Nestlé Dos & Donts_Higher Risk Sep2022.pdf

DOS & DON’TS and GUIDELINES for the implementation of the Nestlé Policy For Implementing the WHO Code in Higher Risk Markets Issuing Department Nutrition SBU Target Audience Nutrition business units, NiM, NIA Marketing, Sales and Medical Field Force Replaces Illustrated Guidelines for sales (201...

DOS & DON’TS and GUIDELINES for the implementation of the Nestlé Policy For Implementing the WHO Code in Higher Risk Markets Issuing Department Nutrition SBU Target Audience Nutrition business units, NiM, NIA Marketing, Sales and Medical Field Force Replaces Illustrated Guidelines for sales (2010) Illustrated Guidelines to 3rd Parties (2012) Pharmacy Display cabinet Guidelines (2012) Illustrated Guidelines for Medical Materials (2010) Illustrated Guidelines for relations with Healthcare System (2011) Mom & Me - Instructions for the marketing of nutritional products for pregnant and lactating women (2011) Date of Publication May 2016 – version 1.0 August 2018 – version 2.0 January 2021 – version 3.0 September 2021 – version 4.0 September 2022 – version 5.0 Contact Please contact your local WHO Code Compliance Manager or Zone WHO Code Compliance Manager for any further questions. Copyright and Confidentiality The content of this document may not be reproduced without proper authorization. All rights belong to Société des Produits Nestlé S.A., Vevey, Switzerland. © 2022, Société des Produits Nestlé S.A. INTERNAL USE ONLY Dos & Don’ts for the Nestlé Policy For Implementing the WHO Code in Higher Risk Markets Contents Chapter 01: Dos & Don’ts Chapter 02: Guidelines Introduction 5 2.1 Implementation guidelines related to infant formula for special medical purposes (“iFSMPs”) 69 Product scope for higher-risk markets 6 2.2 Guideline for the marketing of supplements for infants Dos & Don’ts for sales in higher-risk markets 8 and young children branded with trademarks associated with our infant formula brands (such as 72 NANCARE, ILLUMCARE) Dos & Don’ts for third parties in higher-risk markets 24 2.3 Guidelines on consumer research related to maternal Dos & Don’ts for marketing of nutritional products 26 and infant nutrition products in higher-risk markets 74 for pregnant and lactating women Dos & Don’ts for digital in higher-risk markets 31 2.4 Essential mentions on communication related to Dos & Don’ts for relations with the healthcare 53 maternal, infant and young child nutrition products 80 system in higher-risk markets Dos & Don’ts for the Nestlé Nutrition Institute in higher-risk markets 63 INTERNAL USE ONLY  DOS & CHAPTER DON’TS 01 Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 4 INTERNAL USE ONLY Introduction Nestlé’s purpose is to unlock the power of food to enhance quality of life for everyone, today and for generation to come. Seeking to promote safe and adequate nutrition for infants by encouraging and supporting breastfeeding as the best start in life, is fundamental to this purpose. For infants who are not breastfed for the recommended period of time, infant formula is the only suitable breast-milk substitute recommended by the WHO. We pledge to make these products available in a responsible manner to those who need them. As such, we are committed to fully complying with the WHO International Code of Marketing of Breast-Milk Substitutes (“the WHO Code”) as implemented by national governments everywhere in the world. We are committed to complying with any requirements implemented by local governments in higher-risk countries and with all other relevant laws. In certain matters, concerning the marketing of infant formula and follow-on formula, these guidelines provide clarity and direction to the Nestlé Nutrition business. When developing and applying the local Policy Manual, Nestlé Nutrition staff should adhere to the Nestlé Code of Business Conduct, the Nestlé Marketing to Children Policy and other Nestlé global guidelines deriving from our Nestlé Corporate Business Principles. The requirements stemming from local laws (e.g., anti-bribery laws) shall prevail if they are stricter. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 5 INTERNAL USE ONLY Product scope for higher-risk markets These guidelines apply to all Nestlé infant formulas (whether sold under the Nestlé corporate brand or any other corporate brand) designed to satisfy the nutritional requirements of healthy infants from birth through 12 months and any product falling under the scope of a local Code in higher-risk market. Maternal nutrition products, infant Foods for Special Medical Purposes1 (FSMPs) and complementary foods, are not covered by this manual, except where national regulations or any element of the “Nestlé Policy for implementing the WHO Code” applying to higher-risk countries for these specific categories may warrant otherwise. Non-exhaustive examples of concerned products under global brands are: LACTOGEN 1 and 2 S-26 PROMIL Gold NAN 1 and NAN 2 SMA 1 and SMA 2 NIDINA 1 and 2 BELSOL 1 and 2 ILLUMA 1 and 2 DANSTART 1 and 2 1 FSMPs are Formulas for preterm and low birth weight babies, Supplements for Preterm and low birth weight babies, lactose-free infant formula, infant formula for reflux and sensitive infant formula (low lactose, HA protein and L. Reuteri). Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 6 INTERNAL USE ONLY Definitions Infants “infants” means children under the age of 12 months Young “young children” means children aged between one and three years children IF "infant formula" means foodstuffs intended for particular nutritional use by healthy infants during the first months of life and satisfying by themselves the nutritional requirements of such infants until the introduction of appropriate complementary feeding. In practice this means 0-12 months FOF "follow-on formula" means foodstuffs intended for particular nutritional use by infants when appropriate complementary feeding is introduced and constituting the principal liquid element in a progressively diversified diet of such infants. In practice this means from 6-12 months “Growing-Up Milks” positioned as complementary food for children older than 12 months of age and not a breast-milk substitute. GUMs are marketed GUMs as a nutritious alternative to unfortified cow’s milk. It aims to contribute to filling the nutrient gap of children who may be at risk of micronutrient deficiencies such as “picky eaters” HCPs Healthcare Professionals: persons having qualifications in medicine, nursing, midwifery, nutrition or pharmacy Healthcare institutions: governmental, non-governmental or private institutions or organizations in which HCPs operate and are engaged in healthcare HCIs for pregnant women, mothers and infants2 IN BEO Infant Nutrition Business Executive Officer N.B. National Codes apply where stricter. 2 Pharmacists can be considered as HCPs with the purpose of getting access to medical detailing information and materials. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 7 INTERNAL USE ONLY  01 DOS & DON’TS for sales in higher-risk markets Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 8 INTERNAL USE ONLY 01 Dos & Don’ts for sales in higher-risk markets Nestlé Corporate Displays Traditional trade (Nestlé House) Modern trade space for Nestlé IF may be displayed together with corporate displays can be all Nestlé products on a shelf purchased. If any shelf talkers exclusively dedicated to Nestlé are used for the category, (“Nestlé corporate display” or “Breast milk is Best” message “Nestlé house”), but should not shall be added below IF be given visual prominence over products. other Nestlé products. If shelf talkers are used for the category, ”Breast milk is Best” message shall be added below IF products. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 9 INTERNAL USE ONLY Category Displays Shelf space can be purchased IF can be present on shelf in to procure a shelf space more than one location in the commensurate with our IF store as long as this reflects the brands’ market share or a better normal organization of the location (e.g., eye level on shelf, store, but IF should not be high traffic area in store). given visual prominence over other infant nutrition products. Promotional shelf space Those secondary placements cannot be purchased under any can be paid for and cannot be at circumstances for IF. gondola ends or in window displays. The Nestlé House is an exception to this rule. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 10 INTERNAL USE ONLY Infant Formula Location IF should not be placed at However, the placements are gondola ends or in window not considered promotional and displays, as they are generally no action is required in cases in considered promotional displays. which these placements: If this practice is observed, are the only shelf for the IF Nestlé or Nestlé’s distributor category staff should urge the store’s are permanent and not owner to refrain from this, but it promotional is up to the goodwill of the are not financed nor initiated retailer to move the products to by Nestlé or Nestlé another location. If the store’s distributors owner does not remove the display, the request should be made by Nestlé in writing. All documentation should be kept for 36 months. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 11 INTERNAL USE ONLY Infant Formula Displays 1/2 The use of shelf markers/bay Posters or banners showing IF dividers is allowed, provided the pack shots/brands and key size of these materials is benefits are not allowed. comparable to those used for other brands/products in the store. Such materials cannot carry any IF branding but can include a category’s denomination. Only shelf markers of standard Generic IF umbrella brand size announcing a reformulation (e.g. NAN) with no stage/age or new packaging of an existing descriptor must not be displayed. IF, with no promotional language and consistent with the store’s policy, are allowed. Such markers may be displayed for a maximum of 6 months. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 12 INTERNAL USE ONLY Infant Formula Displays 2/2 Box pallets and island displays Special displays are not allowed are not allowed for IF. for IF. Detailing aids or leaflets/hand- Leaflets and retailer magazines outs related to usage or brands sent to consumers or available in of IF must not be made available stores cannot contain promotional at points of sale, as IF placement or IF communications. manufacturers may not communicate directly with consumers. Internal training materials should also not be found in the trade channel. Mock up for illustrative purpose only Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 13 INTERNAL USE ONLY Infant Cereal/Growing-Up Milk Displays Promotional displays for IC and Pictures of babies younger than GUMs are allowed on home- 12 months are not allowed in our shelf. The customer must be Point of Sales “POS” informed that this promotion communications for GUMs. should be clearly identified as Pictures of babies younger than being for IC and GUMs only, six months are not allowed in our without any risk of being POS communications for IC. In perceived as IF promotion by addition, all babies should be consumers. portrayed performing actions indicative of their specific age. Secondary display or special display of IC and GUMs is allowed, even at gondola ends. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 14 INTERNAL USE ONLY Shelf Headers Only for markets authorized to When the GUMs brand is not the communicate about GUMs, a same as the IF brand (e.g., NIDO shelf header with a GUM brand 1+), the main shelf header can similar to an IF brand display a GUMs communication (e.g., NAN 3) can display GUM with no restriction. communications and brands (e.g., NAN 3, ILLUMA 3, S-26 PROGRESS 3, etc.). If shelf talkers are used for the category, ”Breast milk is Best” message shall be added below IF products. Mock up for illustrative purpose only The shelf may carry the whole range, from IF to GUMs. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 15 INTERNAL USE ONLY In-Store Activities Promoter are allowed to talk In-store demonstrations of IF about cereals and GUMs to the preparation are not allowed. appropriate target. They are not allowed to talk to consumers about IF. Sampling of IF (dry or wet) is not allowed. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 16 INTERNAL USE ONLY Sampling Gifts Sampling of IC is allowed with Gifts related to IF cannot be mothers of babies older than 6 offered to pregnant months. women/mothers. Sampling of GUMs is allowed When gifts can be offered to with mothers of babies older consumers (e.g., related to than 12 months. products out of the scope), the activity should strictly comply with the Marketing Communication to Children Policy. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 17 INTERNAL USE ONLY Dual Pricing Scheme Dual pricing schemes for IF products related to Communication about the dual pricing on membership programs are acceptable if: shelf is allowed, provided that: It reflects the normal price tag standards Enrollment to the programs is not conditional in place at the store on a purchase of IF Standard dual price tags are placed Member prices apply to all products from below all products the store, not only IF No promotional communication is used The dedicated pricing mechanisms are long- term and consistently available Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 18 INTERNAL USE ONLY Shelf Hygiene If not otherwise specified in the Dented tins of IF, or IF tins with local SOP, it is recommended partially-erased or illegible that IF that is expired or expiring labels, should be removed from within 1 month be removed from the shelf. the shelf. When inappropriate labels (infiltrated products/parallel imports) are observed, the store’s owner should be notified in writing and legal department in the market should be informed. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 19 INTERNAL USE ONLY Pharmacies Medical detailing to Counter displays are acceptable pharmacists is permitted. if they are in cabinets with the intent of providing increased hygiene protection and apply to all IF brands. Decision trees may not be Detailing aids and displayed to the general public. leaflets/handouts related to IF may not be made available to the general public. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 20 INTERNAL USE ONLY Pharmacy and Retail Outlet Cabinet Guidelines 1. Rationale for placement of cabinets Requisites: These guidelines are intended to ensure adequate availability and safety of infant ✓ Clean, tidy and hygienic conditions nutrition products in pharmacies within high hygiene and security standards. ✓ Adequate space to ensure availability of infant Good storage practices for infant nutrition products are necessary to guarantee the nutrition products at the point of sale integrity and quality of these sensitive products and minimize the risk of theft. ✓ Appropriate conditions for shelf life These guidelines shall not contravene any national law or regulations and shall not ✓ Management, storage and security be used for any promotional purposes nor as special displays within the meaning of article 5.3 of the WHO Code. ✓ Protection from heat and humidity 2. Guidelines Cabinets can only be used in countries where pharmacy channel management has been implemented either by Nestlé or its local distributor to ensure the channel can be satisfactorily supervised. Once cabinets are in place, the local sales team must ensure, during their regular visits, that such guidelines are applied. Strict criteria must be followed for placement in pharmacies: ✓ No promotional language, picture, image or logo (except company logo and breastfeeding statement); ✓ Must be used to ensure hygiene and security against theft; ✓ Cannot be used as secondary displays or placed in prominent areas (e.g., should be placed behind or next to the counter, where possible) ✓ Cabinets must carry the whole range of infant nutrition products, including FSMPs, complementary foods and GUMs, without special prominence for IF ✓ Retailer can reserve the right to use shelf space at its own discretion in case products are out-of-stock Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 21 INTERNAL USE ONLY Baby Shops/Corners For baby shops/corners (specialist boutiques or areas in department stores catering for a variety of babies’ needs), the same rules apply as those for retail outlets. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 22 INTERNAL USE ONLY Relations with the Trade Trade terms (e.g., value/volume rebates, end-of-period bonuses, rewards on sales) related to business-to-business activities can be granted to our distributors /wholesalers/KA/retailers (herein “the third parties”) under the following conditions*: ✓ Framed in an agreement (e.g., contract/trade agreement/price list conditions/general Discounts/rebates on IF may not be conditions of sales). passed on to retailers for promotion at POS. ✓ Such agreement includes a reminder/clause/statement (or any other formal communication) that all conditions offered to them cannot be passed onto the final consumers as promotional (permanent price reductions are allowed). Provision of POS promotional materials related to IF to the trade ✓ Negotiated with distributors/wholesalers according to standard market practices. are not permitted. ✓ Third-parties benefiting from the sell-in incentive schemes have received the Sales Dos and Don’ts (complete or simplified) for the Marketing of Breastmilk Substitutes. * unless otherwise required by local legislation Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 23 INTERNAL USE ONLY  02 DOS & DON’TS for dealing with third parties in higher-risk markets Dos & Don’ts for the Nestlé Policy and Procedures for the Implementation of the WHO Code Page 24 INTERNAL USE ONLY 02 Dos & Don’ts for dealing with third parties in higher-risk markets There are two potential situations for our relations with third parties: A. The third party has a contractual agreement with Nestlé to provide a service (e.g., selling, merchandising); B. Nestlé sells directly to the third party without any contract/service agreement. N.B.: Please also ensure compliance with local laws and regulations, in particular antitrust laws*. A. The third party has a contractual agreement with Nestlé to provide a service (e.g., selling, merchandising) Distributors/wholesalers/retailers/eCommerce/merchandising agencies must be familiar with the Nestlé Policy for implementing the WHO Code and local laws or regulations. The contract with these third parties must include a clause based on Art. 5.3 of the WHO Code specifying that they must follow and comply with the same rules as Nestlé, as referenced by the Nestlé Policy for implementing the WHO Code and local laws or regulations, among others: − Avoid any form of advertisement of IF or promotional material at the POS. − Avoid special displays, gondola ends or window displays for IF in addition to the shelf determined by the point of sale for the IF category. − Avoid price promotions or activities targeted directly to the consumer/shopper such as sampling, in-store promotions and communication with mothers at point of purchase for products included in the scope of the Nestlé Policy for implementing the WHO Code and/or local laws or regulations. − Exclude sales of IF from staff remuneration in the form of sales-related incentives. There should be no link between the volume/value of IF sales and the remuneration of sales staff or merchandisers. − Avoid staff contact with mothers or families of babies less than one year old or pregnant or lactating women related to the promotion or demonstration of IF. − Nestlé Distributors must send the Important Reminder (template available next pages) to all their direct customers on a yearly basis. The Important Reminder must be provided by Nestlé. * Distributors/Wholesalers/Retailers/eCommerce/Merchandising Agencies Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 25 INTERNAL USE ONLY  It is the responsibility of Nestlé and distributors’ sales staff to monitor sales activities of distributors/wholesalers/retailers/ eCommerce/merchandising agencies to ensure they are in accordance with the Nestlé Policy for implementing the WHO Codeand local laws and regulations. Actions must be taken to correct any situation of non-compliance and records of these actions/communications should be kept for 36 months. It is the responsibility of Nestlé staff or their delegated personnel in the respective country to train the third-party distributors (management and sales force dealing with IF) about the Nestlé Policy for implementing the WHO Code and local laws or regulations on a yearly basis. Records of training must be kept for 36 months. As part of the training material, it is recommended that a simplified version of the Dos and Don‘ts and a digital video with simplified Dos and Don’ts be distributed to our third-party distributors. B. Nestlé sells directly to the third party without any contract/service agreement Following Article 5.3 of the WHO Code and the Nestlé Policy for implementing the WHO Code, the Important Reminder to the trade (template see next page) must be distributed to Nestlé direct clients on a yearly basis. All distributors / wholesalers / retailers / eCommerce serviced directly by Nestlé must receive the Important Reminder on a yearly basis. Records of Important Reminders distributed by Nestlé should be kept for 36 months. It is recommended to distribute a simplified version of the Dos and Don‘ts to our third-party retailers without any contract. It is the responsibility of Nestlé sales staff to monitor that distributors/wholesalers/retailers/eCommerce sales activities are in accordance with the Nestlé Policy for implementing the WHO Code and local laws and regulations. Actions must be taken to correct any situation of non-compliance and records of any action/communication should be kept for 36 months. This requirement must be included in the relevant procedures of the local Code management system. Please consult your local legal advisor to ensure the compatibility of these requirements with the commercial and antitrust laws in your country. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 26 INTERNAL USE ONLY Important Reminder to the Trade (Example) Dear [name], In May 1981, the 34th World Health Assembly adopted the World Health Organization (WHO) International Code of Marketing of Breast-milk Substitutes (WHO Code). This Code is intended to contribute to the provision of safe and adequate nutrition for babies, in particular by encouraging breastfeeding and ensuring that appropriate breast milk substitutes are used only when necessary. Nestlé has publicly stated its support for the WHO Code and has issued instructions to all its marketing personnel to ensure that Nestlé marketing practices are in accord with the principles and aim of the WHO Code. The Nestlé Instructions relate to the following formula products: [insert brand names] and are the only products Nestlé markets as suitable for use as breast milk substitutes in: [insert name of country]. We would like to draw your attention particularly to WHO Code Article 5.3: Article 5.3 Nestlé Policy and Procedures Point of sales advertising, sampling or other activities to induce sales of INFANT FORMULAS directly to the consumer at the retail level are not permitted. Note: This does not prevent the implementation of a normal trade price structure. Nestlé communicates to all wholesalers and retailers of Nestlé formula products that it is company policy to prevent promotion of formula products at the point-of-sale. It is the sales staff’s responsibility to maintain stock rotation and to ensure shelf availability and clean and tidy presentation of formula products at the point of sale, where it is needed. Shelf or bin markers clearly indicating product name and price are permitted, but promotional advertising is not. Nestlé’s policy is to prevent the promotion of infant formula products at the point of sale, as this might have the effect of persuading a mother not to breastfeed or to discontinue breastfeeding too early. Nestlé is confident that in the interests of mothers and babies, retailers will respect Nestlé’s policy in this regard, and that they will not carry out any advertising or sales promotion of infant formulas, other than normal display, as foreseen in the Nestlé Instructions. Please do not hesitate to share those principles with your staff. Your cooperation in this matter is greatly appreciated. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 27 INTERNAL USE ONLY  03 DOS & DON’TS for marketing of nutritional products for pregnant and lactating women Dos & Don’ts for the Nestlé Policy and Procedures for the Implementation of the WHO Code Page 28 INTERNAL USE ONLY 03 Dos & Don’ts for marketing of nutritional products for pregnant and lactating women Nutritional products for pregnant and lactating women are not breast milk substitutes and therefore do not fall under the scope of the WHO Code. All marketing, sales and medical detailing activities can follow the guidance for other products for adults. For example: ✓ Products can be advertised. ✓ Promotions/discounts/special displays/sampling activities are allowed in the trade. ✓ Incentives or bonuses can be paid based on sales, market share, distribution, financial targets, etc. However, to avoid any misunderstanding, any link to IF must be avoided. All marketing, sales and medical detailing activities must not be linked to IF products for 0-12 months in higher-risk countries. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 29 INTERNAL USE ONLY Higher-Risk Countries Marketing activities Nutritional products for pregnant and lactating women can be treated like other products for adults. Marketing activities must not be linked to IF products for 0-12 months. Medical Field Force teams (Nestlé direct employees or third-party employees) can have direct contact with pregnant and lactating women ONLY to inform them about nutritional products and/or any other product not covered by the WHO Code. In HCIs, marketing activities can be organized only with the prior agreement from the HCI. Before starting any activity/discussion with pregnant or lactating women, the medical field team should also obtain an oral or written agreement from the consumers to receive such information (reference to opt-in). As this is a sensitive topic, all campaigns need to be cleared by the local/regional compliance managers and the NN central Compliance team. Branding and label visuals For this category, any new branding implementations should be reviewed by the SBU and the Zone WHO Code Compliance Manager. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 30 INTERNAL USE ONLY  04 DOS & DON’TS for digital in higher-risk markets Dos & Don’ts for the Nestlé Policy implementing the WHO Code Page 31 INTERNAL USE ONLY 04 Dos & Don’ts for digital in higher-risk markets Applying the Breastfeeding Statement: Website Rationale: Visitors to Nestlé Nutrition digital platforms need to be informed of our support for breastfeeding and our commitment to the WHO Code. Include the mandatory pop-up with the standard statement and an image of a breastfeeding mother. Pop-up should appear when the visitor first lands on any page on the website (homepage or other). Following is the recommended text from the SBU: We believe that breastfeeding is the ideal nutritional start for babies and we fully support the World Health Organization’s recommendation of exclusive breastfeeding for the first six months of life. We also recognize that breastfeeding is not always an option for parents. No matter your feeding choice, Nestlé Baby & me is here to share the latest evidence-based information to ensure you feel supported and confident that you are giving your baby the best possible nutrition. To allow visitors to access the website, use a “Continue” button. It is not correct to ask visitors to “Accept” our commitment or to “Find More Information”, as they will not necessarily find more once they move past the pop-up. Validate the breastfeeding statement with your WHO Code, Legal and Regulatory Affairs managers. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 32 INTERNAL USE ONLY  Additional sections and imagery supporting breastfeeding can be added throughout the website. Scenarios for Implementation: Website Implementation of the breastfeeding statement should follow the rules: Provided the website is enabled to remember visitors: − visitors returning within 30 days of their first visit do not need to be reshown the statement − visitors returning after 30 days of their first visit should be reshown the statement Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 33 INTERNAL USE ONLY Branding on Our Digital Platforms Rationale: As our digital platforms have a broad audience ranging from pregnant women to lactating women and parents of children, do not use IF brands to brand our digital platforms. URLs containing differentiated brand names (e.g., NESTOKID, LACTOKID) are allowed. However, URLs cannot contain IF brands, even when they are made specific to GUMs (e.g., www.NAN3.com; www.lactogen.com, www.s-26gold.com) Branding on Our Digital Platforms: Facebook Facebook or other social media platform pages dedicated to our IF brands are not allowed. Facebook pages should have dedicated key visuals, which are not linked to our IF brand visuals. Select elements that are not exclusive to IF range (e.g., BAB logos, corporate brand, background colors) can be used. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 34 INTERNAL USE ONLY Informing Consumers Rationale: Information and educational materials for the general public should not promote IF or IF brands or discourage breastfeeding. In a specific section, we can Illustrative images of caregivers provide mothers with general and their babies (e.g., and unbranded maternal breastfeeding mother with nutrition information, newborn) to accompany purely preconceptions, pregnancy tips, educational and informational breastfeeding advice, baby messages are allowed. growth and development information, baby care recommendations or information about the introduction of complementary foods after six months. Any text or images that could Display of sippy cups in be interpreted as idealizing use conjunction with GUM of breast milk substitutes (e.g., communications is allowed. IF) or discouraging breastfeeding are not allowed. Images of baby bottles and teats are not allowed. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 35 INTERNAL USE ONLY Informing Consumers (Continued) Do not display IF decision trees Include a link to our infant online, as these decisions cereals product section if an should be made in consultation article is about the with the infant’s HCP… introduction of complementary foods from …however, any elements present 6 months onward. on the label can be featured on the eCommerce websites (please refer to “selling our products online” section of this document). Do not give consumers any medical advice or share any information related to treatment of medical conditions, even via HCPs hired by Nestlé. Instead, advise consumers to consult their HCP. Consumers seeking nutritional information for babies under 6 months should be reminded of the benefits of breastfeeding and advised to consult their HCP. Requests or complaints received by Consumer Services teams should be handled in accordance with existing procedures. For non-product-related educational materials, indicate the source of your information (e.g., name of HCP, medical journal, scientific reference). Do not use content from unreliable, non-scientific sources or content that cannot be referenced. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 36 INTERNAL USE ONLY Informing Consumers (Continued) Send newsletters and email blasts to mothers to provide useful pregnancy or baby caring information based on the stage of their pregnancy or the age of their baby, provided they have opted-in to communications. Do not include references to IF feeding in newsletters or email blasts and do not brand such communications with IF brands. While permitted for communicating the superiority of breastfeeding and our commitment to the WHO Code as implemented by local legislation, the use of logos of third parties (e.g., WHO or FTSE4Good) or marketing of our FTSE4Good accreditation are prohibited across all consumer communication channels. Logos of medical associations can be used, under certain circumstances, only if officially agreed with the association (please consult your local NiM legal advisor). In addition, “The First 1000 days” should not be registered as a trademark under any circumstance and should not be used as a logo in newsletters or email blasts. Such communications should also not be branded with IF brands. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 37 INTERNAL USE ONLY  Featuring Products Infant Formula range on our websites Display, in a non-promotional way the full range of Infant Formula (can include several Brands) as on «shelf». You can provide only information that a consumer would find on pack This can include Name, format, stages, but also ingredients (HMO, 2FLs, DHA…) Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 38 INTERNAL USE ONLY  Featuring Products Infant Formula details on our websites IF information available: ✓ Multiple images (Front pack, back of pack, etc) ✓ Name ✓ Formats / what quantity to buy ✓ Age / stage ✓ Ratings & Reviews ✓ Where to buy button (including pharmacy locator, store locator) ✓ Social Sharing buttons ✓ Product description ✓ List of ingredients ✓ How to use / preparation instruction NB: All of this should be in text format to allow search engines to crawl the page Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 39 INTERNAL USE ONLY  Paid and organic Search is authorized when the keywords show clearly that the person is seeking Infant Formula = SEARCH Examples of authorized keywords for paid and organic Search: =SEARCH RESULT With Brand and stage: NAN 1, NAN stage 1, NAN OPTIPRO 1, NAN for newborn = IF disclaimer pop up With “formula”, “powder milk” “breastmilk substitute”: Infant Formula for Babies, Powder milk for newborn, HMO formula, Best baby formula, Anti-reflux formula = LANDING PAGE Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 40 INTERNAL USE ONLY  Link from digital educational materials to IF product web pages Article /educational material with a link: Non promotional brand page: We cannot link an article (educational material) to our Infant Formulas range / Product pages Access here to our product’s range Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 41 INTERNAL USE ONLY  Maternal nutrition products, infant cereals, baby food and GUMs can be displayed on the homepage or in the relevant product section, along with the benefits of these products, if allowed by local Code. Communication about GUMS on the homepage should be balanced with other product categories. For posts about infant cereals or baby food, clearly specify the age indication at the beginning of the post, or include a photo of the product in which the age indication is clearly visible. Example: CERELAC is the only drink with assorted fruits, cereal and milk specific for children 6 months of age or older. It is a delight. Get to know other flavors: http://bit.ly/Mucilon_Prontinho Featuring Products (Continued) Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 42 INTERNAL USE ONLY  GUM communications should feature children who are, and clearly appear to be, older than 12 months. Ensure that the age of the child can be proven (e.g., birth certificate). As a rule of thumb, a child appears to be older than 12 months if he/she physically appears so and is performing an action indicative of his/her age, such as walking, standing, etc. HCPs website We do not request a password from HCPs accessing HCP-dedicated websites containing information about IF. However, the following text should be featured in a pop-up upon entering the website: The information on this website is intended only for healthcare professionals and applies to products sold in [country]. If you are a healthcare professional, please select I agree and click Proceed to access this content. If you are a parent or parent-to-be and are looking for information, please visit one of our dedicated websites: https://www.nestlebabyandme.com Important notice and declaration By accessing and using this website, you acknowledge and declare that you are a registered healthcare professional. The content on this site is intended for general information and educational purposes only. Nestlé supports and promotes the WHO recommendation of exclusive breastfeeding for six months, followed by the introduction of adequate nutritious complementary foods, along with sustained breastfeeding, up to two years of age and beyond. I agree + Proceed Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 43 INTERNAL USE ONLY Selling Our Products Online: eCommerce Rationale: Online shopping is a sales channel and thus, all rules applicable to offline shops equally apply. These eCommerce guidelines must be applied, as a minimum, for sales on all of our eCommerce partners’ platforms, including pure players (e.g., Amazon), click and mortar retailers (e.g., Carrefour.com) and Nestlé-owned online shops. All infant nutrition products, including IF, may be sold on any eCommerce platform (pure players, click and mortar or Nestlé-owned online shops). Nestlé eCommerce websites (owned online shops) can also sell IF like any other products. Loyalty programs may also be applied to IF, as long as all conditions stated in the Dos and Don’ts (membership loyalty program) are followed. Pages can be branded with the Nestlé corporate logo or with other brands from out-of- scope products, but not with IF brands (e.g., just “NAN” or “ILLUMA”). Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 44 INTERNAL USE ONLY Selling our Products Online: eCommerce (Continued) For IF, any elements present on Promotional messages or the label can be featured on images should not be eCommerce websites. displayed in relation to IF. The accompanying information should be strictly limited to the information available on the label (no additional content such as demos, idealizing images, allergy checks). An eMerchandising tool Promotional shopper displaying the range of banners (static and products available under a dynamic), special brand is acceptable, as this placements or actions replicates the display on the cannot include any WHO shelf. However, only basic Code-covered SKUs/pack information can be provided to shots. distinguish the various products/segments, without promotional messages. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 45 INTERNAL USE ONLY Selling our Products Online: eCommerce (Continued) Discounts are not allowed for IF. Promotional messages can accompany displays of products outside the scope of the WHO Code. Do not use non-IF products to Standard logistics cross-sell or cross-promote IF conditions (e.g., free delivery products. for shop members) are allowed as long as they are standard terms applied to all purchases on the platform and are not specific to incentivize IF purchase. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 46 INTERNAL USE ONLY Selling our Products Online: eCommerce (Continued) “Subscribe N Save” discounts (price off promotions for repeated purchases of set quantities) are not allowed for IF, as this would be considered a volume rebate. Communicate our consumer websites or mom clubs on eCommerce platforms. Ideally, these should be featured as “clickable” Club logos. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 47 INTERNAL USE ONLY Selling our Products Online: eCommerce (Continued) Rating and review features on online shops are allowed for all products and categories (including IF) as long as these reflect the standard layout of the website. Monitor comments for potential consumer complaints on Nestlé owned platforms. Do not manipulate user ratings and reviews or delete negative comments. Ratings and reviews must be unbiased. Any manipulation of ratings and reviews by a Nestlé employee, with the aim of idealizing IF, is strictly forbidden and subject to internal disciplinary procedures. Establish a procedure to monitor eCommerce platforms for detection of potential promotions on products within the scope of the WHO Code, and follow up with involved parties in accordance with our procedures. A dedicated section on where our IF products can be found in eCommerce can be included on our consumer website in the product’s section. The e-retailer’s landing page can be at product’s level. As the Buy Now button is not allowed for IF, we recommend the use of Where to buy. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 48 INTERNAL USE ONLY Selling Our Products Online: Linking Digital Assets to eCommerce and Implementing "Buy Now" Solutions When communicating about or displaying products outside the scope of the WHO Code, links can be included to eCommerce platforms or online shops where the consumer can buy our products. Do not use the “Buy Now” button for IF products. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 49 INTERNAL USE ONLY Selling Our Products Online: Linking Digital Assets to eCommerce and Implementing "Buy Now" Solutions (Continued) Educational information for pregnant women and mothers (e.g., articles, newsletters) can include eCommerce links as long as they are not related to IF products. For example, if the informational section is about the introduction of complementary foods or lactation supplements, users can be directed to the related eCommerce page. On the contrary, a section about allergy, anti-regurgitation or colic in infants under 12 months cannot be linked to IF-specific SKU pages, as this would be indirect promotion of IF. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 50 INTERNAL USE ONLY Selling Our Products Online: eCommerce All infant nutrition products, including IF, may be sold on any eCommerce platform (pure players, click and mortar or Nestlé-owned online shops). Nestlé eCommerce websites (DTC - owned online shops) can also sell IF Stage 1 like any other products. Loyalty program: some elements of the loyalty program are not applicable for code covered products. See example below, in red specific lines where the covered products have to be excluded. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 51 INTERNAL USE ONLY Advertising Our Products and Websites Rationale: Our digital platforms are visible to the general public and, for this reason, should not be used to promote IF feeding or IF brands. Products/On Pack Communicate our websites on product labels, including IF. Banners/Google Ads Online banners or other advertising messages cannot mention IF brands or products (e.g., NAN 1 or NAN 2)… …however, non-IF products can be mentioned (e.g., NAN 4). Search Engines If mothers are searching for pregnancy or breastfeeding information, do not direct them to product pages dedicated to complementary food or GUM content on our website. For all categories of keywords, it is acceptable to advertise the CRM platform. When parents are searching for IF brands or specific terms related to IF (e.g., Google Search), they can be redirected from the search engine to the relevant page on our website. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 52 INTERNAL USE ONLY  05 DOS & DON’TS for relations with the healthcare system in higher-risk markets Dos & Don’ts for the Nestlé Policy implementing the WHO Code Page 53 INTERNAL USE ONLY 05 Dos & Don’ts for relations with the healthcare system in higher-risk markets The following guidelines apply to all higher-risk countries, except where specific national legislation provides stricter limitations. Infant food manufacturers may provide HCPs with factual and scientific information on infant nutrition and infant food products, provided they: do not undermine the objectivity of the HCP; do not undermine breastfeeding. It is legitimate for our medical delegates to provide such information with the aim of becoming trusted nutrition solution providers for HCPs. These guidelines, which are not exhaustive, have been developed as an easy reference to complement or clarify the implementation of the Nestlé Policy for implementing the WHO Code relevant to our relations with the healthcare system. Reminder: all activities related to sponsorships of HCPs must be fully aligned with the Code of Interaction with Healthcare Professionals and Institutions for Nestlé Nutrition Business Units In case of doubt, please contact your Zone WHO Code Compliance Manager. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 54 INTERNAL USE ONLY Communication on Infant Formula in Healthcare Institutions and to Healthcare Professionals Reference: Articles 6.2, 5.1, 5.2, 5.4, 5.5 of the Nestlé Policy for implementing the WHO Code As a general principle, there should be no direct contact with mothers and pregnant women, nor advertising, sampling or distribution of gifts or any communication material (in any format – e.g., print, digital, audio) related to products covered by the Nestlé Policy for implementing the WHO Code or national legislation. Inducements to HCPs to prescribe our IF are not allowed. Material/financial inducements to HCIs to use our IF that would contravene the WHO Code are not allowed. Medical delegates are allowed to present and distribute scientific/technical product information only to HCPs. Educational materials bearing corporate logos but no IF brand, logo or pack shot may be given to HCPs, upon their request, for distribution to mothers. This must be done in alignment with Articles 4.2 and 4.3 of the Nestlé Policy for implementing the WHO Code. Medical delegates may be involved in educational activities with mothers or pregnant women only if the activity is related to products not covered by the WHO Code or local legislation. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 55 INTERNAL USE ONLY Medical Detailing Materials (in any format – e.g., print, digital, audio) Reference: Article 7.2 of the Nestlé Policy for implementing the WHO Code Medical detailing materials can include photos/pack shots of IF to facilitate product identification. The phrase “Material for Healthcare Professionals only" is mandatory on each page of the medical detailing material. Illustrated preparation instructions, including the pack shot of the product to enable clear identification, can be provided to help HCPs instruct mothers about the correct and safe preparation of IF. Medical detailing materials should not contain promotional language nor imply that IF is equivalent, or superior, to breast milk, nor should they contain phrases or baby photos or illustrations idealizing the product or IF feeding. Comparison of an IF with breast milk or a competitor product should only refer to nutritional values and never to quality. Where we wish to communicate a comparison between a component of our product and a component of breast milk, we must provide reference values from clinical studies and clearly specify which component of breast milk we are referring to. Medical detailing materials must bear the print date and product reference or symbol for identification purposes. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 56 INTERNAL USE ONLY  Only show images of babies to Don’t idealize the use of demonstrate a situation linked to infant formula or bottle- the medical topic presented to feeding. the HCPs. Depict an infant with a specific SBU IF brand guidelines condition for which the product don’t recommend using might provide relief. happy children/happy families for infants with GI issues. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 57 INTERNAL USE ONLY Samples for Professional Evaluation or Research Purposes Reference: Article 7.4 of the Nestlé Policy for implementing the WHO Code Nestlé does not provide Samples of Covered Products and/or equipment or utensils associated with the preparation of Covered Products to HCPs, except when necessary for the purpose of product professional evaluation (PPE). PPE may be provided to HCPs only in the following instances: To introduce a new Covered Product or new product packaging/Labelling; To introduce a new formulation/recipe of an existing Covered Product; To introduce the range of products to new, or recently qualified, healthcare professionals; To gain experience of the efficacy of the Covered Product, including evaluating suitability and tolerance. PPE may be provided to HCPs for short-term use and in small quantities. Distribution of PPE is strictly limited in regularity and quantity to avoid excessive allocation of PPE to individual HCPs. PPE distributed for professional evaluation must bear a sticker identifying them as a “product for professional evaluation”. Those products should be documented for traceability purposes and records kept for 36 months. Covered Products may also be provided for research or clinical validation, subject to completion of a research protocol. Clinical validations are not to be used as a sales inducement and are subject to detailed internal rules. Supply of IF for clinical validation or institutional research may be provided free of charge, in quantities adequate for research purposes. These products must be identified by a sticker reading, “Formula provided for Clinical Validation - Not for Resale.” Please refer to the “Implementation Guidelines of Article 7.4. - Clinical Validations”. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 58 INTERNAL USE ONLY Sales of Infant Formula to Healthcare Institutions (excluding orphanages and social welfare institutions) Reference: Article 6.6 of the Nestlé Policy for implementing the WHO Code The company may participate in tenders and normal hospital procurement processes on the following conditions: In Higher Risk markets, Nestlé may offer infant formula in tenders of hospitals. Tenders in this sense are all procurement processes structured as a public bidding process that is open to all qualified bidders and where the confidential bids are reviewed by the purchasing body and are chosen on the basis of price and quality. Such tenders may only cover the demand of products for non-breastfed babies while staying in the healthcare facility and may not be used for indirect sampling or indirect low-cost sales to women via the hospital. The amounts of IF needed for the Infants who require them in maternity wards and hospitals are made available through the normal procurement channels. On this basis the minimum price for public tenders is calculated on the basis of the sum of the following items: Direct raw material costs Direct cost of packaging Average distribution cost from factory to market To determine the final minimum price, markets add (i) the direct costs incurred at market level; and (ii) and any other additional costs necessary to ensure compliance with local law and regulation, if any. The SBU communicates annually the minimum prices for RTF bottles ex Biessenhofen and ex-Askeaton. IF must not be sold directly to individual HCPs. In their role, medical delegates should not participate in the sale and/or tender negotiation process. However, due to their presence in HCIs, they can provide administrative assistance and liaise with HCI personnel in cases where the sales force is not available. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 59 INTERNAL USE ONLY Donations of Equipment to Healthcare Institutions/Healthcare Professionals Reference: Article 7.3 of the Nestlé Policy for implementing the WHO Code Donations of equipment or services must be linked to contributing to the nutritional education or medical competence of the HCP or contributing to the quality of care of the infants and patients. All donations must strictly follow the relevant procedures in the local WHO Code Management System and can only be considered following a written request from the HCIs of the HCP or from the HCP on behalf of a private clinic or facility. When donating equipment or services, there must be no link between the sale or recommendation of IF and the donation of equipment or services. Support of Scientific Activities Reference: Article 7.5 of the Nestlé Policy for implementing the WHO Code Training on scientific and technical matters and support for scientific activities may be provided to HCPs in accordance with the Code of Interaction with Healthcare Professionals and Institutions for Nestlé Nutrition Business Units. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 60 INTERNAL USE ONLY Interaction with Healthcare Professionals and Institutions for Nestlé Nutrition Business Units Reference: Article 7.5 of the Nestlé Policy for implementing the WHO Code Relevant Guidelines: Code of Interaction with Healthcare Professionals and Institutions for Nestlé Nutrition Business Units For healthcare professionals employed by a healthcare institution, the activity and the sponsorship should be disclosed by Nestlé to the institution to which the health worker is affiliated. A written communication, whether electronically or not, from Nestlé to the healthcare professional and his/her line manager is sufficient to disclose the sponsored activity. Alternatively, a formal acknowledgement by the healthcare institution can be obtained. In case of independent health workers, the sponsorship has to be supported by the related documentation, including evidence of correspondence between Nestlé Nutrition and the health worker on the subject. Such correspondence should clearly include the scope of the sponsorship and the purpose or event to which it is linked. Those cases should be shared to the Code Compliance Committee (CCC) on a yearly basis (one-time overview) in order to give to CCC a full transparency on sponsorships activities related to independent healthcare professionals. All sponsorships activities must be approved by the Infant Nutrition BEO or in line with the requirements of the local policy and procedures manuals. All relevant records must ensure traceability and must be kept for a minimum period of 36 months (or longer, if so required by local regulations). Visits to Nestlé R&D centers and factories may be organized for the purposes of providing health workers with information on scientific or technical developments being conducted in those centers or factories, or in situ training on technical or scientific matters relating to nutrition and health, or to establish research projects. Contact the SBU-Medical team to know more about the “HCP fair market value compensation guideline”. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 61 INTERNAL USE ONLY Interaction with Healthcare Professionals and Institutions for Nestlé Nutrition Business Units (Continued) Do not link sponsorship’s activities within any form of volume prescription delivered by healthcare professionals. Verbal disclosure or only emails sent by the sponsored doctors to the line manager cannot be considered as an acceptable form of disclosure of the sponsorship’s activity. As a general principle, do not let the sponsored doctor to manage the transparency information himself or herself. Visits to Nestlé facilities (HQ, R&D, factories…) can be organized with healthcare professionals however those activities need be focused on professional development or scientific research activity, information of Nestlé quality and food safety management or sustainability efforts and not for the purpose of product marketing. Together with the scientific purpose of adjacent activities outside Nestlé facilities, they must constitute the predominant part of such activities not including 1 day each for arrival and departure. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 62 INTERNAL USE ONLY  06 DOS & DON’TS for the Nestlé Nutrition Institute Dos & Don’ts for the Nestlé Policy implementing the WHO Code Page 63 INTERNAL USE ONLY 06 Dos & Don’ts for the Nestlé Nutrition Institute NNI’s aim and activities must remain strictly educational. NNI’s target audience will always be HCPs, scientists and nutrition communities; never the consumer. NNI’s scope must never include product- or brand-related activities and should not be, or be presented as, part of the Nestlé commercial operation. The NNI logo is the only brand to be used to promote NNI’s activities (including on presentation templates or low-cost items of professional utility, such as bags, pens, notepads, etc. given to HCPs). This means that even the corporate Nestlé logo cannot be featured during NNI activities. NNI’s activities are to be organized separately from the Nestlé The local legal/compliance team should be consulted with respect to business and should be communicated as such externally. This the following NNI activities to ensure compliance with local means that there should be a clear and demonstrable distinction, in ode/regulation: a specific event, between NNI’s activities and the commercial activities managed by Nestlé business. Whether gifts to HCPs are permitted The local way of working for NNI should be established with the Permissibility of speaker contracts and speaker compensation involvement of the local legal team to ensure compliance with Extent of costs/expenses related to events, receptions, local laws. symposia or similar events NNI should never say that it is “independent from” or “not funded” Third party sponsorship or grant proposals by Nestlé. There is a Service Agreement between NNI and the Scholarship proposals Nestlé operating company. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 64 INTERNAL USE ONLY Booths in congresses For virtual congresses Brand booths and NNI booth may co-exist with each other as long as panels are distinct and separate. For non-virtual congresses with actual physical setting Brand booths and NNI should be distinct and separate from each other, best using a different panel and wall Use of materials from NNI website for Brand communications and vice versa Content materials from the NNI website such as infographics may be “reformatted” for use for brand communications to convey the “science” to HCPs or consumers as long as the graphics, the colors and the language are modified, subject to copyrights as applicable and to local regulation in case of product claims. It is acceptable that NNI with its vast collection of content should be used as inspiration and basis to explain the science supporting the brands. Likewise, NNI may also use scientific deck created by the brands for NNI website as long as condition above applies. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 65 INTERNAL USE ONLY For e-flyers and downloadable pdfs with branded communications for HCPs and consumer sites No logos of the NNI and its educational hubs such as HMO academy, Toddler and Microbiome should be displayed. Only a reference and link to further information should be communicated and the risk of NNI being perceived as supporting the marketing of infant formula should be avoided. May include however the following: Links to the specific source below the brand images: e.g.:For more scientific information on HMOs, please visit: https://www.nestlenutrition-institute.org/nutrition-campus/hmo- academy e.g.: For more scientific information on the microbiome, please visit: https://www.nestlenutrition-institute.org/nutrition-campus/microbiome- academy Medconnect LOGO Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 66 INTERNAL USE ONLY Nestlé Baby&Me Website Nestlé Baby&Me website cannot include the logo of NNI but may include reference to the NNI links and references: https://www.nestlenutrition-institute.org/nutrition-campus/hmo- academy https://www.nestlenutrition-institute.org/nutrition-campus/microbiome- academy Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 67 INTERNAL USE ONLY  CHAPTER GUIDELINES 02 Dos & Don’ts for the Nestlé Policy implementing the WHO Code Page 68 INTERNAL USE ONLY 2.1 Implementation guidelines related to infant formula for special medical purposes (“iFSMPs”) Objectives Clarify the interpretation of the Scope of the WHO Code (art. 2) Define the activities that are allowed and not allowed in relation to iFSMPs that are not classified as infant formula WHO Code Article 2: Scope of the Code The Code applies to the marketing, and practices related thereto, of the following products: breast-milk substitutes, including infant formula; other milk products, food and beverages, including bottlefed complementary foods, when marketed or otherwise represented to be suitable, with or without modification, for use as a partial or total replacement of breast milk; feeding bottles and teats. It also applies to their quality and availability, and to information concerning their use. Nestlé Policy for Implementing the WHO Code Product Scope i. All infant and follow-on formulas designed to satisfy the nutritional requirements of healthy infants from birth to 12 months; ii. The scope of products also includes infant and follow-up formulas for infants from birth to 12 months that are classified as Food for Special Medical Purposes (iFSMPs) under local legislation in a country and which fall within the product range listed on Nestlé’s Corporate website (Ask Nestlé – What is the WHO Code?); iii. Bottles and teats. Products mentioned under (i) and (ii) above will be collectively referred to as INFANT FORMULAS throughout these implementation guidelines, except where otherwise specified. Dos & Don’ts for the Nestlé Policy implementing the WHO Code Page 69 INTERNAL USE ONLY  These implementation guidelines do not apply to: i. Complementary food and drinks for infants, when labelled for use after 6 months of age or such a lower age as may be mandatorily required by local legislation, provided they do not contain instructions for modification for use as a BMS; ii. Products which do not fall within the definition of INFANT FORMULA above, particularly those classified as iFSMPs or their equivalent in a country (other than the product range mentioned under (ii) above), that are designed for infants with medical conditions who are unable to absorb, digest or metabolise breast milk or standard infant formula as a sole source of nutrition, are under medical supervision and are at risk of death or compromised growth and developmental potential without access to these products. iii. Milk products not adapted for infant feeding. (See Article 9.3 of the Nestlé Policy for implementing the WHO Code) Rationale iFSMP are in many ways regulated similarly to formula products by By design, iFSMPs intend to address specific medical conditions for local regulation. If such local regulation exists, local legal and babies that require a medical recommendation. Therefore, regulatory may determine further restrictions. categories of iFSMPs that are excluded from the scope of the Nestlé iFSMPs included in the scope of the Nestlé Policy Policy for implementing the WHO Code (see below) are subject to for implementing the WHO Code: similar restrictions as infant and follow-on formula in terms of Infant and follow-on formulas that are classified as Food for Special promotional activities toward the general public. However, we have Medical Purposes under local legislation and fall within the defined a specific regime to allow the provision of samples or low- following product ranges: cost supplies of these products to HCPs, subject to certain i. Infant formula for the reduction of the risk of allergy ("HA" conditions. branded or equivalent) ii. Infant formula for low hygiene conditions iii. Infant formula for constipation relief iFSMPs excluded from the scope of the Nestlé Policy for implementing the WHO Code: All other iFSMPs that are designed for infants with medical conditions who are unable to absorb, digest or metabolize breast milk or standard infant formula as a sole source of nutrition, are under medical supervision and are at risk of death or compromised growth and developmental potential without access to these products. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 70 INTERNAL USE ONLY Summary Table iFSMPs In Policy iFSMPs Out of Policy (*) Hypoallergenic formula (HA) Formula for LBW babies Infant formula for low hygienic conditions Lactose-free infant formula Infant formula for constipation relief Anti-regurgitation infant formula Other iFSMPs as per local legislation (unless otherwise agreed Sensitive infant formula (formula with the following elements with Compliance and Public Affairs at the Center) included in the recipe: low lactose, HA proteins, L. Reuteri) (*) Please refer also to the NHS Guidance related to NHS iFSMPs Guidelines for samples for professional evaluation of iFSMPs excluded from the scope of the Nestlé Policy for implementing the WHO Code: Dos: iFSMPs can be provided to healthcare facilities at reduced price or free of charge in a reasonable quantity based on the Provision of such iFSMPs for professional evaluation is allowed number of babies historically treated at the healthcare facility for the following purposes: and in agreement with the market Code Compliance i. To introduce a new IF or new IF packaging/labelling; Committee. Markets should ensure full traceability of such supplies. ii. To introduce a new formulation / recipe of an existing IF; Don’ts: iii. To introduce the range of IFs to new, or recently qualified, healthcare professionals; Activities intended to directly promote such iFSMPs to mothers or the general public, such as consumer promotions, iv. To gain experience of the efficacy of IF, including special displays, sampling, etc. evaluating suitability and tolerance. Link provision of samples to recommendations and Samples for professional evaluation can be provided to HCPs prescriptions of products or to the grant of tenders or inclusion or healthcare institutions in a reasonable quantity as defined in hospital rotations. by each market and with full traceability as implemented by the market. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 71 INTERNAL USE ONLY 2.2 Guideline for the marketing of supplements for infants and young children branded with trademarks associated with our infant formula brands (such as NANCARE, ILLUMCARE) Supplements for infants and young children are not covered by the WHO Code and our Nestlé Policy for implementing the WHO Code. However, they may be regulated similarly to formula products by local regulations. If such local regulation exists, local legal and regulatory may advise on further restrictions. In addition to such local regulation, we apply the following guidelines in higher-risk markets for supplements branded with trademarks associated with our infant formula/follow-on formula brands (such as NANCARE/ILLUMCARE). Communication to healthcare professionals/healthcare institutions Dos: Share factual and scientific product information Provide samples to healthcare professionals or healthcare institutions in reasonable quantities as defined by each market and with ensured traceability of quantities delivered for control purposes Don’ts: Link provision of samples to recommendations and prescriptions of products or to the grant of tenders or inclusion in hospital rotations. Placement of product information and advertisement in public areas of healthcare professional offices and healthcare institutions Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 72 INTERNAL USE ONLY Marketing to consumers Dos: Brand corner and product pages with factual information Provide factual product information to caregivers in social media channels and e-commerce content Special displays and price promotion in retail channels Buy Now button on all e-commerce touchpoints Keyword advertising in online searches In all consumer communication material, always refer caregivers to HCP Don’ts (*) : Direct-to-consumer sampling Direct promotion to caregivers via in-store promoters for certain markets these Don’ts may result in competitive issues that would require a consultation with the NN Zone Compliance (*) Managers See specific disclaimer for this category in chapter 2.4 Essential Mentions Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 73 INTERNAL USE ONLY 2.3 Guidelines on consumer research related to maternal and infant nutrition products in higher-risk markets PREAMBLE Nestlé is committed to the protection and promotion of and analytical methods and techniques of the applied sciences to breastfeeding and to compliance with the International Code of gain insight or support decision making. The identity of respondents Marketing of Breast-milk Substitutes (WHO Code) as implemented will not be revealed to the user of the information without explicit by governments everywhere in the world. The WHO Code aims to consent and no sales approach will be made to them as a direct create an overall environment that enables mothers to make the result of their having provided information.” best possible feeding choice for their babies, free from commercial Our basic principle for consumer research is to seek a clear influences, and includes restrictions on contacts between understanding of the business and consumption environment in manufacturers/distributors of breast milk substitutes and pregnant which our maternal and infant nutrition products are to be used, not women and mothers (Art. 5.5.). This has relevance to the way in to influence parents' choices regarding feeding (i.e., breast vs. which consumer research related to Nestlé infant nutrition products formula, early introduction of solid foods), but rather to protect our is conducted. competitiveness versus competitors. The following guidelines define the framework within which we can The guidelines below apply to consumer research related to conduct consumer research related to our infant nutrition products products covered by our Nestlé Policy for implementing the WHO in higher-risk countries, without contradicting the aim and principles Code. As we also follow national Codes or legislation when these of the WHO Code and our commitment to the ICC/ESOMAR are stricter than our Nestlé WHO Code compliance framework, International Code on Market and Social Research. these guidelines can also apply to consumer research related to As per the ICC/ESOMAR Code, we will respect the following general food supplements for pregnant and lactating women, formula for principle: “Market research, which includes social and opinion special medical purposes, complementary foods or growing-up research, is the systematic gathering and interpretation of milks, if any of these products fall within the scope of the national information about individuals or organisations using the statistical Code in a given country. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 74 INTERNAL USE ONLY General Principles 1. Primarily, the research should be designed and conducted so as not to influence the participants’ choice on Infant Formula feeding versus breastfeeding. 2. Any consumer research has to be undertaken via a credible third party (i.e., research agency). This does not preclude relevant Nestlé personnel from being observers (e.g., at focus groups), but they must avoid direct communication with the respondents. 3. Consumer research should be designed as a one-way channel of feedback, from respondents to the final client via the confidential filter of the research agency: The client’s name should never be disclosed by the research agency to the respondents. It should not under any circumstances be conducive to or facilitate any form of commercial promotion from the client to individual respondents. 4. Relevant Nestlé personnel should ensure the consumer research agencies sign a statement (outlined in Annex 1) to confirm they understand the relevant WHO Code provisions, as well as additional national Code regulations. In addition, all relevant research supplier personnel needs to be trained on WHO Code requirements, and training log should be kept for 36 months within Nestlé Nutrition, responsibility of Local Code Compliance Manager or the Business Executive Officer. Specific guidance related to the product’s scope of the research A. INFANT FORMULA (0-12m in Higher Risk markets) Infant formula users (consumers having already introduced the product): no specific restrictions. Dos & Don’ts for the Nestlé Policy implementing the WHO Code Page 75 INTERNAL USE ONLY  Infant formula non-users: only Pregnant or Breastfeeding women who are already considering to start using infant formula or GUMs as a next step can participate. All questionnaires/screenings should include a specific question. All consumers who are not considering to start using infant formula or GUMs should be excluded from the research. In addition, when the scope of the research is related to the infant formula category, market research participants are informed in advance. The following studies cannot be conducted (for infant formula category): In-Home ethnographic visit directly conducted by Nestlé employees Research co-creation with consumers and Nestlé employees B. COMPLEMENTARY FOOD WHO recommends exclusive breastfeeding for 6 months, followed by introduction of complementary foods and continued breastfeeding for as long as possible. Research on complementary foods should therefore be handled so as not to influence parents into introducing complementary foods to their baby too early. C. MATERNAL AND BREASTFEEDING NUTRITION PRODUCTS Consumer research on this topic is possible but should be strictly limited to maternal & breastfeeding supplements. General principles of the Esomar Consumer Research Code also apply. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 76 INTERNAL USE ONLY ANNEX 1: Template document to be signed by research agencies working for Nestlé Nutrition for the infant nutrition category The objective of this Nestlé Nutrition position is to provide direction nutrition products are to be used, not to influence parents' choices regarding consumer research related to infant nutrition products, in regarding feeding (i.e., breast vs. formula, early introduction of solid light of our commitment to the principle and aim of the WHO Code, foods), but rather to protect our competitiveness versus infant as translated into operational terms in our Nestlé Policy for nutrition competitors. implementing the WHO Code. Consumer research related to infant nutrition products must also be As we follow national measures implementing the WHO Code when conceived and conducted with due consideration to the prohibition those are stricter than our Nestlé Policy, the stipulations below of contact between manufacturers and pregnant women and generally apply to consumer research related to infant formula mothers stemming from Art. 5.5 of the WHO Code. (starters and follow-on) and, in countries where national rules so It will be important to embody the stipulations below in each dictate, to complementary foods and/or growing-up milks. market's WHO Code Management System. Our basic principle for consumer research is to seek a clear understanding of the business environment in which our infant Our position is as follows: General principles 1. Primarily, the research should be designed and conducted so as not to influence the participants’ choice on infant formula feeding versus breastfeeding. 2. Any consumer research regarding infant formula has to be undertaken via a credible third party (i.e., research agency). This does not preclude relevant Nestlé personnel from being observers (e.g., at focus groups), but they must avoid direct communication with the respondents. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 77 INTERNAL USE ONLY  3. Consumer research should be designed as a one-way channel of feedback, from respondents to the final client via the confidential filter of the research agency: The client’s name should never be disclosed by the research agency to the respondents. It should not under any circumstances be conducive to or facilitate any form of commercial promotion from the client to individual respondents. Research on Infant Formula (0-12m in Higher Risk markets) Infant formula current users: no specific restrictions Infant formula non-users: only Pregnant or Breastfeeding women who are already considering to start using infant formula or GUMs as a next step can participate. All questionnaires/screenings should include a specific question. All consumers who are not considering to start using infant formula or GUMs should be excluded from the research. In addition, when the scope of the research is related to the infant formula category, market research participants are informed in advance. When related to Infant formula, the following studies cannot be conducted: In-Home ethnographic visit directly conducted by Nestlé employees Research co-creation with consumers and Nestlé employees Relevant Nestlé Nutrition personnel should ensure the consumer research agency signs a statement to confirm they understand the relevant WHO Code restrictions and that the research undertaken should not aim to influence the participants’ choice of formula feeding versus breastfeeding or choosing of our brands over others. Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 78 INTERNAL USE ONLY I, the undersigned ______________________________________________, have read the relevant WHO Code restrictions and the above guidelines and agree that my company will abide by these during the course of research for Nestlé Nutrition. Signature and company stamp: Date: Name: Job title: Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 79 INTERNAL USE ONLY 2.4 Essential mentions on communication related to maternal, infant and young child nutrition products Description of Scope: Essential Mentions apply to all communications on Infant Formula 0-12 months (Starter, Follow-on and iFSMPs) and to baby foods containing Infant formula 0-12 months, in all markets. In Higher Risk markets, it applies to GUMs as well. This includes all materials: educational, branded and non-branded. The only exception to the above is for exclusive and unbranded communication on breastfeeding. Scope Overview : Baby Food Baby Food Essential Mentions Infant Formula iFSMPs (0-12 containing Infant Infant/Peds Maternal GUMs (with no Infant application (0-12 months) months) Formula (0-12 Supplements Supplements Formula) months) Apply 1 Low Risk Markets Apply 1 Apply 2 N/A (only to 4 months N/A N/A N/A SKUs) High Risk Markets Apply 1 Apply 2 Apply 3 N/A N/A N/A N/A Dos & Don’ts for the Nestlé Policy for implementing the WHO Code Page 80 INTERNAL USE ONLY  1. IF 0-12 months / Starter and Follow-on formula To consumers To HCPs (IF 0-12 months, Starter and Follow-on formula) IMPORTANT NOTICE. We believe that breastfeeding is the ideal IMPORTANT NOTICE. We believe that breastfeeding is the ideal nutritional start for babies and we fully support the World Health nutritional start for babies and we fully support the World Health Organizations recommendation of exclusive breastfeeding for Organizations recommendation of exclusive breastfeeding for the first the first six months of life followed by the introduction of six months of life followed by the introduction of adequate nutritious adequate nutritious complementary foods along with continued complementary foods along with continued breastfeeding up to two breastfeeding up to two years of age. years of age. We also recognize that breastfeeding is not always an optio