive conduct on its own. A single act generally will not constitute abusive conduct, unless especially severe and egregious. Equality of Opportunity, Accessibility and Accommodation WestRock is committed to providing equality of opportunity for applicants and employees. It is WestRock policy that all employees and applicants otherwise eligible for employment will be evaluated on their individual merit and qualifications for the work to be performed. WestRock policy applies to all aspects of employment, including recruitment, hiring, selection for training, transfer, promotion and separation. WestRock provides reasonable accommodation/adjustments related to a disability and/or other legally protected status where such accommodation/adjustment enables access to our workplace and/or enables individuals to carry out their work duties and the accommodation/adjustment does not pose an undue burden. ISAISOO0005 S WestRock The process of identifying an appropriate workplace accommodation/adjustment is fact-based and individualized requiring collaboration and consultation. Workplace accommodation/adjustment: If you need an accommodation/adjustment in the workplace related to a disability and/or other legally protected status, please complete the Request for Accommodation or Adjustment Form attached to this policy to begin the interactive review process with your local HR contact (or designee). Third party contractors or vendors should consult their employer to begin this process. Hiring process accommodation/adjustment: If you believe you need an accommodation/adjustment related to a disability and/or other legally protected status in the application, recruitment or hiring process, please email talentacquisition@westrock.com. Diversity and Inclusio! Diverse perspectives encourage different solutions and inclusion encourages ideas. We welcome new ways of thinking and work hard to cultivate an environment where everyone’s voice can be heard. Diversity reflects all the ways we are different. Inclusion is fostering an environment in which our co-workers can proudly bring their differences to work every day and it gives them the opportunity to contribute their best. We believe that when we embrace our differences and intentionally include everyone, all our stakeholders — our co-workers, our customers, our suppliers, our investors and the communities where we live and work — have the greatest opportunity to win together to drive superior results and to maximize shareholder value. Freedom of Association Where employees are represented by a legally recognized union or works council, we are committed to establishing a constructive dialogue and bargaining in good faith with their freely chosen representatives. Child Labor WestRock prohibits the hiring or employment of individuals who are under 18 years of age. To the extent that applicable law is more restrictive, WestRock will comply with local child labor laws. Forced Labor and Human Trafficking WestRock prohibits the use of all forms of forced labor, including prison labor, indentured labor, bonded labor, military labor, modern forms of slavery and any form of human trafficking. Work Hours, Wages and Benefits ISAISOO0006 S WestRock WestRock compensates employees competitively relative to the industry and relevant local labor market and in accordance with the terms of applicable collective bargaining agreements. We work to ensure full compliance with applicable wage, work hours, overtime and benefits laws. Responsibilities, Reporting and Investigations Creating a workplace founded on respect requires the active participation of every WestRock employee. We must all be familiar with this policy and we must address or report conduct when we believe in good faith that such conduct violates this policy. If you believe you are being discriminated against, harassed or bullied, you must report that conduct. All reports of discrimination, harassment or bullying will be investigated promptly, and confidentiality will be maintained to the greatest extent possible. If you have concerns for your security or safety related to or arising from discrimination, harassment, bullying or any other circumstance please consult WestRock’s Workplace Violence Policy. Supervisors and managers are held to the highest standards of conduct as leaders within our company because of the trust that is placed in them to direct, manage, coach and support WestRock employees. Supervisors and managers who know of or who are made aware of conduct that may violate this policy must immediately report the conduct to Human Resources, Legal or Compliance, as noted below. Many instances of misconduct or perceived misconduct under this policy can be resolved respectfully and professionally among WestRock employees through communication, such as by expressing discomfort or by explaining that the conduct is hurtful, belittling or disrespectful. If the conduct does not stop or you are uncomfortable with direct communication for any reason, then you must report the conduct in another manner. Our shared goal is to end any conduct that violates this policy. WestRock has numerous ways to report conduct that may violate this policy: e Employees are encouraged to work with local management and HR where appropriate to resolve issues. Employees may also contact corporate HR representatives, such as their HR Business Partner, HR Vice President or the Chief Human Resources Officer. Employees may also report directly to the legal department or to the Chief Compliance Officer. Complaints may also be submitted via the WestRock Compliance Line. Look for the compliance line poster at your location or refer to “Resources” on the WestRock intranet for country-specific, toll-free dialing instructions (click here to view the ISAISO00007 S WestRock compliance line poster). You may also send your concern by email to complianceline@westrock.com or by mail to: WestRock Compliance Line Attn: Legal Department 1000 Abernathy Road NE, Suite 125 Atlanta, GA 30028 USA WestRock will investigate and resolve appropriately all reports of misconduct under this policy. Retaliation Free Workplaci Retaliation for reporting conduct that may violate this policy or for participating in any investigation under this policy is not tolerated. Retaliation includes any material adverse employment action against an employee because the employee has complained in good faith about or resisted misconduct under this policy, including unlawful harassment, discrimination, bullying or retaliation, or because he or she has cooperated in or assisted with an investigation. Retaliation under this policy can include: any action taken to materially adversely impact the terms of conditions of an employee’s employment, such as reprimand, transfer, increased scrutiny, or making work more difficult; threatening, marginalizing or otherwise generating or exhibiting hostility to another employee because of their involvement in reporting or investigating misconduct; or any conduct which has the purpose of discouraging employees from resisting or complaining about conduct they believe in good faith is improper. Engaging in protected activity does not shield an employee from all discipline, including termination, if the action is motivated by non-retaliatory and non-discriminatory reasons that would otherwise result in such consequences. Discipline for Violation: Failure to abide by this policy may result in discipline up to and including termination of employment. While the laws and customs may vary across our workplaces and geographies, our commitment to respect in our workplace is the same wherever we work. Conduct that does not constitute actionable discrimination, harassment or bullying as those terms are defined by applicable law may still violate this policy and may still result in discipline up to and including termination of employment if the conduct does not comport with WestRock’s commitments in this policy. ISAISO00008 S WestRock Other Laws and Regulation If there is any discrepancy between local labor agreements, works council agreements, local law, regulations, or ordinances, the policy will be interpreted and applied in a manner consistent with those agreements, laws, regulations, or ordinances. This policy does not create a contract of employment nor it is intended to create any contractual rights or obligations. In those jurisdictions where employment at will is permitted, the terms of this policy will not change or alter the at-will status of any employee’s employment with WestRock. The original language for this policy is English. In the event of any discrepancy between the original language version and any other version, the original language version will govern. ISAISOO0009 S WestRock APPENDIX A COMPLAINT FORM This form is provided to aid you in submitting a complaint of bullying, discrimination, harassment, and/or retaliation to human resources. You are not required to use this form to file a complaint. WestRock will investigate and resolve appropriately all reports of misconduct. Instructions Please complete all applicable sections of this form. It is important to be as specific as possible in your complaint so that WestRock may fully investigate the conduct alleged. Please include all information you believe should be considered in an investigation. You are not limited to the space provided. WestRock encourages you to attach any additional materials that may assist us in investigating your claim. Details of Complaint Reporting Employee Name: Title: Date: e Identify the individual(s) who experienced the alleged conduct: Identify the individual(s) who committed the alleged conduct: Has anyone else witnessed the alleged conduct? If yes, please identify those individuals: Identify (to the best of your knowledge) when the bullying, discrimination, harassment, and/or retaliation occurred. If it occurred over a period of time or continues to occur, identify that period of time: APPENDIX A — Global Mutual Respect in the Workplace Policy ISAISO00010 S WestRock . Have you previously reported or complained about the alleged conduct to anyone at WestRock? If so, please identify the person to whom you reported the conduct and the date of the report: . Describe in detail the facts that form the basis of this complaint (attach additional sheets of paper if necessary): e Is there any evidence (e.g., documents, emails, videotapes, audiotapes, or other records or materials) we should review? If yes, please identify and describe all such evidence and/or attach it to this complaint: | acknowledge that | have read and understand the above information. | certify that to the best of my knowledge, the information | have provided is accurate. | understand and acknowledge that a copy of this complaint and any attachments may be viewed by appropriate Company representatives involved in the investigation of this complaint. Employee Signature Date APPENDIX A — Global Mutual Respect in the Workplace Policy ISAISO00011 S WestRock ANTI-HARASSMENT: SUPPLEMENTAL POLICY FOR POLICY NAME: CALIFORNIA DEPT/GROUP: LEGAL DEPARTMENT POLICY SCOPE: CALIFORNIA EMPLOYEES POLICY REGION: UNITED STATES EFFECTIVE DATE: OCTOBER 18, 2016 OWNER: CHIEF HUMAN RESOURCE OFFICER WestRock is committed to providing a workplace that is free from unlawful harassment and discrimination. WestRock strictly prohibits and does not tolerate unlawful harassment or discrimination against employees and other covered persons (as defined below) by co-workers, supervisors, managers or third parties on the basis of an individual's race, color, age (40 or older), religion (including creed), national origin, ancestry, mental or physical disability, medical condition, genetic information, marital status, sex (including pregnancy), gender, gender expression, gender identity, sexual orientation, military or veteran status, or any other characteristic protected under applicable federal, state, or local law. WestRock also prohibits and does not tolerate unlawful harassment against employees who are perceived to have any of these characteristics or who associate with a person who has, or is perceived to have, any of these characteristics. Harassment can occur in the workplace, after hours, or on social media. It should always be reported and will not be tolerated by WestRock. Harassment applies to the conduct of a supervisor toward a subordinate, an employee toward another employee, a non-employee toward an employee, an employee toward a non-employee (such as a temporary employee, a contractor or a consultant), a non- employee toward an employee, or an employee toward an applicant for employment. It may occur between members of the opposite sex or the same sex. ISAISO00012 Date: 07/02/2019 Time: 6:05AM Location: HR’s Office in Salinas Attendees: Lien Tran and Eddie Lien met with Eddie to investigate a harassment complaint that was brought forward to the company’s attention. As a reminder, Lien informed Eddie that he cannot retaliate against the employee who came forward with the complaint. Eddie acknowledged and said he understood. Lien asked Eddie his relations with Alicia and he said that they work together. Eddie confirmed that they sat down to have lunch together in the breakroom a couple of times and have had conversations. Lien asked about the conversation they had regarding Eddie getting wax on his arm while working in the wet lock. During his conversation with Alicia, she asked him, “does it hurt when it gets on you? You know since the wax is hot” and why he responded to Alicia with “I kinda like it. | kinda like it in a kinky way.” Eddie said, “I was playing around and didn’t mean anything of it. Of course it hurts my arm. It’s hot wax. | like to joke around with everyone.” Lien responded by telling Eddie that his response to Alicia was inappropriate. Lien then asked about an incident that occurred when Alicia shared with Eddie that Mariano had asked her not to be reaching over for the bundles because it could hurt her back and why his response to her was “yeah, as much as we love to watch you bend over.” Eddie said he does not recall making that comment. Lien asked about the incident where Eddie made the comment “Let your hair down Ma. | wanna see you for the woman that you are.” Eddie explained that he calls every female “Ma” as a greeting and he did ask if she could let down her hair because she shared that she got a haircut. Lien then asked about the event that took place when Alicia was clocking out and he said, “You’re beautiful, Ma.” Eddie shared that on the production floor he overheard people calling her an ugly duckling so his comment of saying she is beautiful was his gesture of being kind. Per Eddie, his intent was just to give her a nice compliment and nothing more as he stated he is a happily married man. Lien asked if Eddie has any questions or anything he would like to add. Going forward, Eddie stated that he will refer to Alicia by her name and not “Ma”. He will also be cautious of statements and comments as others may perceive it offensively. Eddie then stated he would like to apologize to Alicia and that he didn’t mean to offend her with his comments. Lien advised Eddie not to approach Alicia with an apology as she may not be comfortable if he came up to her. Eddie then asked if Lien can apologize to Alicia on his behalf. WRO000594 Date: 07/02/2019 Time: 7:00AM Location: HR’s Office in Salinas Attendees: Lien Tran and Alicia Reynes Lien met with Alicia to investigate the complaint that she has filed against Eddie and Joseph Isaias. Alicia stated that the harassment started even before she came onboard. Joseph (Joe) approached Alicia’s dad, Charlie, and said “if she doesn’t come on time, she won’t make it.” During Alicia’s 4 days of onboarding and training, Joe popped in and out of the training room all day. Lien asked if Joe did anything or made any comments to Alicia. Alicia said no and that Joe was just passing through. Alicia’s first week of work on the production floor, Joe was not there because he was on vacation. Second week of work, Alicia was training on the 823 and was working with Ricky and Miguel. Joe would come by the machine and say, “better do box check, better do this..., and better do that...” to Alicia. Alicia said that Joe was always on her and was turning the machine up to speed it up while she was working and said to her, “if you can’t handle the machine, you won’t make it.” Alicia did not appreciate the tone that Joe used when he was talking to her. Instead of training her how to do it, Joe would jump in and stack for Alicia. After 2-3 days on the 823 machine, Joe asked Alicia to sweep the production floor and clean the garbage cans. Alicia said that people were questioning why Joe asked Alicia to clean. Alicia said she would stack one day, then clean, and then stack the next. Lien shared with Alicia that most entry level positions on the production floor will require housekeeping and shared examples at Milpitas that not only Pre-Press positions will sweep and clean the garbage cans, but Milpitas’ Assistant Operators and Operators also contribute with housekeeping — especially if there’s down time or if PM is being done. Alicia had a better understanding of the entry level position after Lien explained the basic responsibilities/duties that the job entailed. Alicia said she was also being trained on the EVOL and one day Joe made a comment that she did not appreciate. Joe said to her, “don’t make excuses. Excuses are for losers. You’re not a loser, are you?” Alicia said she was intimidated by Joe so she was afraid to speak up and that if she tries to tell him something, he wouldn’t listen. While Alicia was receiving training on the EVOL, Joe was standing too close to her and on multiple occasions and would put his hand on her waist to move her aside instead of saying “excuse me”. It made Alicia feel uncomfortable. Alicia started crying and said that something happened in her past and she doesn’t like people touching her. While talking to Alicia on the production floor, Joe would stand so close to Alicia where her breast was pressing against his chest. Lien asked if Alicia ever asked Joe to take a step back and to respect her boundary and space. Alicia said she did not as she was afraid since she was still in her probationary period and that she did not want Joe to retaliate against her dad, Charlie. Alicia said the day after Mike Montoya’s passing, she was done cleaning the machine and ran into Joe in the lobby who asked her to use the dolly to take the coffee upstairs using the elevator. When Alicia got upstairs near the Customer Service entrance door, it was locked. She then went downstairs to ask Jim to open the door. Joe was in the room with Jim, so he volunteered to go unlock the door. On their way upstairs, they were conversing about work and Mike Montoya. When they got to the doorway by the WR000253 breakroom, Alicia stopped underneath the doorway and said, “the room looks brighter since the last time | was in here for onboarding.” Alicia then stated that she didn’t realize how close Joe was standing behind her. She moved to the side and Joe also moved to the side (same side as Alicia). He then asked if her she would like a cup of hot chocolate. Alicia said yes. While waiting for the hot chocolate to be ready, Joe said to Alicia with his arms wide open as if he was expecting for a hug, “it’s my birthday today. I’m 46.” Alicia said she felt awkward, so she patted his arm and wished him a happy birthday. Lien asked if there was any additional encounters/incidents that involved Joe. Alicia said no and that she has been avoiding him. Alicia then proceeded to talk about Eddie (Ed) and informed Lien that her first interaction with him was when she was working on a 12 hours shift. Alicia was in the lunch room when Ed approached her and asked if she wanted company. Alicia said, “sure.” Alicia’s jeans were dirty and Ed pointed out that there was a lot of paint on her pants. Alicia told him the paint was from the job. Alicia then noticed that there was wax on Ed’s arm so she asked him if it hurts. Ed said, “no. | like it in a kinky way.” During the lunch, Ed said something that Alicia didn’t hear clearly, so she said “what?” Ed then said, “let your hair down Ma. | want to see you for the woman that you are.” Alicia said she felt awkward and uncomfortable and stopped eating her food at that point. The following day, Ed just sat down with Alicia for lunch and asked Alicia, “how’s your shift?” Alicia responded with “good”. Alicia then shared with Ed that the Safety Manager advised her not to reach over for the bundles because she can injure herself. Ed then made the comment, “we want to see you bend over.” Alicia felt uncomfortable and got up and left. Lien asked Alicia if she reported Ed’s comments to management. Alicia said no because she was afraid. Lien told Alicia she should not be afraid to talk to someone in management if someone is harassing her. If she does not feel comfortable talking to a Supervisor, she can always come to Linda. Lien also provided Alicia with her mobile number if she is more comfortable speaking with Lien. Alicia was also informed of WestRock’s anonymous hotline number that is posted on the bulletin board. In addition, Lien shared WestRock’s Employee Assistance Program and told her that there are guidance counselors who are available should she need to talk. It is strictly confidential and there is no charge to Alicia as it is part of WestRock’s benefits. Alicia thanked Lien for listening and informed her that she will talk to Linda or give Lien a call should another incident occurs. Lien asked if Alicia is okay and how she’s feeling after their meeting. Alicia said she was feeling a lot better now that the incidents have been reported. WRO000254 Date: 07/02/2019 Time: 10:05AM Location: HR’s Office in Salinas Attendees: Lien Tran and Joseph Isaias Lien met with Joseph Isaias to investigate a harassment complaint that was brought forward to the company’s attention by Alicia Reynes. Lien reminded Joseph (Joe) that he cannot retaliate against the employee who came forward with the complaint. Joe acknowledged and understood. Lien asked Joe his relations with Alicia and Joe said that Alicia is a new hire that has been working swing and graveyard. Joe said he has been staying over to work for Jim the last 2 months. Lien asked about Joe’s actions while training Alicia on the Evol and why he placed his hand on her waist on numerous occasions. Per Joe, he doesn’t recall doing that, but if he did — it was to pass through and to move her aside. There was nothing more to it. Lien told Joe that he must be cautious of his interactions with employees as some individuals are not comfortable with others touching them. Joe said, “I completely understand that. Lien, to be honest with you — | have a daughter who does not like anybody touching her — including me. Something happened to her so | understand people’s boundary and space. Alicia never said anything to me, so | didn’t know that anything was bothering her. Alicia is also a really affectionate person. There was a time where | was helping Alicia during training and | showed her how to do something and she made the comment “you’re real strong, | can give you a hug” and she patted my chest. | didn’t hug her or anything.” Joe then continued, “Lien, if Alicia would have told me that what | was doing was bothering her — | would’ve been aware and stopped it immediately.” Lien shared with Joe that Alicia was afraid to speak up because she was intimidated by him. Joe acknowledged that he knows he needs to work on his communication, and he said that is something he will improve on. Lien told Joe that there is effective communication for manager training in the TMS that Joe should look into. He said he will. Lien then asked Joe what happened the morning after Mike Montoya’s passing. Per Joe, “I was in the lobby and saw the coffee downstairs. | guess Mike use to be the person who brought the coffee up, so | started bringing up the coffee by myself. Alicia saw me and asked me if | needed help. | told her to use the dolly to bring the coffee upstairs.” Lien asked, “did you go upstairs with her?” Joe then said, “I was in Jim’s office and Alicia came in saying the door was locked, so | went with her upstairs to go unlock it.” Lien then asked what happened as they were going upstairs. Joe said they had a really good conversation and was laughing, so he shared with Alicia that it was his birthday as they were in good spirits. There was no further intentions other than that. WRO00595 S WestRock WORKPLACE INVESTIGATION FORM — CONFIDENTIAL ATTORNEY CLIENT COMMUNICATION This Form should be used for all complex investigations of workplace issues typically involving review of documents and witness interviews. It is not required in simple, day-to-day HR issues that can be handled per standard workplace interaction or resolution. SUMMARY DATA Date of Complaint: 7/22/2019 Location: Human Resources Office Complaining Party: Alicia Reyna, Frank Pulido Accused Party: WestRock Is Complainant Union: KlYes CINo Has a grievance been filed? LYes XINo Type of Allegation in Complaint: Harassment . If you chose “Other” you are not required to use this form and you are not required to consult your WRK Regional Attorney. Please use good judgment. If you believe the issue is significant, please contact your WRK Regional Attorney to discuss handling. If you chose “Safety Violation” you must direct this complaint for handling by the appropriate Safety personnel. Please copy your WRK Regional Attorney on significant safety violations. . If you chose “Security” you must contact Corporate Security (miles.burden@westrock.com) For all other investigations, you must use this form and send this form and all attachments in draft form to the WRK Attorney for advice and counsel before finalizing your investigation. . If there is a pending grievance, contact your WRK Regional Attorney for guidance before proceeding beyond the Summary Data section of this document. Just because there is a pending grievance does not necessarily mean that we do not investigate. In other cases, contact your WRK Regional Attorney once you have completed the summary data and investigation preparation for guidance on next steps. You may not share this form or the results of your investigation with anyone other than your WRK Regional Attorney without permission from counsel. Brief Summary of Complaint: Alicia Reyna came to Linda Jepson’s office on 06/28/19 to report that she was being harassed by Joe Isaias and Eddie Arias How was Complaint Received: Alicia reported the issue to Linda on 06/28/19 and provided a handwritten statement to Linda on 07/01/19 Investigator Selected: & The selected investigator has no conflicts that might affect his/her judgment. & The selected investigator does not report (directly or indirectly) to the complaining party, the accused or any known key witnesses in the investigation. &] The selected investigator has the training and subject matter knowledge sufficient to conduct the investigation. Instructions: If you are not able to check all three boxes, please work with your HRBP or HRVP to assign an investigator to the claim. Interim Actions: O Interim action is needed to protect the safety or security of the complainant or witnesses. Contact your WRK Regional Attorney or Corporate Security immediately. CO Interim action is needed to protect the complainant from potential retaliation or other potential harm. CO Interim action is needed to protect the witnesses from potential retaliation or other potential harm. WR000596 Workplace Investigation Form Confidential Attorney Client Communication Click or tap here to enter text Page 2 of 12 Instructions: If any box is checked, please describe the interim action taken below. If you are uncertain what to do, please contact your WRK Regional Attorney. Click or tap here to enter text INVESTIGATION PREPARATION This section must be completed before you begin your investigation. Remember that you will need to revisit these questions and add/revise them as your investigation proceeds and you become aware of new issues or evidence. This should be a working document to help guide your investigation. Identify the issues to be investigated. Harassment allegation made against Eddie Arias and Joe Isaias Identify all witnesses you may need to Alicia Reyna, Eddie Arias, Joe Isaias interview or contact to fully investigate the issues raised. (Create an outline of topics to discuss with each witness and determine the order in which you would like to conduct the interviews. Be prepared to give witnesses the proper introduction about the importance of truthfulness, confidentiality, and our non-retaliation policy — see witness interview template). Identify all documents or information Alicia Reyna’ written statement you need to collect to investigate the issues raised. (Determine whether you need to review documents before conducting interviews.) Identify all workplace policies that may {Mutual Respect Policy, Anti-Harassment in the Workplace Policy apply to the issues raised in the complaint. (Ensure that you are familiar with the policies.) Review complainant’s and accused’s N/A disciplinary and performance records for the past 2-3 years to see if there are related issues. Review Compliance Line history and None disciplinary records to see if there is a record of similar or related activity in the department or at the location involving complainant or accused. WRO00597 Workplace Investigation Form Confidential Attorney Client Communication Click or tap here to enter text. Page 3 of 12 INVESTIGATION RESULTS SUMMARY Names of persons Eddie Arias on 07/02/2019 at 6:05AM interviewed in Investigation Alicia Reyna on 07/02/2019 at 7:00AM and dates of interviews: Joseph Isaias on 07/02/2019 at 10:05AM All witness interviews using the Martha Bazaldia on 07/18/2019 Witness Interview Form should Alicia De La Torre on 07/18/2019 at 3:30PM be attached. Leanne Sanks on 07/18/2019 at 3:45PM OlWitness Interviews attached Full Summary of OoDraft report for attorney review attached with headers Investigation: *Draft report can be an On 07/02/2019 at 6:05AM, Lien met with Eddie Arias to investigate a harassment attachment. Include a header on complaint that was brought forward to the company’s attention. As a reminder, Lien all pages “Privileged for Attorney informed Eddie that he cannot retaliate against the employee who came forward with Review.” the complaint. Eddie acknowledged and said he understood. Lien asked Eddie his relations with Alicia and he said that they work together. Eddie confirmed that they sat down to have lunch together in the breakroom a couple of times and have had conversations. Lien asked about the conversation they had regarding Eddie getting wax on his arm while working in the wet lock. During his conversation with Alicia, she asked him, “does it hurt when it gets on you? You know since the wax is hot” and why he responded to Alicia with “I kinda like it. | kinda like it in a kinky way.” Eddie said, “I was playing around and didn’t mean anything of it. Of course it hurts my arm. It’s hot wax. | like to joke around with everyone.” Lien responded by telling Eddie that his response to Alicia was inappropriate. Lien then asked about an incident that occurred when Alicia shared with Eddie that Mariano had asked her not to be reaching over for the bundles because it could hurt her back and why his response to her was “yeah, as much as we love to watch you bend over.” Eddie said he does not recall making that comment. Lien asked about the incident where Eddie made the comment “Let your hair down Ma. | wanna See you for the woman that you are.” Eddie explained that he calls every female “Ma” as a greeting and he did ask if she could let down her hair because she shared that she got a haircut. Lien then asked about the event that took place when Alicia was clocking out and he said, “You’re beautiful, Ma.” Eddie shared that on the production floor he overheard people calling her an ugly duckling so his comment of saying she is beautiful was his gesture of being kind. Per Eddie, his intent was just to give her a nice compliment and nothing more as he stated he is a happily married man. Lien asked if Eddie has any questions or anything he would like to add. Going forward, Eddie stated that he will refer to Alicia by her name and not “Ma”. He will also be cautious of statements and comments as others may perceive it offensively. Eddie then stated he would like to apologize to Alicia and that he didn’t mean to offend her with his comments. WR000598