EFTA01343875.pdf

Deutsche Bank 6.5 Escalation process The Chairperson of the Committee or the Committee shall escalate issues that it cannot resolve, issues that remain to be decided as a consequence of a veto, issues that need ratification or issues which have been appealed" by the Units and requesting an escalation with the Committee to the Delegating Person within 4 days of the day the issue occurred. The respective RRRC and, in case of multiple regions impacted, the Primary RRRC may escalate to the Delegating Person only. Escalated issues shall be clearly referred to in the minutes and addressed in the log of actions / issues. Section 4.4 remains unaffected. In case of an escalation to the Delegating Person, the Chairperson of the Committee or the Committee shall inform Regional Management simultaneously and a Regional Management representative to attend the meeting of the Delegating Person as guest. Section 6.4 para 1 shall apply. 6.6 Tracking of open issues The Secretary is responsible for tracking open issues to ensure closure. In order to ensure that all Members of the Committee are aware of the status, the Secretary will distribute the updated open issue list together with the finalised minutes (see section 6.3). As a rule, meeting agendas should include updates as to progress on open issues. 6.7 Role of the Chairperson The Chairperson represents at all times the Risk Function within the scope of which the Committee is established. The Chairperson is accountable within the Committee with regards to organisation of the procedures, tracking of tasks and communication with the Delegating Person. The responsibility of all Members for the appropriate performance of their tasks remains unaffected. "The Units have a commitment vote or disagreement vote in relation to the Committee's decision which should be provided by the Unit sponsor immediately after the communication of the Committee's decision, this sponsor vote becoming immediately effective. In the event of a disagreement vote by the Unit, the Unit is free to escalate the matter to its Unit ExCo. The Global Head of the Unit / Chairperson of the Unit ExCo can decide to act as sponsor to seek the escalation of the Committee's decision to the Delegating Person, support to be provided by the respective RRRC. For internal use only Page 9 of 17 version 4 I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0028821 CONFIDENTIAL SDNY_GM_00175005 EFTA01343875