BL_EmployeeHandbook_2019

ō /HWWHU IURP WKH 3UHVLGHQW &(2 ō 2YHUYLHZ RI WKH &RPSDQ\ ō 0LVVLRQ 9LVLRQ 6WUDWHJ\ 9DOXHV INTEGRITY........................................7 – 26 +LULQJ 3UDFWLFHV (PSOR\PHQW 5HFRUGV :RUN (QYLURQPHQW $VVHWV (WKLFDO 3UDFWLFHV $GKHUHQFH WR 3ROLFLHV EXCELLENCE....................................27 – 32 6DIHW\ 3URIHVVLRQDO 'HYHORSPHQW (YDOXDWLRQ DQG 'HYHORSPHQW 3ODQV 2SHQ 'RRU 3ROLF\ EMPLOYEE OWNERSHIP....................33 – 46 (PSOR\HH %HQHÀWV 3D\UROO %XVLQHVV 7UDYHO DQG ([SHQVHV (PSOR\HH (QJDJHPHQW $FFRXQWDELOLW\ RELATIONSHIPS................................47 – 49 &OLHQWV DQG %XVLQHVV 3DUWQHUV (PSOR\HH 2ZQHUV AGILITY............................................50 – 51 *HRJUDSK\ 6HUYLFHV &OLHQW 6HUYLFHV ō /HWWHU IURP WKH +XPDQ 5HVRXUFHV 'HSDUWPHQW ō +DQGERRN $FNQRZOHGJHPHQW

2XU FRUH YDOXHV LGHQWLI\ ZKDW ZH VWDQG IRU DV D FRPSDQ\ JXLGH KRZ ZH EHKDYH DQG SURYLGH D FRPSDVV IRU GHFLVLRQ PDNLQJ DQG LQWHUDFWLRQV ZLWKLQ %/ &RPSDQLHV ZLWK FOLHQWV

DQG ZLWK EXVLQHVV SDUWQHUV

(PSOR\HH 2ZQHUV %/ &RPSDQLHV LV D JURZLQJ FRPSDQ\ ZLWK RYHU HPSOR\HH RZQHUV DFURVV WKH 8QLWHG 6WDWHV 2XU FRUH YDOXHV SURYLGH D FRPPRQ EDVLV WR JXLGH RXU GDLO\ GHFLVLRQ PDNLQJ DQG LQWHUDFWLRQV 7KH FRUH YDOXHV DUH DV IROORZV ō ,QWHJULW\ ō ([FHOOHQFH ō (PSOR\HH 2ZQHUVKLS ō 5HODWLRQVKLSV ō $JLOLW\ $V ZH XSGDWHG WKH (PSOR\HH +DQGERRN ZH GHFLGHG WR DOLJQ RXU (PSOR\HH +DQGERRN SROLFLHV DQG SURFHGXUHV XQGHU WKHVH YDOXHV 6RPH SROLFLHV FRXOG ÀW XQGHU PRUH WKDQ RQH VHFWLRQ EXW DUH RQO\ UHIHUHQFHG LQ RQH 2XU FRUH YDOXHV LGHQWLI\ ZKDW ZH VWDQG IRU DV D FRPSDQ\ JXLGH KRZ ZH EHKDYH DQG SURYLGH D FRPSDVV IRU GHFLVLRQ PDNLQJ DQG LQWHUDFWLRQV ZLWKLQ %/ &RPSDQLHV ZLWK FOLHQWV DQG ZLWK EXVLQHVV SDUWQHUV 7KH SROLFLHV DQG SURFHGXUHV LQ WKH (PSOR\HH +DQGERRN DUH D UHÁHFWLRQ RI WKRVH YDOXHV ,W LV LPSRUWDQW WKDW HYHU\WKLQJ ZH WKLQN VD\ RU GR UHÁHFWV DGKHUHQFH WR ODZV UHJXODWLRQV DQG RXU SROLFLHV :H DOO ZDQW WR ZRUN IRU D FRPSDQ\ WKDW GRHV WKLQJV ULJKW DQG GRHV WKH ULJKW WKLQJV ² HYHQ ZKHQ QR RQH LV ORRNLQJ , DVN WKDW \RX UHDG WKH HQFORVHG (PSOR\HH +DQGERRN DQG SHUVRQDOO\ FRPPLW WR FRPSO\LQJ ZLWK LWV UHTXLUHPHQWV 7KH +DQGERRN LV QRW MXVW D JXLGHOLQH RI WKH H[LVWLQJ SROLFLHV DQG SURFHGXUHV WKDW JRYHUQ RXU GD\ WR GD\ ZRUN SUDFWLFHV LW LV D UHÁHFWLRQ RI RXU FXOWXUH DQG RXU LQWHJULW\ DV D FRPSDQ\

&DURO\Q 6WDQZRUWK 3UHVLGHQW &(2

(PSOR\HH +DQGERRN %/ &RPSDQLHV

%/ &RPSDQLHV DQ HPSOR\HH RZQHG ÀUP LV D OHDGHU LQ GHOLYHULQJ KLJK TXDOLW\ LQWHJUDWHG DUFKLWHFWXUH HQJLQHHULQJ HQYLURQPHQWDO ODQG VXUYH\LQJ DQG UHODWHG VHUYLFHV WR SXEOLF DQG SULYDWH FOLHQWV IRU ODQG GHYHORSPHQW EXLOGLQJ GHVLJQ DQG LQIUDVWUXFWXUH SURMHFWV )RXQGHG LQ DV D VPDOO WUDQVSRUWDWLRQ SODQQLQJ DQG FLYLO HQJLQHHULQJ ÀUP %/ &RPSDQLHV KDV JURZQ WR EHFRPH D OHDGLQJ ÀUP VRXJKW DIWHU IRU RXU TXDOLW\ FUHDWLYLW\ DQG H[SHUWLVH LQ SURGXFLQJ VXFFHVVIXO SURMHFW RXWFRPHV :H DUH GHGLFDWHG WR WRWDO FOLHQW VDWLVIDFWLRQ 2XU VXFFHVV LV IRXQGHG LQ RXU HPSOR\HH RZQHUV DQG D FXOWXUH WKDW LQVSLUHV FKDOOHQJHV DQG LQVLVWV RQ QRWKLQJ VKRUW RI SURIHVVLRQDO H[FHOOHQFH +LVWRULFDOO\ OLVWHG LQ WKH 7RS 'HVLJQ )LUPV LQ WKH &RXQWU\ E\ (QJLQHHULQJ 1HZV 5HFRUG %/ &RPSDQLHV KDV RIÀFHV LQ &RQQHFWLFXW 0DVVDFKXVHWWV 0DU\ODQG 1HZ -HUVH\ 1HZ

2YHUYLHZ RI WKH &RPSDQ\ (PSOR\HH +DQGERRN

MISSION: RXU FRUH SXUSRVH 7R SURYLGH FUHDWLYH VROXWLRQV WKDW HQKDQFH WKH EXLOW DQG QDWXUDO HQYLURQPHQW WKURXJK WKH OHDGHUVKLS DQG GHGLFDWLRQ RI RXU HPSOR\HH RZQHUV ZRUNLQJ LQ SDUWQHUVKLS ZLWK RXU FOLHQWV

VISION: RXU IXWXUH 7R EH RXU FOLHQWV· ÀUVW FKRLFH IRU $UFKLWHFWXUH

(QJLQHHULQJ (QYLURQPHQWDO DQG /DQG 6XUYH\LQJ 6HUYLFHV :H ZLOO EH VRXJKW DIWHU IRU RXU TXDOLW\ FUHDWLYLW\ DQG H[SHUWLVH

STRATEGY: RXU SODQ %\ HQG RI

JURZ WR HPSOR\HHV WR VHUYH RXU H[LVWLQJ DQG IXWXUH FOLHQWV E\ SURYLGLQJ PXOWL GLVFLSOLQH VHUYLFHV LQ HDFK RIÀFH VHUYLQJ WKH 5HWDLO &RPPHUFLDO DQG 5HVLGHQWLDO (QHUJ\ DQG 3XEOLF ,QIUDVWUXFWXUH PDUNHWV ZKLOH PDLQWDLQLQJ VXVWDLQHG SURÀWDELOLW\ WKURXJK HQJDJHG HPSOR\HH RZQHUV

VALUES: RXU FRUH YDOXHV INTEGRITY

:H EHKDYH HWKLFDOO\ DQG UHVSHFWIXOO\ ZKLOH KROGLQJ RXUVHOYHV DFFRXQWDEOH IRU RXU DFWLRQV DQG SHUIRUPDQFH EXCELLENCE :H SHUIRUP RXU ZRUN VDIHO\ DQG WDNH SULGH LQ DFKLHYLQJ RXWVWDQGLQJ UHVXOWV LQ DOO DVSHFWV RI ZKDW ZH GR DQG WKH ZD\ ZH GR LW EMPLOYEE OWNERSHIP :H HQFRXUDJH WKH LPDJLQDWLRQ HQWKXVLDVP DQG FROODERUDWLRQ RI HPSOR\HHV DV LW FUHDWHV XQOLPLWHG SRWHQWLDO UHVXOWLQJ LQ VXVWDLQDEOH ÀQDQFLDO SHUIRUPDQFH DQG SURÀWDELOLW\ :H DVVLVW VXSSRUW DQG UHZDUG SHUVRQDO DQG SURIHVVLRQDO JURZWK RELATIONSHIPS :H EXLOG HQGXULQJ UHODWLRQVKLSV ZLWK RXU FOLHQWV EXVLQHVV SDUWQHUV DQG FRPPXQLWLHV E\ SURYLGLQJ FUHDWLYH VROXWLRQV DQG GHOLYHULQJ H[FHSWLRQDO VHUYLFH AGILITY :H HPEUDFH FKDQJH E\ EHLQJ ÁH[LEOH SURDFWLYH DQG GHFLVLYH LQ D FRQVWDQWO\ FKDQJLQJ HQYLURQPHQW

(PSOR\HH +DQGERRN %/ &RPSDQLHV

+LULQJ 3UDFWLFHV (PSOR\PHQW 5HFRUGV :RUN (QYLURQPHQW $VVHWV (WKLFDO 3UDFWLFHV $GKHUHQFH WR 3ROLFLHV

:H EHKDYH HWKLFDOO\ DQG UHVSHFWIXOO\ ZKLOH KROGLQJ RXUVHOYHV DFFRXQWDEOH IRU RXU DFWLRQV DQG SHUIRUPDQFH

+,5,1* 35$&7,&(6 $IÀUPDWLYH $FWLRQ (TXDO (PSOR\PHQW 2SSRUWXQLW\ DQG ,PPLJUDWLRQ /DZ ,Q RUGHU WR SURYLGH HTXDO HPSOR\PHQW DQG DGYDQFHPHQW RSSRUWXQLWLHV WR DOO LQGLYLGXDOV HPSOR\PHQW GHFLVLRQV DW %/ &RPSDQLHV DUH EDVHG RQ PHULW TXDOLÀFDWLRQV DQG DELOLWLHV 7KH &RPSDQ\ LV FRPPLWWHG WR D SROLF\ RI UHFUXLWLQJ KLULQJ WUDLQLQJ DQG SURPRWLQJ TXDOLÀ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

HPSOR\HH DV D FRQGLWLRQ RI HPSOR\PHQW PXVW FRPSOHWH WKH (PSOR\PHQW (OLJLELOLW\ 9HULÀFDWLRQ )RUP , DQG SUHVHQW GRFXPHQWDWLRQ HVWDEOLVKLQJ LGHQWLW\ DQG HPSOR\PHQW HOLJLELOLW\ )RUPHU HPSOR\HHV ZKR DUH UHKLUHG PXVW DOVR FRPSOHWH WKH IRUP LI WKH\ KDYH QRW FRPSOHWHG DQ , ZLWK %/ &RPSDQLHV ZLWKLQ WKH SDVW \HDUV RU LI WKHLU SUHYLRXV , ZDV QRW UHWDLQHG RU LV QR ORQJHU YDOLG %DFNJURXQG &KHFNV %/ &RPSDQLHV EHOLHYHV WKDW KLULQJ TXDOLÀHG LQGLYLGXDOV WR ÀOO SRVLWLRQV FRQWULEXWHV WR WKH RYHUDOO VWUDWHJLF VXFFHVV RI WKH &RPSDQ\ %DFNJURXQG FKHFNV VHUYH DV DQ LPSRUWDQW SDUW RI WKH VHOHFWLRQ SURFHVV DW %/ &RPSDQLHV E\ SURPRWLQJ D VDIH HQYLURQPHQW IRU FXUUHQW DQG IXWXUH HPSOR\HHV $V RI -DQXDU\ DOO RIIHUV RI HPSOR\PHQW DW %/ &RPSDQLHV DUH FRQWLQJHQW XSRQ VDWLVIDFWRU\ UHVXOWV RI D WKRURXJK EDFNJURXQG LQYHVWLJDWLRQ %DFNJURXQG FKHFNV RU GUXJ DQG DOFRKRO VFUHHQLQJ PD\ EH FRQGXFWHG RQ FXUUHQW HPSOR\HHV LI UHTXLUHG E\ D SDUWLFXODU FOLHQW IRU D SDUWLFXODU VLWXDWLRQ %DFNJURXQG FKHFNV ZLOO LQFOXGH ō Criminal history check ² 6HDUFKHV IRU D IHORQ\ DQG RU PLVGHPHDQRU WKURXJK GDWD IURP IHGHUDO VWDWH DQG FRXQW\ OHYHOV ō &KHFN WR FRQÀUP LGHQWLÀFDWLRQ DQG HOLJLELOLW\ WR ZRUN LQ WKH 8QLWHG 6WDWHV ² ,Q FRPSOLDQFH ZLWK WKH ,PPLJUDWLRQ 5HIRUP DQG &RQWURO $FW RI HDFK QHZ HPSOR\HH DV D FRQGLWLRQ RI HPSOR\PHQW PXVW FRPSOHWH WKH

(PSOR\HH +DQGERRN %/ &RPSDQLHV

DQG NHSW VWULFWO\ FRQÀGHQWLDO $ PHPEHU RI WKH +XPDQ 5HVRXUFHV 'HSDUWPHQW ZLOO UHYLHZ WKH LQIRUPDWLRQ ,Q LQVWDQFHV ZKHUH QHJDWLYH LQIRUPDWLRQ LV REWDLQHG WKH *HQHUDO &RXQVHO ([HFXWLYH 'LUHFWRU RI WKH 'HSDUWPHQW 3UHVLGHQW LI QHHG EH DQG WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV ZLOO DVVHVV WKH SRWHQWLDO ULVNV DQG OLDELOLWLHV UHODWHG WR WKH MRE·V UHTXLUHPHQWV DQG GHWHUPLQH ZKHWKHU WKH LQGLYLGXDO ZLOO EH KLUHG ,I WKHUH DUH VWDWXWRU\ UHSRUWLQJ UHTXLUHPHQWV WKRVH ZLOO EH IROORZHG &XUUHQW HPSOR\HHV ZLOO JR WKURXJK WKH VDPH SURFHVV LI PDQGDWHG E\ D FOLHQW IRU D SDUWLFXODU SURMHFW 7KH +XPDQ 5HVRXUFHV 'HSDUWPHQW ZLOO PDLQWDLQ D ORJ WKDW ZLOO LQFOXGH WKH SRVLWLRQ WKH HPSOR\HH LV DSSO\LQJ IRU RU IRU FXUUHQW HPSOR\HHV WKH SRVLWLRQ KHOG WKH HPSOR\HH·V QDPH DQG WKH GDWH RI WKH EDFNJURXQG FKHFN 2QO\ PHPEHUV RI WKH +XPDQ 5HVRXUFHV 'HSDUWPHQW ZLOO KDYH DFFHVV WR WKLV LQIRUPDWLRQ $ FRS\ RI WKH UHSRUW ZLOO EH JLYHQ WR WKH HPSOR\HH XSRQ UHTXHVW (PSOR\PHQW &ODVVLÀFDWLRQV ,W LV WKH LQWHQW RI %/ &RPSDQLHV WR FODULI\ WKH HPSOR\PHQW FODVVLÀFDWLRQV VR WKDW HPSOR\HHV XQGHUVWDQG WKHLU HPSOR\PHQW VWDWXV DQG EHQHÀW HOLJLELOLW\ 7KHVH FODVVLÀFDWLRQV GR QRW JXDUDQWHH HPSOR\PHQW IRU DQ\ VSHFLÀHG SHULRG RI WLPH $FFRUGLQJO\ WKH ULJKW WR WHUPLQDWH WKH ´DW ZLOOµ HPSOR\PHQW UHODWLRQVKLS DW DQ\ WLPH LV UHWDLQHG E\ ERWK WKH HPSOR\HH DQG WKH &RPSDQ\

(PSOR\PHQW (OLJLELOLW\ 9HULÀFDWLRQ )RUP , DQG SUHVHQW GRFXPHQWDWLRQ HVWDEOLVKLQJ LGHQWLW\ DQG HPSOR\PHQW HOLJLELOLW\ 9HULÀFDWLRQ RI 6RFLDO 6HFXULW\ QXPEHU ZLOO EH FRPSOHWHG DV ZHOO ō 5HVLGHQWLDO DGGUHVV YHULÀFDWLRQ ² 9HULÀFDWLRQ RI UHVLGHQFH KLVWRU\ EDVHG RQ JLYHQ DGGUHVVHV ō 6H[ RIIHQGHU UHJLVWU\ FKHFN ² 5HYLHZ RI SXEOLVKHG JRYHUQPHQW OLVWLQJ ō 0RWRU YHKLFOH GULYLQJ UHFRUG FKHFN ² 6HDUFKHV RI GULYLQJ UHFRUGV WR YHULI\ OLFHQVHV DQG UHYLHZ RI GULYLQJ KLVWRU\ WKURXJK WKH '09 ō (GXFDWLRQ DQG SURIHVVLRQDO OLFHQVH YHULÀFDWLRQ ² 9HULÀFDWLRQ RI HGXFDWLRQ DQG SURIHVVLRQDO OLFHQVHV ZLOO EH GRQH GLUHFWO\ ZLWK WKH VFKRROV DQG OLFHQVLQJ ERDUGV DV VXEPLWWHG E\ WKH DSSOLFDQW ō 'UXJ 7HVWLQJ ² SDQHO GUXJ VFUHHQLQJ Procedure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

,QWHJULW\ (PSOR\HH +DQGERRN

EMPLOYEE: $ SHUVRQ ZKR UHFHLYHV ZDJHV RU VDODU\ IURP WKH &RPSDQ\

EXEMPT EMPLOYEE: (PSOR\HHV ZKR DUH QRW VXEMHFW WR WKH RYHUWLPH SURYLVLRQV RI WKH ZDJH DQG KRXU ODZV 7KHLU SRVLWLRQV KDYH TXDOLÀHG IRU H[HPSWLRQ XQGHU WKH ODZ DV H[HFXWLYH DGPLQLVWUDWLYH RXWVLGH VDOHV RU SURIHVVLRQDO HPSOR\HHV

NON-EXEMPT EMPLOYEE: (PSOR\HHV ZKR DUH FRPSHQVDWHG KRXUO\ RU ZKR DUH HOLJLEOH IRU RYHUWLPH DV SURYLGHG LQ DSSOLFDEOH ZDJH DQG KRXU ODZV

,Q DGGLWLRQ WR WKH DERYH FDWHJRULHV HDFK HPSOR\HH ZLOO EHORQJ WR RQH RI WKH IROORZLQJ FODVVLÀFDWLRQV

REGULAR FULL-TIME $Q HPSOR\HH ZKR KDV VXFFHVVIXOO\ FRPSOHWHG WKH ,QWURGXFWRU\ 3HULRG DQG ZKR UHJXODUO\ ZRUNV IRUW\ RU PRUH KRXUV ZHHNO\ 5HJXODU IXOO WLPH HPSOR\HHV DUH HOLJLEOH IRU DOO &RPSDQ\ EHQHÀWV

REGULAR PART-TIME: $Q HPSOR\HH ZKR KDV VXFFHVVIXOO\ FRPSOHWHG WKH ,QWURGXFWRU\ 3HULRG DQG ZKR UHJXODUO\ ZRUNV IHZHU WKDQ IRUW\ KRXUV ZHHNO\ 7KHVH HPSOR\HHV DUH QRW HOLJLEOH WR UHFHLYH &RPSDQ\ EHQHÀWV ZLWK WKH H[FHSWLRQ WKDW WKH\ PD\ EH DEOH WR SDUWLFLSDWH LQ WKH &RPSDQ\·V +HDOWK ,QVXUDQFH . DQG (623 3ODQ LI WKH HPSOR\HH PHHWV SODQ HOLJLELOLW\ UHTXLUHPHQWV 6HH +HDOWK ,QVXUDQFH . (623 3ODQ HOVHZKHUH LQ WKLV +DQGERRN

INTRODUCTORY PERIOD: $ QHZO\ KLUHG SHUVRQ ZKHWKHU IXOO WLPH RU SDUW WLPH ZKR KDV QRW \HW FRPSOHWHG QLQHW\ GD\V RI XQLQWHUUXSWHG HPSOR\PHQW RU ZKR LQ WKH &RPSDQ\·V GHWHUPLQDWLRQ KDV QRW \HW GHPRQVWUDWHG VXIÀFLHQW FRPSHWHQF\ LQ WKH SHUIRUPDQFH RI KLV RU KHU MRE GXWLHV 6XFFHVVIXO FRPSOHWLRQ RI WKH ,QWURGXFWRU\ 3HULRG GRHV QRW JXDUDQWHH FRQWLQXHG HPSOR\PHQW DQG GRHV QRW FKDQJH WKH DW ZLOO QDWXUH RI WKH HPSOR\PHQW UHODWLRQVKLS 7KH HOLJLELOLW\ IRU EHQHÀWV GXULQJ WKH ,QWURGXFWRU\ 3HULRG YDULHV E\ EHQHÀW 6HH WKH GLVFXVVLRQ XQGHU ´,QWURGXFWRU\ 3HULRGµ LQ WKH +DQGERRN

TEMPORARY/ON-CALL: $ WHPSRUDU\ HPSOR\HH LV RQH ZKR LV KLUHG IRU D OLPLWHG GXUDWLRQ RU WR DVVLVW LQ WKH FRPSOHWLRQ RI D VSHFLÀF SURMHFW 7KHVH HPSOR\HHV DUH QRW HOLJLEOH WR UHFHLYH &RPSDQ\ EHQHÀWV ZLWK WKH H[FHSWLRQ WKDW WKH\ PD\ EH DEOH WR SDUWLFLSDWH LQ WKH &RPSDQ\·V . 3ODQ LI WKH HPSOR\HH PHHWV SODQ HOLJLELOLW\ UHTXLUHPHQWV 6HH . 3ODQ HOVHZKHUH LQ WKLV +DQGERRN 7KHUH LV QR UHVWULFWLRQ UHJDUGLQJ GXUDWLRQ RI HPSOR\PHQW DV ORQJ DV WKH HPSOR\HH XQGHUVWDQGV DQG DFFHSWV WKH WHUPV RI HPSOR\PHQW +H RU VKH FDQ EH HPSOR\HG IRU D VSHFLÀF WLPH RU LW FDQ EH RSHQ HQGHG 7KHUH LV QR UHTXLUHPHQW WKDW KH RU VKH EH FRQYHUWHG WR D 5HJXODU HPSOR\HH DIWHU VRPH VSHFLÀHG WLPH 7HPSRUDU\ HPSOR\HHV FDQ EH SDLG RQ DQ KRXUO\ RU VDODU\ EDVLV EDVHG RQ MRE FODVVLÀFDWLRQ 7KHUH LV

QR OLPLW RQ WKH DPRXQW RI KRXUV WKH\ FDQ ZRUN SHU ZHHN 7HPSRUDU\ HPSOR\HHV PD\ EH KLUHG DV D IXOO WLPH HPSOR\HH KRXUV SHU ZHHN SDUW WLPH D VSHFLÀHG QXPEHU RI KRXUV SHU ZHHN WKDW LV OHVV WKDQ RU RQ FDOO WKH KRXUV ÁXFWXDWH IURP ZHHN WR ZHHN ,I DQ HPSOR\HH LV KLUHG DV D SDUW WLPH WHPSRUDU\ HPSOR\HH OLNH DOO KRXUO\ HPSOR\HHV KH RU VKH PXVW EH SDLG DFFRUGLQJ WR ZDJH DQG KRXU ODZ L H WLPH DQG D KDOI DIWHU ZRUNHG KRXUV $ WHPSRUDU\ HPSOR\HH VKRXOG UHFHLYH DQ HPSOR\PHQW OHWWHU VWDWLQJ WKH WHUPV RI KLV RU KHU HPSOR\PHQW ,I WKH WHUPV LQFOXGH WKH SRVVLELOLW\ RI EHLQJ UHYLHZHG WR EHFRPH D UHJXODU IXOO WLPH HPSOR\HH WKDW UHYLHZ VKRXOG RFFXU DV VSHFLÀHG LQ WKH HPSOR\PHQW OHWWHU DQG VKRXOG EH GRFXPHQWHG

INTERN: $Q HPSOR\HH IXOO WLPH RU SDUW WLPH W\SLFDOO\ D VWXGHQW ZKR LV KLUHG WR ZRUN IRU D À[HG SHULRG RI WLPH VXFK DV D VFKRRO VHPHVWHU RU VXPPHU EUHDN ,QWHUQV DUH QRW HOLJLEOH WR UHFHLYH &RPSDQ\ EHQHÀWV ZLWK WKH H[FHSWLRQ WKDW WKH\ PD\ EH DEOH WR SDUWLFLSDWH LQ WKH &RPSDQ\·V . 3ODQ LI WKH HPSOR\HH PHHWV SODQ HOLJLELOLW\ UHTXLUHPHQWV 6HH . 3ODQ HOVHZKHUH LQ WKLV +DQGERRN (PSOR\HH +DQGERRN %/ &RPSDQLHV

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ÀFLHQW PDQQHU $Q\ WLPH RII WDNHQ E\ D QRQ H[HPSW HPSOR\HH GXULQJ WKLV ,QWURGXFWRU\ 3HULRG ZLOO EH XQSDLG $Q\ WLPH RII WDNHQ E\ DQ H[HPSW HPSOR\HH SUHYLRXVO\ DSSURYHG E\ KLV RU KHU VXSHUYLVRU ZLOO KDYH VXFK WLPH FRXQWHG DJDLQVW KLV RU KHU 372 DFFRXQW 7KH &RPSDQ\ UHVHUYHV WKH ULJKW WR H[WHQG DQ HPSOR\HH·V ,QWURGXFWRU\ 3HULRG EDVHG RQ WKH HPSOR\HH·V MRE SHUIRUPDQFH DW WKH &RPSDQ\·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

SHUVRQDO GDWD FKDQJHV $FFHVV WR 3HUVRQQHO )LOHV

%/ &RPSDQLHV PDLQWDLQV D SHUVRQQHO ÀOH RQ HDFK HPSOR\HH 7KH SHUVRQQHO ÀOH LQFOXGHV VXFK LQIRUPDWLRQ DV WKH HPSOR\HH·V MRE DSSOLFDWLRQ UHVXPH UHFRUGV RI WUDLQLQJ VDODU\ LQFUHDVHV DQG RWKHU HPSOR\PHQW UHFRUGV 3HUVRQQHO ÀOHV DUH WKH SURSHUW\ RI %/ &RPSDQLHV DQG DFFHVV WR WKH LQIRUPDWLRQ WKH\ FRQWDLQ LV JHQHUDOO\ UHVWULFWHG ,QIRUPDWLRQ PD\ EH GLVFORVHG WR SHUPLW %/ &RPSDQLHV WR PRQLWRU DQG RU FRPSO\ ZLWK OHJDO REOLJDWLRQV (PSOR\HHV ZKR ZLVK WR UHYLHZ WKHLU RZQ ÀOH VKRXOG FRQWDFW WKH +XPDQ 5HVRXUFHV 'HSDUWPHQW 3HUVRQQHO ÀOHV PD\ EH YLHZHG LQ WKH SUHVHQFH RI WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV RU WKH +XPDQ 5HVRXUFHV 0DQDJHU 0HGLFDO UHFRUGV LI DQ\ ZLOO EH NHSW LQ D VHSDUDWH FRQÀGHQWLDO ÀOH %/ &RPSDQLHV PDLQWDLQV WKLV LQIRUPDWLRQ LQ WKH VWULFWHVW FRQÀGHQFH DQG PD\ QRW XVH RU GLVFORVH PHGLFDO LQIRUPDWLRQ DERXW WKH HPSOR\HH ZLWKRXW WKH HPSOR\HH ÀUVW KDYLQJ VLJQHG DQ DXWKRUL]DWLRQ IRUP SHUPLWWLQJ VXFK XVH RU GLVFORVXUH 8VH RI (PSOR\HHV ,QIRUPDWLRQ $V SDUW RI WKH SURFHVV RI REWDLQLQJ QHZ ZRUN WKH &RPSDQ\ LV RIWHQ DVNHG WR SURYLGH D SURVSHFWLYH FOLHQW ZLWK LQIRUPDWLRQ DERXW WKH TXDOLÀFDWLRQV RI WKH &RPSDQ\ DQG RI LQGLYLGXDO HPSOR\HHV ,Q UHVSRQVH WKH &RPSDQ\ PD\ SURYLGH LQIRUPDWLRQ DERXW LQGLYLGXDO HPSOR\HHV LQFOXGLQJ EXW QRW OLPLWHG WR HGXFDWLRQDO EDFNJURXQG GHJUHHV FHUWLÀFDWLRQV SURIHVVLRQDO OLFHQVHV DQG SURIHVVLRQDO H[SHULHQFH LQFOXGLQJ H[SHULHQFH REWDLQHG ZKLOH HPSOR\HG HOVHZKHUH 7KLV LQIRUPDWLRQ PD\ DOVR EH XVHG E\ WKH &RPSDQ\ RU SURYLGHG WR RWKHUV IRU EXVLQHVV UHDVRQV 6RPH RI WKLV LQIRUPDWLRQ SDUWLFXODUO\ UHJDUGLQJ LQGLYLGXDO OLFHQVHV PD\ EH SRVWHG RQ WKH &RPSDQ\·V LQWHUQDO ZHE VLWH RU RWKHU +5 GDWDEDVH ,QGLYLGXDO HPSOR\HHV DUH UHTXLUHG WR FRRSHUDWH ZLWK

,QWHJULW\ (PSOR\HH +DQGERRN

WKH &RPSDQ\ LQ FRPSLOLQJ WKLV LQIRUPDWLRQ DQG NHHSLQJ LW XS WR GDWH :KHQ WKHUH LV D UHDVRQ WR XVH RU WR SURYLGH VXFK LQIRUPDWLRQ WKH &RPSDQ\ ZLOO QRW VHHN SHUPLVVLRQ IRU RU SURYLGH QRWLFH RI WKH SDUWLFXODU XVH RU GLVFORVXUH (PSOR\HHV·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·V FRQVHQW :25. (19,5210(17 :RUNLQJ +RXUV DQG $WWHQGDQFH 5HJXODU RIÀFH KRXUV IRU WKH &RPSDQ\ DUH 0RQGD\ WKURXJK )ULGD\ IURP D P WR S P (PSOR\HHV DUH HQWLWOHG WR D RQH KRXU XQSDLG OXQFK EUHDN PDNLQJ WKH ZRUNGD\ HLJKW KRXUV DQG WKH ZRUNZHHN IRUW\ KRXUV (PSOR\HHV PD\ EH UHTXLUHG WR ZRUN PRUH WKDQ IRUW\ KRXUV LQ RUGHU

WR PHHW FOLHQW DQG &RPSDQ\ QHHGV $Q\ YDULDWLRQ RI WKLV VFKHGXOH PXVW EH DSSURYHG E\ WKH HPSOR\HH·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ÀFH RQO\ ZKHQ WKDW VWDWH·V *RYHUQRU GHFODUHV D 6WDWH RI (PHUJHQF\ DQG KDV DOVR LVVXHG D WUDYHO EDQ ,I WKH *RYHUQRU VHQGV VWDWH HPSOR\HHV KRPH LW LV QRW WKH VDPH DV D 6WDWH RI (PHUJHQF\

%/ PD\ XVH HPSOR\HHV· SKRWRJUDSKV LQ RXU QHZVOHWWHUV DQG RQ VRFLDO PHGLD 6D\ FKHHVH

(PSOR\HH +DQGERRN %/ &RPSDQLHV

HQG HPSOR\HHV DUH DVNHG WR FOHDQ XS DIWHU WKHPVHOYHV DQG OHDYH WKH DUHD LQ WKH VDPH RU EHWWHU FRQGLWLRQ WKDQ LW ZDV IRXQG $V ZH WUDQVLWLRQ WR DQ RSHQ HQYLURQPHQW SOHDVH EH PLQGIXO RI \RXU VXUURXQGLQJV 2IÀFH 6HFXULW\ (PSOR\HHV DUH UHTXHVWHG QRW WR OHDYH YDOXDEOHV H[SRVHG GXULQJ WKH GD\ DQG WR UHPRYH DOO YDOXDEOHV RYHUQLJKW DQG RQ ZHHNHQGV $Q\ YDOXDEOHV OHIW LQ WKH EXLOGLQJ VKRXOG EH ORFNHG XS DW DOO WLPHV 5HTXHVWV IRU ORFNV VKRXOG EH PDGH WR WKH +XPDQ 5HVRXUFHV 'HSDUWPHQW 7KH &RPSDQ\ LV QRW UHVSRQVLEOH IRU WKH ORVV RI SHUVRQDO YDOXDEOHV (PSOR\HHV ZKR DUH UHVSRQVLEOH IRU WKHLU GHSDUWPHQW·V HTXLSPHQW PXVW EH VXUH WR ORFN VXFK HTXLSPHQW LQ D VHFXUH DUHD DW WKH HQG RI WKH EXVLQHVV GD\ %HIRUH ERUURZLQJ DQ\ SLHFH RI HTXLSPHQW IURP DQRWKHU HPSOR\HH·V ZRUN DUHD SOHDVH DVN SHUPLVVLRQ ,I DQ HPSOR\HH REVHUYHV DQ\ VXVSLFLRXV RU XQXVXDO DFWLYLW\ KH RU VKH LV UHTXHVWHG WR UHSRUW VXFK DFWLYLW\ WR KLV RU KHU 'HSDUWPHQW 'LUHFWRU RU VXSHUYLVRU 6PRNLQJ )UHH (QYLURQPHQW $OO RI %/ &RPSDQLHV· IDFLOLWLHV DQG &RPSDQ\ YHKLFOHV DUH VPRNH IUHH 1R VPRNLQJ LV DOORZHG LQ DQ\ &RPSDQ\ IDFLOLW\ LQFOXGLQJ VPRNHOHVV WREDFFR DQG H FLJDUUHWWHV 6PRNLQJ LV RQO\ SHUPLWWHG LQ GHVLJQDWHG DUHDV RXWVLGH RI &RPSDQ\ IDFLOLWLHV GXULQJ EUHDNV

1RWZLWKVWDQGLQJ WKH DERYH DQ\ HPSOR\HH ZKR IHHOV WKDW OHDYLQJ ZRUN HDUO\ RU QRW FRPLQJ LQ DW DOO LV GHVLUDEOH WR LQVXUH D VDIH FRPPXWH PD\ GR VR ZLWK VXSHUYLVRU·V DSSURYDO (PSOR\HHV ZLOO EH DEOH WR XVH 372 WR PDNH XS WKH WLPH PLVVHG ,I DQ HPSOR\HH GRHV QRW KDYH 372 WKH HPSOR\HH PD\ PDNH XS WKH PLVVHG WLPH ZLWKLQ WKDW ZHHN 'UHVV &RGH DQG 3HUVRQDO $SSHDUDQFH %/ &RPSDQLHV VWULYHV WR PDLQWDLQ D SURIHVVLRQDO HQYLURQPHQW ,W LV LPSRUWDQW WR KDYH D SURIHVVLRQDO SHUVRQDO DSSHDUDQFH ZKLOH FRQGXFWLQJ &RPSDQ\ EXVLQHVV (PSOR\HHV DUH H[SHFWHG WR GUHVV DQG JURRP WKHPVHOYHV LQ DFFRUGDQFH ZLWK DFFHSWHG VRFLDO DQG EXVLQHVV VWDQGDUGV SDUWLFXODUO\ LI WKH HPSOR\HH·V MRE LQYROYHV GHDOLQJ ZLWK FOLHQWV RU YLVLWRUV LQ SHUVRQ $Q\ WLPH DQ HPSOR\HH LV PHHWLQJ ZLWK D FOLHQW DWWHQGLQJ D FOLHQW RU EXVLQHVV IXQFWLRQ RU DSSHDULQJ EHIRUH D ERDUG LW LV DGYLVDEOH WR ZHDU D MDFNHW DQG WLH IRU PHQ DQG FRPSDUDEOH DWWLUH IRU ZRPHQ 2IÀFH $SSHDUDQFH 7KH &RPSDQ\ PDNHV HYHU\ HIIRUW WR SURYLGH HPSOR\HHV ZLWK WKH VSDFH DQG UHVRXUFHV UHTXLUHG WR SHUIRUP WKHLU MRE ,Q RUGHU WR SURYLGH D VDIH DQG FRPIRUWDEOH DWPRVSKHUH WKH RIÀFH LV FOHDQHG RQ D GDLO\ EDVLV (PSOR\HHV DUH HQFRXUDJHG WR NHHS WKHLU ZRUNVSDFH QHDW DQG SUHVHQWDEOH ,Q DGGLWLRQ FRPPRQ DUHDV VXFK DV WKH UHFHSWLRQ DUHD NLWFKHQ FRS\ DUHDV ÀOLQJ URRPV VXSSO\ FORVHWV DQG FRQIHUHQFH URRPV VKRXOG EH NHSW QHDW DQG RUGHUO\ 7R WKLV

,QWHJULW\ (PSOR\HH +DQGERRN

'UXJ DQG $OFRKRO 8VH 3ROLF\ ,W LV %/ &RPSDQLHV· GHVLUH WR SURYLGH D GUXJ IUHH KHDOWKIXO DQG VDIH ZRUNSODFH 7R SURPRWH WKLV JRDO HPSOR\HHV DUH UHTXLUHG WR UHSRUW WR ZRUN LQ DQ DSSURSULDWH PHQWDO DQG SK\VLFDO FRQGLWLRQ WR SHUIRUP WKHLU MREV LQ D VDWLVIDFWRU\ PDQQHU :KLOH RQ %/ &RPSDQLHV· SUHPLVHV DQG ZKLOH FRQGXFWLQJ EXVLQHVV UHODWHG DFWLYLWLHV RII %/ &RPSDQLHV· SUHPLVHV QR (PSOR\HH PD\ PLVXVH DOFRKRO RU EH XQGHU WKH LQÁXHQFH RI DOFRKRO RU LOOHJDO GUXJV %/ &RPSDQLHV DOVR SURKLELWV UHSRUWLQJ WR ZRUN RU SHUIRUPLQJ VHUYLFHV XQGHU WKH LQÁXHQFH RI DOFRKRO RU FRQVXPLQJ DOFRKRO ZKLOH RQ GXW\ RU GXULQJ ZRUN KRXUV 7KH OHJDO XVH RI SUHVFULEHG GUXJV LV SHUPLWWHG RQ WKH MRE RQO\ LI LW GRHV QRW LPSDLU DQ HPSOR\HH·V DELOLW\ WR SHUIRUP WKH HVVHQWLDO IXQFWLRQV RI WKH MRE HIIHFWLYHO\ DQG LQ D VDIH PDQQHU WKDW GRHV QRW HQGDQJHU RWKHU LQGLYLGXDOV LQ WKH ZRUNSODFH 2QFH HPSOR\HG HPSOR\HHV DUH VXEMHFW WR GUXJ DQG RU DOFRKRO WHVWLQJ LI WKH HPSOR\HH·V EHKDYLRU RU SHUIRUPDQFH FUHDWHV D UHDVRQDEOH VXVSLFLRQ RI GUXJ RU DOFRKRO XVH &XUUHQW HPSOR\HHV PD\ EH VXEMHFW WR D GUXJ VFUHHQLQJ LI UHTXLUHG E\ D FOLHQW IRU D SDUWLFXODU SURMHFW 3OHDVH VHH %DFNJURXQG &KHFN 3ROLF\ $GGLWLRQDOO\ HPSOR\HHV PD\ EH VXEMHFW WR GUXJ DQG DOFRKRO WHVWLQJ LI WKH HPSOR\HH ZDV LQYROYHG LQ D ZRUN UHODWHG LQFLGHQW LQ ZKLFK GUXJV DQG RU DOFRKRO PD\ KDYH EHHQ D IDFWRU 1RQ +DUDVVPHQW (QYLURQPHQW ,W LV WKH &RPSDQ\·V SROLF\ WR PDLQWDLQ DQ HQYLURQPHQW IUHH RI DQ\ W\SH RI KDUDVVPHQW GLVFULPLQDWLRQ DQG UHWDOLDWLRQ $Q\ W\SH RI KDUDVVPHQW LQFOXGLQJ VH[XDO KDUDVVPHQW GLUHFWHG DW DQ\ HPSOR\HH LV VXEMHFW WR GLVFLSOLQDU\ DFWLRQ +DUDVVPHQW LV DQ\ YHUEDO ZULWWHQ RU SK\VLFDO FRQGXFW GHVLJQHG WR WKUHDWHQ LQWLPLGDWH RU FRHUFH DQ HPSOR\HH IRU WKH SXUSRVH RU HIIHFW RI FUHDWLQJ DQ LQWLPLGDWLQJ KRVWLOH RU RIIHQVLYH ZRUN HQYLURQPHQW

([DPSOHV RI KDUDVVPHQW LQFOXGH VOXUV RU QHJDWLYH VWHUHRW\SLQJ WKUHDWHQLQJ LQWLPLGDWLQJ RU KRVWLOH DFWV GHQLJUDWLQJ MRNHV DQG ZULWWHQ RU JUDSKLF PDWHULDO WKDW GHQLJUDWHV RU VKRZV KRVWLOLW\ WKDW LV SODFHG RQ ZDOOV RU HOVHZKHUH RQ &RPSDQ\·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·V *HQHUDO &RXQVHO $OO FRPSODLQWV RI VH[XDO KDUDVVPHQW ZLOO EH SURPSWO\ DQG FRQÀGHQWLDOO\ LQYHVWLJDWHG LQ DFFRUGDQFH ZLWK WKLV SURFHGXUH %/ &RPSDQLHV SURKLELWV UHWDOLDWLRQ DJDLQVW DQ\ HPSOR\HH ZKR UHSRUWV KDUDVVPHQW RU SDUWLFLSDWHV LQ DQ LQYHVWLJDWLRQ RI VXFK UHSRUWV %/ &RPSDQLHV ZLOO PDLQWDLQ FRQÀGHQWLDOLW\ WKURXJKRXW WKH LQYHVWLJDWLRQ SURFHVV WR WKH H[WHQW SRVVLEOH DQG DQ\ LQIRUPDWLRQ ZLOO EH GLVFORVHG VWULFWO\ RQ D QHHG WR NQRZ EDVLV &RPSODLQW DQG 5HVROXWLRQ 3URFHGXUHV (PSOR\HH 2ZQHUV FDQ UDLVH FRQFHUQV DQG PDNH UHSRUWV ZLWKRXW IHDU RI UHSULVDO $Q\RQH IRXQG WR EH HQJDJLQJ LQ DQ\ W\SH RI XQODZIXO GLVFULPLQDWLRQ RU KDUDVVPHQW LV VXEMHFW WR GLVFLSOLQDU\ DFWLRQ 'LVFLSOLQH FDQ UDQJH IURP D ZDUQLQJ XS WR DQG LQFOXGLQJ WHUPLQDWLRQ RI HPSOR\PHQW %/ &RPSDQLHV ZLOO IROORZ WKH IROORZLQJ SURFHGXUHV IRU ORGJLQJ D FRPSODLQW RI

(PSOR\HH +DQGERRN %/ &RPSDQLHV

KDUDVVPHQW GLVFULPLQDWLRQ RU UHWDOLDWLRQ %/ ZLOO WUHDW DOO DVSHFWV RI WKH SURFHGXUH FRQÀGHQWLDOO\ WR WKH H[WHQW UHDVRQDEO\ SRVVLEOH

6. 8SRQ FRQFOXVLRQ RI DQ LQYHVWLJDWLRQ WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV *HQHUDO &RXQVHO RU WKH ([HFXWLYH 'LUHFWRU ZKR FRQGXFWHG WKH LQYHVWLJDWLRQ ZLOO VXEPLW D ZULWWHQ UHSRUW RI KLV RU KHU ÀQGLQJV WR WKH &RPSDQ\ ,I LW LV GHWHUPLQHG WKDW D YLRODWLRQ RI WKH 3ODQ KDV RFFXUUHG WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV ZLOO UHFRPPHQG DSSURSULDWH GLVFLSOLQDU\ DFWLRQ 7KH DSSURSULDWH DFWLRQ ZLOO GHSHQG RQ WKH IROORZLQJ IDFWRUV D WKH VHYHULW\ IUHTXHQF\ DQG SHUYDVLYHQHVV RI WKH FRQGXFW E WKH TXDOLW\ RI WKH HYLGHQFH H J ÀUVWKDQG NQRZOHGJH FUHGLEOH FRUURERUDWLRQ 7. &(2 DQG WKH ([HFXWLYH 'LUHFWRU RI WKDW GLVFLSOLQH ZLOO UHYLHZ WKH LQYHVWLJDWLYH UHSRUW DQG UHFRPPHQGDWLRQV PDGH E\ WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV RU *HQHUDO &RXQVHO DQG DQ\ VWDWHPHQWV VXEPLWWHG E\ WKH FRPSODLQDQW RU UHVSRQGHQW GLVFXVV UHVXOWV RI WKH LQYHVWLJDWLRQ ZLWK WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV DQG RWKHU PDQDJHPHQW VWDII DV DSSURSULDWH DQG GHFLGH ZKDW DFWLRQ LI DQ\ ZLOO EH WDNHQ 8. 2QFH D ÀQDO GHFLVLRQ LV PDGH E\ WKH &(2 DQG WKH ([HFXWLYH 'LUHFWRU RI WKDW GLVFLSOLQH WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV DQG WKH *HQHUDO &RXQVHO ZLOO PHHW ZLWK WKH FRPSODLQDQW DQG WKH UHVSRQGHQW VHSDUDWHO\ DQG QRWLI\ WKHP RI WKH ÀQGLQJV RI WKH LQYHVWLJDWLRQ ,I GLVFLSOLQDU\ DFWLRQ LV WR EH WDNHQ WKH UHVSRQGHQW ZLOO EH LQIRUPHG RI WKH QDWXUH RI WKH GLVFLSOLQH DQG KRZ LW ZLOO EH LPSOHPHQWHG

1. &RPSODLQWV VKRXOG EH VXEPLWWHG DV VRRQ DV SRVVLEOH DIWHU DQ LQFLGHQW KDV RFFXUUHG 7KH 'LUHFWRU RI +XPDQ 5HVRXUFHV PD\ DVVLVW WKH FRPSODLQDQW LQ FRPSOHWLQJ D ZULWWHQ VWDWHPHQW RU LQ WKH HYHQW DQ HPSOR\HH UHIXVHV WR SURYLGH LQIRUPDWLRQ LQ ZULWLQJ WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV ZLOO PHPRULDOL]H WKH YHUEDO FRPSODLQW 2. 8SRQ UHFHLYLQJ D FRPSODLQW RU EHLQJ DGYLVHG E\ D VXSHUYLVRU WKDW YLRODWLRQ RI WKLV $IÀUPDWLYH $FWLRQ 6WDWHPHQW DQG 3ODQ ´3ODQµ KDV WDNHQ SODFHG WKH 'LUHFWRU RI +XPDQ 5HVRXUFHV ZLOO QRWLI\ WKH &(2 DQG WKH ([HFXWLYH 'LUHFWRU RI WKDW GLVFLSOLQH DQG UHYLHZ WKH FRPSODLQW ZLWK WKH &RPSDQ\·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

,QWHJULW\ (PSOR\HH +DQGERRN

,I WKH LQYHVWLJDWLRQ LV LQFRQFOXVLYH RU LI LW LV GHWHUPLQHG WKDW WKHUH KDV EHHQ QR YLRODWLRQ RI WKH $IÀ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ÀQHG DV WKH WLPH DVVLJQHG IRU WKH SHUIRUPDQFH RI WKH HPSOR\HH·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eneral Provisions %/ &RPSDQLHV WDNHV QR SRVLWLRQ RQ DQ HPSOR\HH·V GHFLVLRQ WR VWDUW RU PDLQWDLQ D SHUVRQDO EORJ RU SDUWLFLSDWH LQ RWKHU VRFLDO IHGHUDO DJHQFLHV RU WKH FRXUWV 6ROLFLWDWLRQ DQG 'LVWULEXWLRQ

QHWZRUNLQJ DFWLYLWLHV ZKHQ WKH HPSOR\HH LV QRW DW ZRUN RU LV RQ SHUVRQDO WLPH %ORJJLQJ RU RWKHU IRUPV RI VRFLDO PHGLD RU WHFKQRORJ\ LQFOXGH EXW DUH QRW OLPLWHG WR YLGHR RU ZLNL SRVWLQJV VLWHV VXFK DV )DFHERRN /LQNHG,Q ,QVWDJUDP DQG 7ZLWWHU FKDW URRPV SHUVRQDO EORJV RU RWKHU VLPLODU IRUPV RI RQOLQH MRXUQDOV GLDULHV RU SHUVRQDO QHZVOHWWHUV QRW DIÀOLDWHG ZLWK %/ &RPSDQLHV +RZHYHU XQOHVV VSHFLÀFDOO\ LQVWUXFWHG HPSOR\HHV DUH QRW DXWKRUL]HG DQG WKHUHIRUH SURKLELWHG IURP VSHDNLQJ RQ EHKDOI RI %/ &RPSDQLHV (PSOR\HHV PD\ QRW SXEOLFO\ GLVFXVV FOLHQWV SURMHFWV HPSOR\HHV RU DQ\ ZRUN UHODWHG PDWWHUV ZKHWKHU FRQÀ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mployer Monitoring (PSOR\HHV DUH FDXWLRQHG WKDW WKH\ VKRXOG KDYH QR H[SHFWDWLRQ RI SULYDF\ ZKLOH XVLQJ WKH ,QWHUQHW ZKLOH DW ZRUN (PSOR\HHV· SRVWLQJV FDQ EH UHYLHZHG E\ DQ\RQH LQFOXGLQJ %/ %/ &RPSDQLHV UHVHUYHV WKH ULJKW WR PRQLWRU FRPPHQWV RU GLVFXVVLRQV DERXW WKH &RPSDQ\ LWV HPSOR\HHV FOLHQWV DQG WKH LQGXVWU\ LQFOXGLQJ SURMHFWV DQG FRPSHWLWRUV SRVWHG RQ WKH ,QWHUQHW E\ DQ\RQH LQFOXGLQJ HPSOR\HHV DQG QRQ HPSOR\HHV

$66(76 &RPSDQ\ (TXLSPHQW

(TXLSPHQW HVVHQWLDO LQ DFFRPSOLVKLQJ MRE GXWLHV LV H[SHQVLYH DQG PD\ EH GLIÀFXOW WR UHSODFH :KHQ XVLQJ %/ &RPSDQLHV·

(PSOR\HH +DQGERRN %/ &RPSDQLHV

&RPSXWHUV (PDLO 3KRQHV &HOOSKRQHV DQG ,QWHUQHW %/ &RPSDQLHV LV FRPPLWWHG WR SURYLGLQJ DQ HQYLURQPHQW WKDW HQFRXUDJHV WKH XVH RI FRPSXWHUV DQG HOHFWURQLF LQIRUPDWLRQ DV WRROV WR SHUIRUP WKH ZRUN DQG VXSSRUW WKH &RPSDQ\ ,W LV WKH UHVSRQVLELOLW\ RI HDFK HPSOR\HH WR HQVXUH WKDW WKLV WHFKQRORJ\ LV XVHG IRU SURSHU EXVLQHVV SXUSRVHV DQG LQ D PDQQHU WKDW GRHV QRW FRPSURPLVH WKH FRQÀGHQWLDOLW\ RI VHQVLWLYH LQIRUPDWLRQ Phones and Cell Phones 3HUVRQDO XVH RI &RPSDQ\ RZQHG WHOHSKRQHV IRU ORQJ GLVWDQFH DQG WROO FDOOV LV QRW SHUPLWWHG (PSOR\HHV VKRXOG SUDFWLFH GLVFUHWLRQ LQ XVLQJ &RPSDQ\ WHOHSKRQHV ZKHQ PDNLQJ ORFDO SHUVRQDO FDOOV DQG PD\ EH UHTXLUHG WR UHLPEXUVH WKH &RPSDQ\ IRU DQ\ FKDUJHV UHVXOWLQJ IURP WKHLU SHUVRQDO XVH RI WKH WHOHSKRQH &HOO SKRQHV DUH SURYLGHG WR HPSOR\HHV IRU EXVLQHVV SXUSRVHV RQO\ &HOO SKRQHV VKRXOG QRW EH XVHG LI ORZHU FRVW DOWHUQDWLYHV DUH DYDLODEOH $FFRUGLQJO\ WKH\ VKRXOG QRW EH XVHG LQ WKH RIÀFH RU IRU OHQJWK\ FRQIHUHQFH FDOOV 7KH &RPSDQ\ PD\ UHTXLUH UHLPEXUVHPHQW IRU SHUVRQDO XVH RI WKH &RPSDQ\ FHOO SKRQH +DQGV IUHH GHYLFHV PXVW EH XVHG ZKHUH UHTXLUHG E\ ODZ DQG VKRXOG EH XVHG ZKHQHYHU GULYLQJ

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

,QWHJULW\ (PSOR\HH +DQGERRN

&RPSXWHUV FRPSXWHU ÀOHV WKH H PDLO V\VWHP DQG VRIWZDUH IXUQLVKHG WR HPSOR\HHV DUH %/ &RPSDQLHV· SURSHUW\ LQWHQGHG IRU &RPSDQ\ EXVLQHVV

%/ &RPSDQLHV UHVHUYHV LWV ULJKW WR PRQLWRU LWV H PDLO V\VWHP ² LQFOXGLQJ DQ HPSOR\HH·V PDLOER[ ² DW LWV GLVFUHWLRQ ,Q FHUWDLQ VLWXDWLRQV %/ &RPSDQLHV PD\ EH FRPSHOOHG WR DFFHVV DQG GLVFORVH PHVVDJHV VHQW RYHU LWV H PDLO V\VWHP

(PSOR\HHV VKRXOG QRW XVH D SDVVZRUG DFFHVV D ÀOH RU UHWULHYH DQ\ VWRUHG FRPPXQLFDWLRQ ZLWKRXW DXWKRUL]DWLRQ 7R HQVXUH FRPSOLDQFH ZLWK WKLV SROLF\ FRPSXWHU XVDJH PD\ EH PRQLWRUHG (PSOR\HHV VKDOO QRW VKDUH DQ H PDLO SDVVZRUG SURYLGH H PDLO DFFHVV WR DQ XQDXWKRUL]HG XVHU RU DFFHVV DQRWKHU XVHU·V H PDLO ER[ ZLWKRXW DXWKRUL]DWLRQ

%/ &RPSDQLHV SURYLGHV ODSWRS DQG WDEOHW FRPSXWHUV WR FHUWDLQ HPSOR\HHV DW WKH &RPSDQ\·V H[SHQVH 7KHVH FRPSXWHUV DUH SURYLGHG WR HQDEOH WKHVH HPSOR\HHV WR SHUIRUP ZRUN ZKLOH WUDYHOLQJ IRU WKH &RPSDQ\ RU DW KRPH DIWHU QRUPDO EXVLQHVV KRXUV ,W LV XQGHUVWRRG WKDW DQ\ HPSOR\HH ZKR UHFHLYHV D ODSWRS RU WDEOHW FRPSXWHU IURP WKH &RPSDQ\ ZLOO XVH LW RQO\ IRU ZRUN UHODWHG SXUSRVHV $OWKRXJK XVHG E\ HPSOR\HHV WKHVH ODSWRSV DQG WDEOHWV VKDOO UHPDLQ WKH SURSHUW\ RI WKH &RPSDQ\ DQG PXVW EH UHWXUQHG WR WKH &RPSDQ\ XSRQ UHTXHVW RU VHSDUDWLRQ RI HPSOR\PHQW

7KH H[LVWHQFH RI SDVVZRUGV DQG ´PHVVDJH GHOHWHµ RU ´PHVVDJH XQVHQWµ IXQFWLRQV GR QRW UHVWULFW RU HOLPLQDWH %/ &RPSDQLHV· DELOLW\ RU ULJKW WR DFFHVV HOHFWURQLF FRPPXQLFDWLRQV

%/ &RPSDQLHV SXUFKDVHV DQG

OLFHQVHV WKH XVH RI YDULRXV FRPSXWHU VRIWZDUH IRU EXVLQHVV SXUSRVHV DQG GRHV QRW RZQ WKH FRS\ULJKW WR WKLV VRIWZDUH RU LWV UHODWHG GRFXPHQWDWLRQ

2IIHQVLYH GHPHDQLQJ RU GLVUXSWLYH PHVVDJHV DUH SURKLELWHG (PSOR\HHV VKDOO QRW SRVW GLVSOD\ RU PDNH HDVLO\ DYDLODEOH DQ\ DFFHVV LQIRUPDWLRQ RU PHVVDJHV ZKLFK DUH GHURJDWRU\ GHIDPDWRU\ REVFHQH WKUHDWHQLQJ RU RWKHUZLVH LQDSSURSULDWH

8QOHVV DXWKRUL]HG E\ WKH VRIWZDUH GHYHORSHU %/ &RPSDQLHV GRHV QRW KDYH WKH ULJKW WR UHSURGXFH VXFK VRIWZDUH IRU WKH XVH RQ PRUH WKDQ RQH FRPSXWHU

(PSOR\HHV PD\ RQO\ XVH VRIWZDUH RQ ORFDO DUHD QHWZRUNV RU RQ PXOWLSOH PDFKLQHV DFFRUGLQJ WR WKH VRIWZDUH OLFHQVH DJUHHPHQW %/ &RPSDQLHV SURKLELWV WKH LOOHJDO GXSOLFDWLRQ RI VRIWZDUH DQG LWV UHODWHG GRFXPHQWDWLRQ

(PSOR\HH H PDLO FRPPXQLFDWLRQV DUH QRW FRQVLGHUHG SULYDWH GHVSLWH DQ\ VXFK GHVLJQDWLRQ HLWKHU E\ WKH VHQGHU RU WKH UHFLSLHQW

0HVVDJHV VHQW WR UHFLSLHQWV RXWVLGH RI %/ &RPSDQLHV DUH QRW VHFXUH

$OO H PDLO FRUUHVSRQGHQFH LV WKH SURSHUW\ RI %/ &RPSDQLHV

( PDLO VKRXOG DOVR EH XVHG VROHO\ IRU EXVLQHVV SXUSRVHV

(PSOR\HH +DQGERRN %/ &RPSDQLHV

,QWHUQHW PD\ FRQVWLWXWH SXEOLVKHG PDWHULDO 7KHUHIRUH UHSURGXFWLRQ RI LQIRUPDWLRQ SRVWHG RU RWKHUZLVH DYDLODEOH RYHU WKH ,QWHUQHW PD\ EH GRQH RQO\ E\ H[SUHVV SHUPLVVLRQ IURP WKH DXWKRU ō (PSOR\HHV PD\ QRW HVWDEOLVK ,QWHUQHW RU RWKHU H[WHUQDO QHWZRUN FRQQHFWLRQV WKDW FRXOG DOORZ XQDXWKRUL]HG SHUVRQV WR JDLQ DFFHVV WR WKH &RPSDQ\·V V\VWHPV DQG LQIRUPDWLRQ 7KHVH FRQQHFWLRQV LQFOXGH WKH HVWDEOLVKPHQW RI KRVWV ZLWK SXEOLF PRGHP GLDO LQV :RUOG :LGH :HE KRPH SDJHV DQG )LOH 7UDQVIHU 3URWRFRO )73 ō $OO ÀOHV GRZQORDGHG IURP WKH ,QWHUQHW PXVW EH FKHFNHG IRU SRVVLEOH FRPSXWHU YLUXVHV ,I \RX DUH XQFHUWDLQ ZKHWKHU \RXU YLUXV FKHFNLQJ VRIWZDUH LV FXUUHQW \RX PXVW FKHFN ZLWK WKH ,7 'HSDUWPHQW EHIRUH GRZQORDGLQJ 9HKLFOHV &RPSDQ\ YHKLFOHV DUH DYDLODEOH IRU XVH E\ HPSOR\HHV IRU &RPSDQ\ UHODWHG WUDYHO $ JDVROLQH FUHGLW FDUG LV DYDLODEOH IRU HDFK YHKLFOH DQG HPSOR\HHV DUH UHTXLUHG WR PDLQWDLQ WKH JDV OHYHO IRU WKH QH[W GULYHU ,I PRUH WKDQ RQH HPSOR\HH QHHGV D YHKLFOH DQG QRQH DUH DYDLODEOH WKH HPSOR\HH ZLOO EH UHLPEXUVHG IRU PLOHDJH LQ D SHUVRQDO YHKLFOH DW WKH FXUUHQW ,QWHUQDO 5HYHQXH 6HUYLFH UDWH +RZHYHU LI WKH &RPSDQ\ YHKLFOH LV DYDLODEOH DQG WKH HPSOR\HH RSWV QRW WR XVH LW KH RU VKH ZLOO QRW EH UHLPEXUVHG IRU PLOHDJH

ō (PSOR\HHV PD\ QRW XVH D KDQG KHOG FHOO SKRQH ZKLOH RSHUDWLQJ D &RPSDQ\ YHKLFOH D UHQWDO YHKLFOH XVHG IRU &RPSDQ\ EXVLQHVV RU ZKHQ GULYLQJ D SHUVRQDO YHKLFOH RQ &RPSDQ\ EXVLQHVV ZKHWKHU WKH YHKLFOH LV LQ PRWLRQ RU VWRSSHG DW D WUDIÀF OLJKW 7KLV LQFOXGHV EXW LV QRW OLPLWHG WR DQVZHULQJ RU PDNLQJ SKRQH FDOOV HQJDJLQJ LQ SKRQH FRQYHUVDWLRQV DQG UHDGLQJ RU UHVSRQGLQJ WR HPDLOV LQVWDQW PHVVDJHV DQG WH[W PHVVDJHV ō ,I (PSOR\HHV QHHG WR XVH WKHLU SKRQHV WKH\ PXVW SXOO RYHU VDIHO\ WR WKH VLGH RI WKH URDG RU DQRWKHU VDIH ORFDWLRQ Internet Use ō %/ &RPSDQLHV· QHWZRUN LQFOXGLQJ LWV FRQQHFWLRQ WR WKH ,QWHUQHW LV WR EH XVHG SULPDULO\ IRU EXVLQHVV UHODWHG SXUSRVHV $Q\ XQDXWKRUL]HG XVH RI WKH ,QWHUQHW LV VWULFWO\ SURKLELWHG 8QDXWKRUL]HG XVH LQFOXGHV EXW LV QRW OLPLWHG WR FRQQHFWLQJ SRVWLQJ RU GRZQORDGLQJ SRUQRJUDSKLF PDWHULDO HQJDJLQJ LQ FRPSXWHU ´KDFNLQJµ DQG RWKHU UHODWHG DFWLYLWLHV DWWHPSWLQJ WR GLVDEOH RU FRPSURPLVH WKH VHFXULW\ RI LQIRUPDWLRQ FRQWDLQHG RQ %/ &RPSDQLHV· FRPSXWHUV RU RWKHUZLVH XVLQJ %/ &RPSDQLHV· FRPSXWHUV LQ D PDQQHU ZKLFK LQWHUIHUHV ZLWK WKHLU EXVLQHVV SXUSRVH ō $Q\WKLQJ VHQW WKURXJK WKH ,QWHUQHW SDVVHV WKURXJK D QXPEHU RI GLIIHUHQW FRPSXWHU V\VWHPV DOO ZLWK GLIIHUHQW OHYHOV RI VHFXULW\ 7KH FRQÀGHQWLDOLW\ RI PHVVDJHV PD\ EH FRPSURPLVHG DW DQ\ SRLQW DORQJ WKH ZD\ ō %/ &RPSDQLHV UHVHUYHV WKH ULJKW WR PRQLWRU ,QWHUQHW XVH DW LWV GLVFUHWLRQ ō %HFDXVH SRVWLQJV SODFHG RQ WKH ,QWHUQHW GLVSOD\ %/ &RPSDQLHV· DGGUHVV HPSOR\HHV VKRXOG PDNH FHUWDLQ EHIRUH SRVWLQJ LQIRUPDWLRQ RQ WKH ,QWHUQHW WKDW WKH LQIRUPDWLRQ UHÁHFWV WKH VWDQGDUGV DQG SROLFLHV RI %/ &RPSDQLHV ō ,QIRUPDWLRQ SRVWHG RU YLHZHG RQ WKH

,QWHJULW\ (PSOR\HH +DQGERRN

(7+,&$/ 35$&7,&(6 &RQÀGHQWLDOLW\

WKH PDWWHU LQ WKH VWULFWHVW FRQÀGHQFH DQG FRQVXOW WKH /HJDO 'HSDUWPHQW RU WKH +XPDQ 5HVRXUFHV 'HSDUWPHQW IRU FODULÀFDWLRQ 7KLV FRQÀGHQWLDOLW\ SURYLVLRQ H[WHQGV WR DOO HPSOR\HHV GXULQJ WKHLU HPSOR\PHQW ZLWK WKH &RPSDQ\ DQG DIWHU WKHLU GHSDUWXUH $OO HPSOR\HHV ZLOO EH UHTXLUHG WR VLJQ D &RQÀGHQWLDOLW\ $JUHHPHQW $OO HPSOR\HHV DUH UHVSRQVLEOH IRU EHFRPLQJ IDPLOLDU ZLWK DQG FRPSO\LQJ ZLWK WKH SROLFLHV FRQWDLQHG LQ LW &RQÁLFWV RI ,QWHUHVW DQG 0RRQOLJKWLQJ 3ROLFLHV ,Q RUGHU WR SURWHFW %/ &RPSDQLHV· LQWHUHVWV DQ\ RXWVLGH HPSOR\PHQW XQGHUWDNHQ E\ D &RPSDQ\ HPSOR\HH PXVW QRW FRQÁLFW ZLWK KLV RU KHU REOLJDWLRQ WR %/ &RPSDQLHV (PSOR\HHV VKRXOG DYRLG DQ\ VLWXDWLRQ WKDW PD\ LQYROYH D FRQÁLFW RI LQWHUHVW ZLWK WKH &RPSDQ\ 7KHVH SURKLELWLRQV LQFOXGH EXW DUH QRW OLPLWHG WR RZQHUVKLS RU D VXEVWDQWLDO LQWHUHVW LQ D EXVLQHVV WKDW LQWHUDFWV RU FRPSHWHV ZLWK WKH &RPSDQ\ RU LWV FOLHQWV HQJDJHPHQW LQ DQ\ RXWVLGH DFWLYLW\ IRU ZKLFK UHPXQHUDWLRQ LV UHFHLYHG DQG ZKLFK FRXOG SUHVHQW DQ RSSRUWXQLW\ IRU FRQÁLFW ZLWK WKH &RPSDQ\ RU LWV FOLHQWV DQG WKH XVH RI FRQÀGHQWLDO LQIRUPDWLRQ JDLQHG LQ WKH FRXUVH RI HPSOR\PHQW IRU WKH EHQHÀW RI WKH HPSOR\HH RU D WKLUG SDUW\ 0RRQOLJKWLQJ PHDQV ZRUNLQJ LQ D SURIHVVLRQDO FDSDFLW\ IRU VRPHRQH RWKHU WKDQ WKH &RPSDQ\ DQG LQFOXGHV ZRUNLQJ LQ WKH HPSOR\HH·V RZQ GLVFLSOLQH ZRUNLQJ LQ DQ DUHD ZKHUH WKH &RPSDQ\ SURYLGHV VHUYLFHV HYHQ LI LW LV QRW WKH HPSOR\HH·V RZQ GLVFLSOLQH RU ZRUNLQJ IRU VRPHRQH HOVH DV DQ HPSOR\HH RU DV D FRQVXOWDQW

(PSOR\HHV VRPHWLPHV KDYH DFFHVV WR FRQÀGHQWLDO VHFUHW DQG SURSULHWDU\ LQIRUPDWLRQ OHDUQHG RU DFTXLUHG WKURXJK WKHLU DVVRFLDWLRQ ZLWK WKH &RPSDQ\ 6XFK HPSOR\HHV PXVW XVH DQG RU GLVFORVH VXFK LQIRUPDWLRQ RQO\ IRU WKH SHUIRUPDQFH RI WKHLU MREV 3DUWLFXODU FDUH PXVW EH WDNHQ WR NHHS FRQÀGHQWLDO DQ\ LQIRUPDWLRQ RI SRVVLEOH YDOXH WR FRPSHWLWRUV RU SRWHQWLDOO\ GDPDJLQJ WR FOLHQWV DQG WKHLU FRPSHWLWRUV RU LQIRUPDWLRQ UHFHLYHG XQGHU DQ H[SUHVV RU LPSOLHG FRQÀGHQWLDOLW\ REOLJDWLRQ RU LQIRUPDWLRQ UHFHLYHG IURP WKLUG SDUWLHV (PSOR\HHV PXVW WUHDW DOO LQIRUPDWLRQ DERXW WKH &RPSDQ\·V FOLHQWV WKHLU SURMHFWV DQG RWKHU EXVLQHVV LQIRUPDWLRQ DV FRQÀGHQWLDO DQG QRW GLVFORVH LW WR RU GLVFXVV LW ZLWK DQ\RQH RXWVLGH WKH &RPSDQ\ ,Q PDQ\ LQVWDQFHV WKH LGHQWLW\ RI D FOLHQW RU HYHQ WKH IDFW WKDW D SURMHFW LV EHLQJ FRQVLGHUHG DW D SDUWLFXODU VLWH LV H[WUHPHO\ VHQVLWLYH &RQÀGHQWLDO LQIRUPDWLRQ DERXW WKH &RPSDQ\ DQG RU FOLHQWV VKRXOG QHYHU EH VKDUHG ZLWK DQ\RQH RXWVLGH WKH RIÀFH ,Q DGGLWLRQ DOO LQIRUPDWLRQ SURSULHWDU\ WR WKH &RPSDQ\ LQFOXGLQJ EXW QRW OLPLWHG WR FOLHQW OLVWV FOLHQW SURVSHFWV PDUNHWLQJ GDWD DQG SURFHGXUHV SULFLQJ SURWRFROV HWF DUH WUDGH VHFUHWV WKDW PXVW QRW EH VKDUHG ZLWK DQ\RQH RXWVLGH WKH &RPSDQ\ ,QIRUPDWLRQ DFTXLUHG LQ WKH FRXUVH RI HPSOR\PHQW PXVW QRW EH XVHG IRU LQGLYLGXDO EHQHÀW $FFHVV WR FRQÀGHQWLDO LQIRUPDWLRQ GRHV QRW FDUU\ ZLWK LW SHUVRQDO EHQHÀW RU DGYDQWDJH EXW LPSRVHV DQ REOLJDWLRQ WR NHHS VXFK LQIRUPDWLRQ FRQÀGHQWLDO DQG WR XVH LW VROHO\ LQ WKH LQWHUHVW RI WKH &RPSDQ\ :KHQ LQ GRXEW WKH HPSOR\HH VKRXOG WUHDW

(PSOR\HHV PXVW WUHDW DOO LQIRUPDWLRQ DERXW WKH &RPSDQ\·V FOLHQWV WKHLU SURMHFWV DQG RWKHU EXVLQHVV LQIRUPDWLRQ DV FRQÀGHQWLDO DQG QRW GLVFORVH LW WR RU GLVFXVV LW ZLWK DQ\RQH RXWVLGH WKH &RPSDQ\

(PSOR\HH +DQGERRN %/ &RPSDQLHV

LQWHUHVWV RI WKH &RPSDQ\ DQG WR SHUPLW WKH &RPSDQ\ WR FRPSO\ ZLWK LWV REOLJDWLRQV LQFOXGLQJ WKRVH WR LWV FOLHQWV DQG RWKHUV WR ZKRP WKH &RPSDQ\ PD\ KDYH VLPLODU REOLJDWLRQV UHJDUGLQJ ZRUNV PDGH IRU KLUH &RGH RI &RQGXFW Ethical Behavior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uality Work and Client Satisfaction %/ &RPSDQLHV VWULYHV WR SURYLGH DOO FOLHQWV ZLWK WKH VROXWLRQ WR WKHLU SUREOHP RQ WLPH DQG DW D FRPSHWLWLYH SULFH :H FRQWLQXDOO\ ZRUN WR PDLQWDLQ KLJK VWDQGDUGV RI SUDFWLFH DQG KDYH RXU FOLHQWV DQG EXVLQHVV SDUWQHUV VHH XV DV LQWHJUDO WR WKHLU VXFFHVV 2XU ZRUN HQYLURQPHQW LV FKDOOHQJLQJ DQG IDVW SDFHG :H KLUH WKH EHVW SHRSOH SRVVLEOH IRU WKH MRE DQG DUH FRPPLWWHG WR WKH DGYDQFHPHQW RI GHGLFDWHG HPSOR\HH RZQHUV Former State Employees 0DQ\ VWDWHV KDYH UHVWULFWLRQV FRQFHUQLQJ IRUPHU VWDWH HPSOR\HHV EHLQJ HPSOR\HG E\ DQG SHUIRUPLQJ ZRUN IRU SULYDWH HPSOR\HUV IROORZLQJ WKHLU VWDWH VHUYLFH $V DQ H[DPSOH DQ\ IRUPHU &RQQHFWLFXW 6WDWH HPSOR\HH PD\ QRW UHSUHVHQW WKH &RPSDQ\ EHIRUH KLV RU KHU IRUPHU DJHQF\ IRU D SHULRG RI RQH \HDU DIWHU OHDYLQJ WKH DJHQF\ 5HSUHVHQWDWLRQ LQFOXGHV EXW LV QRW OLPLWHG

1R HPSOR\HH PD\ HQJDJH LQ DQ\ PRRQOLJKWLQJ XQOHVV KH RU VKH KDV UHFHLYHG ZULWWHQ SHUPLVVLRQ LQ DGYDQFH IURP WKH &RPSDQ\ 3HUPLVVLRQ PD\ EH JLYHQ RQO\ E\ WKH RYHUDOO ([HFXWLYH 'LUHFWRU 2WKHU VXSHUYLVRUV LQFOXGLQJ WKH VXSHUYLVRU LQ D SDUWLFXODU RIÀFH DUH QRW DXWKRUL]HG WR JLYH SHUPLVVLRQ 3HUPLVVLRQ ZLOO QRW EH JLYHQ XQOHVV WKH HPSOR\HH DQG WKH HPSOR\HH·V RXWVLGH FOLHQW KDYH H[HFXWHG D /LPLWDWLRQ RI /LDELOLW\ $JUHHPHQW 3OHDVH VHH WKH /HJDO 'HSDUWPHQW RU +XPDQ 5HVRXUFHV 'HSDUWPHQW WR REWDLQ D FRS\ 7KH &RPSDQ\ UHWDLQV DEVROXWH GLVFUHWLRQ WR DSSURYH RU GLVDSSURYH DQ\ UHTXHVW IRU DQ\ UHDVRQ 1R SHUPLVVLRQ LV HIIHFWLYH XQOHVV SHUPLVVLRQ LV JLYHQ LQ ZULWLQJ DQG VLJQHG E\ WKH ([HFXWLYH 'LUHFWRU RI WKH HPSOR\HH·V GHSDUWPHQW 2UDO VWDWHPHQWV GR QRW FRQVWLWXWH SHUPLVVLRQ WR HQJDJH LQ RXWVLGH HPSOR\PHQW :RUNV 0DGH IRU +LUH %\ DFFHSWLQJ HPSOR\PHQW DW %/ &RPSDQLHV DQ HPSOR\HH DJUHHV WKDW WKH &RPSDQ\ ZLOO RZQ LQYHQWLRQV GLVFRYHULHV LPSURYHPHQWV RU GHYHORSPHQWV ZKHWKHU RU QRW SDWHQWDEOH DV ZHOO DV DOO FRS\ULJKWV SDWHQWV RU WUDGHPDUNV WKHUHRI ZKLFK LQ LWV RSLQLRQ DUH PDGH RU FRQFHLYHG RQ &RPSDQ\ WLPH RU ZLWK &RPSDQ\ DVVHWV RU UHODWH WR WKH &RPSDQ\·V EXVLQHVV RU DUH UHTXLUHG WR PHHW LWV REOLJDWLRQV DQG VKDOO EH GHHPHG ´ZRUNV PDGH IRU KLUHµ DV GHÀQHG LQ 8 6 & 6HFWLRQ 7KH HPSOR\HH DJUHHV WKDW KH RU VKH ZLOO DVVLVW WKH &RPSDQ\ LQ SHUIHFWLQJ DQG SURWHFWLQJ LWV WLWOH WR WKHVH ZRUNV PDGH IRU KLUH 7KH REMHFWLYH RI WKLV SROLF\ LV WR IXUWKHU WKH

,QWHJULW\ (PSOR\HH +DQGERRN

WR VDOHV SUHVHQWDWLRQV DQG FRQWUDFW QHJRWLDWLRQV ,I D &RPSDQ\ HPSOR\HH ZKR ZDV SUHYLRXVO\ HPSOR\HG E\ D VWDWH DJHQF\ DSSHDUV EHIRUH VXFK DJHQF\ KH RU VKH VKRXOG FRQVXOW WKH /HJDO 'HSDUWPHQW SULRU WR WKDW DSSHDUDQFH Marketing and Advertising Activities 7KH &RPSDQ\ PD\ XVH PDUNHWLQJ DQG DGYHUWLVLQJ PDWHULDOV WR SURYLGH LQIRUPDWLRQ WR SRWHQWLDO FOLHQWV SURPRWH RXU VHUYLFHV DQG UHFUXLW QHZ HPSOR\HHV %/ LV FRPPLWWHG WR UHSUHVHQWLQJ LWV VHUYLFHV DQG RIIHULQJV IDLUO\ KRQHVWO\ DQG DFFXUDWHO\ 0DWHULDOV VKDOO QRW FRQWDLQ H[DJJHUDWHG VWDWHPHQWV RI TXDOLÀFDWLRQV QRU VKDOO HPSOR\HHV UHSUHVHQW WKH &RPSDQ\·V VHUYLFHV RU H[SHULHQFH LQ DQ LQDFFXUDWH PDQQHU Communications with External Entities $OO UHTXHVWV IRU LQWHUYLHZV DQG RU FRPPHQWV IURP QDWLRQDO RU ORFDO PHGLD VKRXOG EH UHIHUUHG LPPHGLDWHO\ WR WKH ([HFXWLYH 'LUHFWRU RI 0DUNHWLQJ %XVLQHVV 'HYHORSPHQW RU *HQHUDO &RXQVHO 1R HPSOR\HH RU EXVLQHVV SDUWQHU RI WKH &RPSDQ\ LV DXWKRUL]HG WR FRPPHQW WR DQ\ PHGLD RXWOHW ZLWKRXW VSHFLÀF SULRU DSSURYDO IURP WKH ([HFXWLYH 'LUHFWRU RI 0DUNHWLQJ %XVLQHVV 'HYHORSPHQW RU *HQHUDO &RXQVHO Necessary Licenses and Authorizations 7KH &RPSDQ\ LV FRPPLWWHG WR REWDLQLQJ DQG PDLQWDLQLQJ DOO UHTXLUHG FRUSRUDWH EXVLQHVV OLFHQVHV DQG UHTXLUHG VWDWH DXWKRUL]DWLRQV (PSOR\HHV VXE FRQVXOWDQWV DQG VXEFRQWUDFWRUV PXVW REWDLQ DQG PDLQWDLQ DOO DSSURSULDWH OLFHQVXUH RU FHUWLÀFDWLRQV UHTXLUHG IRU WKHLU MRE UHVSRQVLELOLWLHV RU FRQWUDFWV

(PSOR\HHV PD\ EH DVNHG WR REWDLQ OLFHQVHV LQ RWKHU VWDWHV WR HQKDQFH %/ &RPSDQLHV· PDUNHW SRVLWLRQ (PSOR\HHV VKRXOG PDNH HYHU\ HIIRUW WR VXSSRUW WKRVH UHTXHVWV Reporting Financial Condition and Results of Operations Fairly and Accurately 7KH &RPSDQ\ LV FRPPLWWHG WR NHHSLQJ LWV ERRNV DQG UHFRUGV LQ DFFRUGDQFH ZLWK JHQHUDOO\ DFFHSWHG DFFRXQWLQJ SULQFLSOHV JRYHUQPHQW UHJXODWRU\ UHTXLUHPHQWV DQG HVWDEOLVKHG ÀQDQFH DQG DFFRXQWLQJ SROLFLHV $OO HPSOR\HHV PXVW FRRSHUDWH ZLWK LQWHUQDO DQG H[WHUQDO DXGLWRUV GXULQJ WKHLU H[DPLQDWLRQ RI &RPSDQ\ ERRNV DQG UHFRUGV Bills for Services and Timekeeping 7KH &RPSDQ\ LV FRPPLWWHG WR DFFXUDWH DQG WLPHO\ ELOOLQJ IRU DOO VHUYLFHV SURYLGHG WR LWV FOLHQWV %/ ZLOO ELOO RQO\ IRU VHUYLFHV SURYLGHG XQGHU FRQWUDFW LQ DFFRUGDQFH ZLWK LWV ELOOLQJ SURFHGXUHV DQG SROLFLHV (PSOR\HHV PXVW QHYHU VXEPLW IDOVH LQIRUPDWLRQ RQ DQ\ ELOOV (PSOR\HHV VKRXOG FKDUJH WKHLU WLPH WR WKH SURMHFW WKH\ ZRUNHG RQ DQG PD\ QRW FKDUJH WLPH WR D SURMHFW WKH\ GLG QRW ZRUN RQ $OWHULQJ IDOVLI\LQJ WDPSHULQJ ZLWK WLPH UHFRUGV RU H[SHQVH YRXFKHUV RU UHFRUGLQJ WLPH RQ DQRWKHU HPSOR\HH·V WLPH UHFRUG ZLOO UHVXOW LQ GLVFLSOLQDU\ DFWLRQ Document Retention and Litigation Hold Procedures 'RFXPHQW UHWHQWLRQ LV FULWLFDOO\ LPSRUWDQW WR WKH &RPSDQ\·V EXVLQHVV RSHUDWLRQV $OO EXVLQHVV UHFRUGV LQFOXGLQJ GRFXPHQWV HOHFWURQLF UHFRUGV HPDLO YRLFHPDLOV

(PSOR\HH +DQGERRN %/ &RPSDQLHV

Made with FlippingBook HTML5