Sshs Nda SSB Nda PF Form Esi Termlife Form

CRIMINAL DISCLOSURE DECLARATION
Name: ______________________________________________________
Permanent Address: ___________________________________________
____________________________________________________________
____________________________________________________________
________________________________________Pin:_________________
I, ___________________ Son/Daughter/Wife of _____________________,

Current Address _______________________________________________
________________________________________Pin:_________________
do hereby solemnly declare and affirm as under:
1. Whereas that I am a citizen of India by birth and residing at above

mentioned address from _________ till date.
2. That I have never been involved in any criminal case and have not been
convicted by any court of law for any criminal acts/offences.
3. That I bear a good moral character.
4. That all documents submitted by me to support my claims of Education /

Experience / Clearances etc are authentic and are subject to verification
by the issuing authorities.
5. The above said statements given by me are true and correct to the best of
my knowledge and belief. In case, any of the above statements be found
incorrect, appropriate disciplinary / legal proceedings may be initiated
against me as per the law.
Employee Code-__________
Employee’s Signature: ____________ WITNESS SIGN 1: ______________

Name (IN CAPITAL):______________
Place: NOIDA
Date: _________________________ WITNESS SIGN 2: ______________
Statestreet HCL Services (India)Private Limited. 1

Zero Tolerance Policy (ZTP)
This policy document will apply to; without restriction and/or limitation to any previous agreements to
allemployees of Statestreet HCL Services (India) Private Limited irrespective of grade and/or role. The
document will be used as a guideline to classify the severity of non-compliance and to recommend
actions for each instance of non-compliance. However implementation of the recommended actions will
be at the discretion of the respective Centre Manager and/or the Chairperson of the Disciplinary
Action Committee who may choose to reduce, waive off or increase the severity of actions
recommended.
1. Actions, gestures, language or other communication written, verbal and non-verbal, that is, or can be
perceived to be profane, vulgar, abusive or discriminatory with regard to race, religion, culture, sex,
sexual orientation or lifestyle of a customer, employee, vendor or partner or Statestreet HCL
Services (India) Private Limited.
2. Consistent interruptions in a rude and sarcastic manner.
3. Vilifying products, affiliates and competitors.
4. Exchange of personal e-mail addresses, flirting, making dates or inappropriate conversation with
customers or other departments.
5. Coming to work intoxicated.
6. Breaking any promise made to the customer including but not limited to:
 Promising but not making a call back,
 Not keeping customer informed when it was promised or mandated as per procedure.
 Abandoning Member "on hold" (greater than five minutes).
 Refusing to escalate to a supervisor at customer's request.
7. Call Avoidance (Call means any method of communication with customer, including chat, voice,
e-mail etc.) in any form including but not limited to
 Intentionally disconnecting/avoiding the customer.
 Intentionally not answering
 Telling customers that systems are down when they are not,
 Putting the customer on hold as soon as the call begins
 Transferring the customer back into the Queue
8. Breach of Regulatory Compliance
 Actions that breach or can lead to breach of the Data Protection Act including but not limited
to incorrect/incomplete or no validation, disclosure of customer’s information to an
unauthorized third party etc.
 Non-compliance to EOI regulations/commitments.
 Breach of applicable fair trading and privacy laws
 Documentation on the customer’s account that is critical, rude, offensive or has reference to
the race, religion, sexual orientation or medical/personal history or condition of the customer
 Releasing confidential information without authorization.
 Disclosing their role as an outsource service provider to a Member.
Employee’s Signature*: _________________________________

9. Usage of Mobile Phone
 Using Mobile phone in the restricted area such as Production Floor
 Using Camera Phone in the restricted area
Zero Tolerance Policy (Guidelines)
Any instances of non adherence to any of the ZTP policy will lead to immediate referral for Disciplinary
action. All recommendations for disciplinary action must specify the source of information, the date of
violation, the clause and the action recommended.
Disciplinary action can include:
 Warning letter.
 Termination.
Severity of action will depend on:
 The nature of the breach and any breach which has a direct customer impact and/or
regulatory impact will be treated as unpardonable.
 Previous instances of the same or similar non-compliance.
 Advisor’s tenure.
I, __________________________________, S/o/D/o/W/o ______________________________, hereby

declare that I have read the above policy and understood the contents therein and assure that I will abide
by the policies mentioned herein. I also authorize the Management to take any action against me for any
non-compliance.
Employee’s Signature*: __________________________
Date: __________________________
* This is a common Policy and you may need to sign process specific policy, if any process demands. In
that case, that policy will also become a part of this policy.

AFFIDAVIT
I ………………………………………. Son\Daughter \Wife of …………………………………………. aged about ………………
Employed as ………………………………………….in Statestreet HCL Services (India) Private Limited having its
Principal place of business at ………………………do hereby solemnly and sincerely affirm and state follows:
1) I am the Employee of M\S Statestreet HCL Services (India) Private Limited, having its Registered
office at 806, Siddharth, 96, Nehru place, New Delhi 110019 (hereinafter referred to as the
company) and am dully authorized to swear to this affidavit.
2) I state that the Company is uterus, in the business of Internet & Voice Customer Care Service
(call center) Electronic Transaction Processes and other IT enabled services to cater to the
requirement of international clients.
3) I Further state that as under.
A) That the Company employs several women who are required to work between 7 pm and 10
am. On a daily basis.
B) That in compliance with Notification No.........................Date………………………. written consent

has been obtained from the employees concerned to be deployed between 7 pm. and 10am
C) That the compliance of sections 6, 7 and 9 of the Act regarding hours of work intervals of
rest and weekday holidays would be cured by the management of the Company
D) That the management would make appropriate sun t to provide one meal per day to the
employee' concerned
4) This affidavit on being sworn to for the purpose of confirming compliance with the Notification
No………………………………. dated........................
Solemnly affirmed and before me
Sincerely stated at Notary Public
* this........... day of ………20......
Employee Signature
__________________________________________________________
CONSENT FORM
Manager HR Dated: ____________________

Statestreet HCL Services (India)Privatec Limited
806, Siddharth, 96 Nehru Place
New Delhi 110019
Dear Sir / Madam,
Subject: Consent for working in night shifts in terms of notification no.
No.:-2398/ 36-3-2000-1 [Dook. Van.]/99 dated 22nd October, 2005 of Govt. of UP.
1 _______________________________________ employee code no. ________________________
working as _______________________________ in Statestreet HCL Services (India)Private Limited. At

its
establishment at ____________________________________, do hereby willingly and without any
undue influence, give my free consent to be deployed and work in night shifts on any day of the week.
Employee’s Signature*
__________________

TERMS & CONDITIONS OF EMPLOYMENT
Name of the Joinee: ____________________________________________________________
Location: _____________________________________________________________________
Date: _________________________________________________________________________
Appointment Ref. No.: ___________________________________________________________
Please read through this document carefully, sign at the end and hand this over along with your other
joining papers. This is necessary and forms part of your joining papers.
Terms & Condition’s of Employment
1. You are required to deal with the company’s money, material and documents with almost honesty and
professional ethics. If you are found guilty at any point of moral turpitude or of dishonesty in dealing
with the company’s money or material or documents or of theft or of misappropriation regardless of
the value involved your services would be terminated with immediate effect notwithstanding other
terms and conditions mentioned in this letter.
2. If during the period of your services, the management comes to the conclusion that you have
committed any misconduct, you may be dismissed from services as per the rules of the company with
immediate effect, notwithstanding anything else mentioned in this letter.
3. You are required not to engage yourself in any other gainful or commercial employment business or
activity part time or full time, directly; indirectly or simultaneously as long as you are employed with
Statestreet HCL Services (India)Private Limited Services Or engage yourself directly or indirectly in
any other profitable business connected with the dealings or activities of the company in any way.
Any action to the contrary would render your services liable for termination notwithstanding an other
conditions in this letter.
4. You are required to maintain the secrecy of, and not divulge or communicates in any manner, any
information regarding your remuneration to any other employee of the company except to your
immediate superior.
5. You appointment and its continuance is subject to your being certifies physically and mentally fit by
a quality register medical practitioner (RMP) nominated by the company. The opinion of the RMP
nominated by the company shall be final $ binding on the parties.
ACCEPTED BY
Employee Name: ____________________________________________________________

Employee’s Signature: ________________________________________________________
Date: ______________________________________________________________________

TO WHOM SO EVER IN MAY CONCERN
E-Mail Policy:
I have read and understood my company’s E-Mail policy. I fully understand the terms of this policy and
agree to abide by them. I realize that the company’s security software may scan and record for
management use all mails I send or receive. I know that any violation of this policy could lead to dismissal
or even criminal prosecution.”
Internet Policy:
I have read and understood my company’s Internet usage policy. I fully understand the terms of this policy
and agree to abide by them. I realize that the company’s security software may record for management
use the Internet address of any site that I visit and keep a record of any network activity in which I transmit
or receive any kind of file. I acknowledge that any message I send or receive will be recorded and stored
in an archive file for management use. I know that any violation of this policy could lead to dismissal or
even criminal prosecution.
Employee Name: _________________________________
Employee Code: __________________________________

NETWORK USAGE POLICY
All the members of Statestreet HCL Services (India)Private Limited are responsible for maintaining a
work environment that promotes respect for all the people. Standards are created not to restrict the
freedom or productivity of any individual, but to protect the many privileges enjoyed by the members.
Statestreet HCL Services (India)Private Limited. is responsible for securing its network and computing
system in a reasonable and economically feasible degree against unauthorized access and/or abuse,
while making them accessible for authorized and legitimate users. This responsibility includes informing
users of expected standards of conduct and the punitive measures for not adhering to them. Any attempt
to violate the provisions of this policy will result in disciplinary action in the form of temporary
revocation of users account, regardless of the success or failure of the attempt. Permanent revocation can
result from disciplinary actions taken by a panel judiciary board called upon to investigate network
abuses. The users of the network are responsible for respecting and adhering to national and
international laws. Any attempt to break those laws through the use of the network may result in
litigation against the offender by the proper authorities. If such an event occurs, Statestreet HCL
Services (India)Private Limite Services will fully comply with the authorities to provide any information
necessary for the litigation process.
Section1 General Computing Policy
Once a user receives a user ID to be used to access the network and computer systems on that network,
they are solely responsible for all actions taken while using that user ID. Therefore:
1.1 Sharing your user ID with any other person is prohibited. In a result that you do share ID with
other person, you will be solely responsible for the actions that the other person appropriated.
1.2 Deletion, examination, copying, or modification of files and/or date belonging to other users without
their prior consent is prohibited.
1.3 Attempts to evade or change resources quota are prohibited.
1.4 Continued impedance of other users through mass consumption of system resources, after receipt of
a request to cease such activity, is prohibited
1.5 Use of facilities and/or services for personal communication purposes is prohibited.
1.6 Any unauthorized, deliberate action, which damages or disrupts a computing system, alters its
normal performance, or causes it to malfunction, is a violation regardless of system location or time
duration
1.7 Making copies of any software without authorization, is prohibited
Section 2 Network Security Policy
As a user of the network, you may be allowed to access other networks. Therefore:
3.1 Use of system and/or networks in attempt to gain unauthorized access to remote system is
prohibited.
3.2 Use of system and/or networks to connect to other system in evasion of the physical limitations of
the remote system/local is prohibited.
3.3 Decryption of system or users passwords is prohibited.
3.4 The copying of system files is prohibited.
3.5 The copying of copyrighted materials, such as third-party software, without the express written
permission of the owner or the proper license, is prohibited.
3.6 International attempts to “crash” Network system or programs are punishable disciplinary offenses.
3.7 Any attempt to secure a higher level of privilege on Network systems are punishable disciplinary
offenses.
3.8 The willful introduction of computer “viruses” or other disruptive/destructive programs into the
organization network or into external networks is prohibitive.

3.9 To bring in external software and loading it onto organization network, without proper approval is
prohibited.
3.10 Deliberate misuse of any communication equipments is a punishable offense. This includes and is
not limited to the use of voicemail, email, photocopiers, fax machines and headsets.
Section 3 Internet Usage Policy

Whenever you access Internet, your user ID is logged in the proxy server of Statestreet HCL Services
–Indiai Private Limited You are responsible for all transmission and access requests originating from your
user ID. Therefore:
4.1 Using internet access provided through Statestreet HCL Services (India)Private Limited.. for
personal commercial gain and recreation (such as game playing and sports) is prohibited.
4.2 Transmission of confidential information outside or inside of Statestreet HCL Services
(India)Private Limited. to Unauthorized personnel is prohibited.
4.3 Inappropriate and unprofessional behavior on-line such as use of threats, intimidations or “flaming”
is offense.
4.4 Sending jokes, cartoons, images that may be offending / sensitive to a particular religion/sect/faith is
Strictly prohibited and may even result in termination.
4.5 Viewing, downloading or transmission of pornographic material is a punishable disciplinary offense.
4.6 Consumption of internet resources for non-business related activities (such as video, audio or down
Loading large files) is not approved
Please read the policy carefully and confirm that you have read and understood the policy and will abide
by the policy
Employee’s Signature* ____________________________
Employee Name: ____________________________
Employee Code: _____________________________
Date: _____________________________

CONFIDENTIALITY UNDERTAKING
This has reference to my appointment letter dated __________________________ whereby I have been
appointed as __________________________________ on the terms and conditions stipulated there under
and which I have duly signed in my acceptance of the same.
I recognize that as per terms of my appointment, I have been employed in a position of trust and confidence
with the company and am required to protect confidential information relating to the Company’s business.
I therefore agree to the following:
1) TREATMENT OF CONFIDENTIAL INFORMATION
a) I shall never, directly or indirectly disclose, transfer or use any confidential information as such
term is defined in Section (b) below, except with the prior written consent of the Company or
except when I am acting solely for the benefit of the Company in connection with the Company’s
business.
b) If I am required to disclose confidential information pursuant to a valid and existing order of a

court or other Governmental body, I must give prompt notice to the Company of any such potential
disclosure and allow the Company a reasonable opportunity to limit such disclosure.
2) DEFINITION OF CONFIDENTIAL INFORMATION
“Confidential Information” shall include all:

a) Production processes, marketing techniques and arrangements, mailing lists, purchasing
information, pricing policies, quoting procedure, financial information, customer and prospect
names and requirements, employee, customer, supplier and distributor data, price lists and other
material or information relating to the Company’s business and activities and the manner in which
the Company does business:
b) Computer software whether now or hereafter existing, developed for use of any operating system
or machine, all modifications, enhancements, and versions and all options available with respect
thereto, and all future products developed or derived there from.
c) Source and object code, flowcharts, algorithms, coding sheets, routines, sub-routines, compilers,
assemblers, design concepts and related documentation and manuals.
d) Discoveries, concepts and ideas including, without limitation, the nature and results of research
and development activities, processes, formulas, inventions, computer-related equipment or
technology, techniques, “know-how”, designs, drawings and specifications.
e) All other materials or information related to the business or activities of the Company, which are
not generally known to others engaged in similar businesses or activities.
f) All ideas which are derived from or related to my access to or knowledge of any of the enumerated
materials and information, and
g) All information about or belonging to suppliers and clients of, and all parties to any agreement
with, the Company which would be confidential information pursuant to the above definition if
such other parties were in the position of the Company.
The absence of any marking or statement that particular information is Confidential Information shall
not affect its status as Confidential Information.

3) OWNERSHIP OF CONFIDENTIAL INFORMATION
a) All rights, title and interest in all Confidential Information shall be and remain the exclusive
property of the Company all Confidential Information developed in whole or in part by me during
my assignment, with the Company, to assign to the Company all right, title and interest I may have
in such Confidential Information and to execute any instruments and to do all other things
reasonably requested by the Company both during and after my tenure with Company in order to
vest more fully in the Company all ownership rights in Confidential Information transferred by me
to the Company. Notwithstanding the foregoing obligations, I need not assign any right to any
invention for which no equipment supplies, facility or Confidential Information of the supplies,
facilities, or Confidential Information of the Company was used, and which invention was
developed entirely on my own time, and which invention does not relate to the Company’s business
or actual or demonstrably anticipated research and development, or result from, any work
performed by me for the Company.
b) If any or more of the item described above are protect able by copyright and are deemed in any
way to fall with the definition of “work made for hire”, the copyright of which shall be owned
solely, completely and exclusively by the Company. If any one or more of the aforementioned
items are protect able by categories of work covered by the “work made for hire” definition
contained in 17 U.S.C.S. 101, such items shall be deemed to be assigned and transferred
completely & exclusively to the Company by virtue of the execution of this Undertaking.
4) MATERIALS
All notes, data, tapes, reference items, sketches, drawings, memoranda, records and other materials in
any way relating to Confidential Information or otherwise to the Company’s business shall belong
exclusively to the Company, and I shall return to the Company all copies of such materials in my
possession or under my control at the request of the Company or, in the absence of such a request,
upon the termination of my services with the Company. This section will be enforceable against my
heirs successors and assigns.
5) NO CONFLICTING AGREEMENT
I represent that my performance of all the terms of this Undertaking and any services to be rendered
as an employee of the Company do not and shall not breach any fiduciary or other duty or any covenant
agreement or understanding including, without limitation any agreement relating to any proprietary
information, knowledge of data acquired by me in confidence, trust, or otherwise, prior to my contract
by the Company to which I am a party or by the terms of which I may be bound. I covenant and agree
that I shall not disclose to the Company, or induce the Company to use, any such proprietary
information, knowledge or data belonging to any previous employer or others and that I will disclose
to the Company the terms and subject to any prior confidentiality or invention, agreement or
agreements I have entered into. I further covenant and agree not to enter into any agreement or
understanding either written or oral, in conflict with the provisions or this Undertaking.

6) HUMAN RESOURCE
I understand that the Company values its employees and requires fair protection from the loss of its
employees. From the date of termination of my services for any reason whatsoever, and ending two
years thereafter, I shall not directly or indirectly induce any individual who shall have been an
employee of the Company, and at any time during the one year period prior to the termination of this
contract, to leave the Company’s employment.
7) REASONABLENESS OF RESTRICTIONS
I have carefully read and considered the contents of the Undertaking and having done so, acknowledge
that the restrictions set forth are fair and reasonable and are reasonably required for the protection of
the interest of the Company and its business, officers, directors and the employees?. I further
acknowledge that the restrictions set for during this Undertaking shall not impair my ability to secure
employment upon completion of this contractual assignment within the fields of my choice including
without limitation, those areas I am to be or have been engaged by the Company.

UNDERTAKING
As a condition and consideration of my employment or association with Statestreet HCL Services

(India)Private Limited. its subsidiaries, affiliates, successors and assigns (together the “Company”), in a
responsible position and my receipt of the compensation now and hereafter paid to me by the Company,
I hereby agree to the following:
1. Confidential Information:
a. Company Information. I confirm that protection of the Company's Confidential Information and
goodwill is of utmost necessity and that I agree that I shall not, directly or indirectly, except where
authorized by the competent authority of the Company for the benefit of the Company at any time
divulge, communicate or disclose to any persons, firms, corporations, companies, governmental
entities or agencies or any other entities, other than the Company ("Third Parties"), or use or cause
or authorize any Third Parties to use except for the benefit of the Company, any such Confidential
Information, or any other information which I know or should know by virtue of being the
employee of the Company, whether or not any of the foregoing information is actually novel or
unique, except as otherwise required by law,
b. Former employer Information. I agree that I will not, during my employment or association with
the Company, improperly use or disclose any proprietary information or trade secrets of any former
employer or Third Parties and that I will not bring into the premises of the Company any
unpublished document or proprietary information belonging to any such employer or Third Parties
unless consented to in writing by such employer or Third Parties.
c. Third Party Information. I recognize that the Company has received and in the future will receive
from Third Parties, which may or may not be the customers or prospective customers of the
Company, their confidential or proprietary information subject to a duty on the Company’s part to
maintain the confidentiality of such information and use it only for certain limited purposes. I agree
to hold all such confidential or proprietary information in the strictest confidence and not to
disclose it to any person, firm or corporation or to use it except as necessary in carrying out my
work for the Company in conformity with the Company’s agreement with such Third Party.
d. Employee Has and Shall Receive Confidential Information. I acknowledge that I have been
provided with information about the Company during the term of my employment or association
with the Company (including any renewals or extensions) and my employment or association will
continue to bring me into close contact with confidential affairs of the Company. Thus, I
acknowledge that by reason of my employment or association with the Company, I will acquire
Confidential Information.
e. Employee Acknowledges Importance of Confidential Information. I acknowledge that all

Confidential Information is of great value to Company, and essential to preservation of the
business and the goodwill of the Company.
f. Employee's Services Special and Unique. I recognize the duties and services to be performed by
myself, as an employee or associate of the Company, are special, extraordinary and unique, and
intellectual in nature.

a. “Confidential Information” shall include all:
1. Production processes, marketing techniques and arrangements, mailing lists, purchasing

information, pricing policies, quoting procedure, financial information, funding information,
customer and prospect names and requirements, employee, customer, agents, supplier and
distributor data, business strategies, plans, assets, liabilities, revenues, profits price lists and
other material or information relating to the Company’s business and the manner in which the
Company carries out its business:
2. Computer software whether now or hereafter existing, developed for use of any operating
system or machine, all modifications, enhancements, and versions and all options available
with respect thereto, and all future products developed or derived there from.
3. Source and object code, flowcharts, algorithms, coding sheets, routines, sub-routines,
compilers, assemblers, design concepts and related documentation and manuals.
4. Discoveries, concepts and ideas including, without limitation, the nature and results of research
and development activities, processes, formulas, products, patents, inventions, computer-
related equipment or technology, techniques, "know-how”, designs, drawings and
specifications, procedures, methods, designs, strategies and any other information required for
carrying out the business of the Company. These shall also include any information about the
customers and clients of the Company.
5. All other materials or information related to the business or activities of the Company, which
are not generally known to others engaged in similar businesses or activities.
6. All ideas which are derived from or related to my access to or knowledge of any of the
enumerated materials and information, and
7. All information about or belonging to suppliers and clients of, and all parties to any agreement
with, the Company which would be confidential information pursuant to the above definition
if such other parties were in the position of the Company.
8. The markets, customers, prospective customers (whom Company has contacted, made sales
presentations, provided bids, or otherwise specifically solicited during the Term hereof),
suppliers, vendors and employees of the Company, records of transactions, and other
information concerning the business of Company. Such customers or prospects shall include,
but not limited to customers of the Company on whom I called or with whom I became
acquainted while being associated with the Company.
9. The absence of any marking or statement that particular information is Confidential

Information shall not affect its status as Confidential Information.
I understand that “Confidential Information” for this purpose shall mean and include all
information, regardless of the form and whether oral, written, stored in a computer database or
otherwise, which has been disclosed by the Company or any of its employees or promoters to
myself. I understand that Confidential Information does not include any of the foregoing items,
which has become publicly known and made generally available through no wrongful act of

mine or of others who were under confidentiality obligations as to the item or items involved. I
hereby accept the responsibility for maintaining the secrecy and confidentiality of such
Information and all portions thereof during the term of my employment or association with the
Company and for a period of eighteen (18) months thereafter following the termination of my
employment or cessation of my association with the Company and recognize without any
objection or protest the unequivocal right of the Company to ascertain from my employers of any
breach or threatened breach by me of this undertaking.
h) Ownership Of Confidential Information
1. All rights, title and interest in all Confidential Information shall be and remain the exclusive
property of the Company including all Confidential Information developed in whole or in part
by me during my assignment with the Company, I agree and shall assign to the Company all
right, title and interest I may have in such Confidential Information and to execute any
instruments and to do all other things reasonably requested by the Company both during both
during and after my tenure with Company in order to vest more fully in the Company all
ownership rights in Confidential Information transferred by me to the Company.
2. If any one or more of the items described above are protected under the copyright laws and
international copyright treaty and are deemed in any way to fall with the definition of “work
made for hire”, the copyright of which shall be owned solely, completely and exclusively by
the Company. If any one or more of the aforementioned items are protected by categories of
work covered by the “work made for hire” definition contained under any relevant law of any
nation or jurisdiction, such items shall be deemed to be assigned and transferred completely
and exclusively to the Company by virtue of the execution of this Agreement.
i) Materials. All notes, data, tapes, reference items, sketches, drawings, memoranda, records and
other materials in any way relating to Confidential Information or otherwise to the Company’s
business shall belong exclusively to the Company, and I shall return to the Company all copies of
such materials in my possession or under my control at the request of the Company or, in the
absence of such a request, upon the termination of my employment or cessation of my association
with the Company. This section will be enforceable against my heirs, successors and assigns.
2. Proprietary Information.
a) Return of Proprietary Information. Upon termination of my employment or cessation of my

association with the Company, for any reason, I shall immediately turn over to the Company any
"proprietary information," as defined below. I shall have no right to retain any copies of any
material qualifying as "proprietary information" for any reason whatsoever after termination of my
employment or cessation of my association with the Company, without the express written consent
of the Company.
b) Non-Disclosure. It is understood and agreed that, in the course of my employment hereunder and
through my activities for and on behalf of the Company, I will receive, deal with and have access
to the Company's "proprietary information" and I hold the Company's "proprietary information"
in trust and confidence for the Company. I agree that I shall not, during the term of this Agreement
or thereafter, in any fashion, form or manner, directly or indirectly, retain, make copies of, divulge,
disclose or communicate to any person, in any manner whatsoever, except
Statestreet HCL Services (India)Private Limited.. 14

when necessary or required in the normal course of my employment hereunder and for the benefit
of the Company or with the express written consent of the Company, any of the Company's
"proprietary information" or any information of any kind, nature or description whatsoever
concerning any matters affecting or relating to the Company's business.
c) Proprietary Information Defined. For purposes of this Agreement, "proprietary information"

means and includes the following: the identity of clients or customers or potential clients or
customers of the Company; any written, typed or printed lists or other materials identifying the
clients or customers of the Company; any financial or other information supplied by clients or
customers of the Company; any and all data or information involving the techniques, programs,
methods or contacts employed by the Company in the conduct of its business; any lists, documents,
manuals, records, forms, or other material used by the Company in the conduct of its business; any
descriptive materials describing the methods and procedures employed by the Company in the
conduct of its business; and any other secret or confidential information concerning the Company's
business or affairs. The terms "list" and "document" (or their equivalent) as used in this Section
are not limited to a physical writing or compilation but also include any and all information
whatsoever regarding the subject matter of the "list" or "document," whether or not such
compilation has been reduced to writing
3. Inventions.
a) Inventions Retained and Licensed. I have attached hereto, as Exhibit A, a list describing all
inventions, original works of authorship, developments, improvements, and trade secrets which
were made by me prior to my employment with the Company (collectively referred to as “Prior
Inventions”), which belong to me, which relate to the Company’s proposed business, products or
research and development, and which are not assigned to the Company hereunder, or, if no such
list is attached, I represent that there are no such Prior Inventions. If in the course of my
employment or association with the Company, I incorporate into a Company product, process or
machine a Prior Invention owned by me or in which I have an interest, the Company is hereby
granted and shall have a nonexclusive, royalty-free, irrevocable, perpetual, worldwide license to
make, have made, modify, use and sell such Prior Invention as part of or in connection with such
product, process or machine.
b) Assignment of Inventions Any and all inventions, products, designs, discoveries, literary works,
art works and work product of any nature (collectively, the "Inventions"), whether or not can be
patented or copyrightable, which I have conceived and/or made during my employment or
association with the Company, whether or not during working hours, and which have or may have
any applicability to any aspect of the business of the Company, shall be the sole and exclusive
property of the Company, and by the execution hereof, I hereby irrevocably assign, transfer and
convey to the Company all of my right, title and interest in and to all Inventions, which may be
developed during my employment or association with the Company (solely or jointly with others).
I shall inform the Company of any Inventions promptly after it has been conceived and/or made
in the detail necessary to permit the Company to understand the same and practice them without
the exercise of further inventive skill. When required to do so by the Company, I shall execute any
and all documents necessary to desirable to convey title in any copyright or patent applications
covering any of such Inventions in India or in foreign countries. However, the failure on my part
to so execute any such documents shall in no way be deemed to affect the assignment, transfer and
conveyance of such Inventions to the Company hereby.

c) Maintenance of Records. I agree to keep and maintain adequate and current written records of all
Inventions made by me (solely or jointly with others) during the terms of my employment with the
Company. The records will be in the form of notes, sketches, drawings, and any other format that
may be specified by the Company. The records will be available to and remain the sole property
of the Company at all times.
d) Patent and Copyright Registrations. I agree to assist the Company, or its designee, at the
Company’s expense, in every proper way to secure the Company’s rights in the Inventions and
any copyrights, patents, mask work rights or other intellectual property rights relating thereto in
any and all countries, including the disclosure to the Company of all pertinent information and
data with respect thereto, the execution of all applications, specifications, oaths, assignments and
all other instruments which the Company shall deem necessary in order to apply for and obtain
such rights and in order to assign and convey to the Company and its nominees the sole and
exclusive rights, the title and interest in and to such Inventions, and any copy rights, patents, mask
work rights or other intellectual property rights relating thereto. I further agree that my obligation
to execute or cause to be executed, when it is in my power to do so, any such instrument or papers
shall continue after the termination of my employment or cessation of my association with the
Company. If the Company is unable, because of my mental or physical incapacity or for any other
reason, to secure my signature to apply for or to pursue any application for any Indian or foreign
patents or copyright registrations covering Inventions or original works of authorship assigned to
the Company as above, then I hereby irrevocably designate and appoint the Company and its duly
authorized officers and agents as my agent and attorney in fact, to act for and in my behalf and
stead to execute and file any such applications and to do all other lawfully permitted acts to further
the prosecution and issuance of letters patent or copyright registrations thereon with the same legal
force and effect as if executed by me.
4. Non-Competition. I agree that, during the term of my employment or association with the Company,
I will not engage in any other employment, occupation, consulting or other business activity with any
Third Parties, directly related to the business in which the Company is now involved or becomes
involved during the term of my employment, nor will I engage in any other activities that conflict with
my obligations to the Company. I also agree that after the termination of my employment or cessation
of my association with the Company for any reason whatsoever, I shall not undertake any employment
or enter into any kind of association with any Third Parties for a period of eighteen (18) months in
India or any place outside India where I was posted by the Company in the last eighteen (18) months
prior to the termination of my employment or cessation of my association with the Company, where
such Third Parties are in competitive business with the Company and whereby to carry out my
functions with such Third Parties I may be obliged to use any of the Confidential Information,
Proprietary Information, Inventions belonging to the Company or Third Party Information made
available to the Company. I further agree that I shall abide by the provisions of Exhibit B as and where
applicable to myself. I understand that if I violate the above undertaking then I shall be liable for
suitable damages, which will be decided at the discretion of the Company after taking into
consideration the nature and extent of the violation. I acknowledge that the Confidential Information,
Proprietary Information or Inventions constitute one of Company’s main strengths, and that the
Company has a legitimate interest in including a non-competition clause in this Agreement. I also
agree that if any of the provisions of this Agreement is violated or likely to be violated then the
Company shall also be entitled to move for injunction against me before a competent court.

5. Returning Company Documents. I agree that, at the time of leaving the employment or on the cessation
of my association with the Company, I will deliver to the Company (and will not keep in my
possession, recreate or deliver to anyone else) any and all Confidential Information, Proprietary
Information or Inventions or reproductions of any aforementioned items developed by me pursuant to
my employment or association with the Company or otherwise belonging to the Company.
6. Notification to New Employer. In the event that I leave the employment or if my association with the
Company ceases, I hereby grant consent to notification by the Company to my new employer about
my rights and obligations under this undertaking.
7. Solicitation of Employees For a period of eighteen (18) months after termination of my employment
or cessation of my association with the Company for any reason whatsoever, I shall not, solicit or
cause or authorize directly or indirectly to be solicited for employment, or cause or authorize directly
or indirectly to be employed on my own behalf or on behalf of any Third Parties, any person who is
an employee of the Company. I also agree not to use or disclose to any Third Parties any information
obtained by myself while being an employee of the Company concerning the names and addresses of
the Company's past and present employees.
8. Solicitation of Customers. I agree that during the term of my employment or association with the
Company and for a period of eighteen (18) months thereafter, I shall not solicit or cause or authorize
directly or indirectly to be solicited, or accept or cause or authorize directly or indirectly to be accepted,
for or on behalf of myself or Third Parties, any business from any Third Parties who are, at any time
within eighteen (18) months prior to termination of my employment or cessation of my association,
customers or prospects of the Company.
9. Solicitation of Business Partners. I agree that during the term of my employment or association with
the Company and for a period of eighteen (18) months thereafter, I shall not solicit or authorize directly
or indirectly to be solicited for or on behalf of myself or any Third Parties any of the Principals,
Distributors, Agents, Re-sellers, Joint Venture Partners, Dealers, any major Suppliers or any business
partners of the Company, who have at any time within eighteen (18) months prior to the termination
of my employment or cessation of my association have a relationship with the Company, to
disassociate or modify their relationship with the Company to my benefit or to the benefit of any
Third Parties. This shall include any of the parties with whom the Company made substantial progress
in negotiating any relationship in the nature described above.
10. Representations. I agree to execute any proper oath or verify any proper document required to carry
out the terms of this Agreement. I represent that my performance of all the terms of this Agreement
will not breach any agreement to keep in confidence proprietary information acquired by me in
confidence or in trust prior to my employment or association with the Company. I have not entered
into, and I agree I will not enter into, any oral or written agreement in conflict herewith.
11. General Provisions.
a. Governing Law: Consent to Personal Jurisdiction. The laws of the Republic of India shall govern
this Agreement. I hereby expressly consent to the jurisdiction of such competent courts in India
for any lawsuit filed there against me by the Company arising from or relating to this Agreement.

b. Entire Agreement This Agreement and my employment agreement with the Company set forth the
entire agreement and understanding between the Company and me relating to the subject matter
herein and merge all prior agreements and discussions between us. No modification of or
amendment to this Agreement, nor any waiver of any rights under this agreement, will be effective
unless in writing signed by the party to be charged. Any subsequent change or changes in my
duties, salary or compensation will not affect the validity or scope of this Agreement.
c. Severe ability. If one or more of the provisions in this Agreement are deemed void by law, then
the remaining provisions will continue in full force and effect.
Dated: _________________
__________________________
Employee’s Name*
__________________________
Employee’s Signature*
Witness Name*: _______________________
Witness Signature*: _______________________

EXHIBIT A
LIST OF PRIOR INVENTIONS AND ORIGINAL WORKS OF AUTHORSHIP
Title Date Identifying Number or Brief

Description
_________________________ No. of inventions or improvements
_________________________ Additional Sheets attached
Employee’s Signature*: ___________________________________
Name of Employee: ___________________________________
Date: ___________________________________

EXHIBIT B
The following are the activities, as applicable, the Employee has agreed not to do after the termination of
his employment or cessation of his association with the Company. These are not exhaustive in nature and
are in addition to the obligations he has already undertaken in the Agreement:
1. Shall not during the term of his employment or association with the Company and for a period of
eighteen (18) months thereafter, solicit or cause or authorize directly or indirectly to be solicited,
or accept or cause or authorize directly or indirectly to be accepted, for or on behalf of himself or
any Third Parties any project on which he had worked for any customer(s) of the Company in a
period of eighteen (18) months prior to the termination of his employment or cessation of his
association with the Company. He shall also not work on any project(s) similar to any project(s),
he is or was working for any customer(s) of the Company for a period of eighteen (18) months
prior to the termination of his employment or cessation of his association with the Company, for
any competitor(s) of the said customer(s) of the Company during the term of his employment or
association with the Company and for a period of eighteen (18) months thereafter.
2. Cannot make use of any exclusive project related technology applied by the Company and about,
which he came to know during his employment or association with the Company.
3. Cannot work on similar project(s), for and on behalf of any Third Parties, which he is or was
working on for a period of eighteen (18) months prior to the termination of his employment or
cessation of his association with the Company, using non-generic (specific methodology,
techniques etc.) skills acquired during his employment or association with the Company.
4. Cannot use or divulge any proprietary or confidential tool, technology, methods, processes, project
methodology of the Company as well as that of any of the clients or customers of the Company
for which he worked or came into contact during his employment or association with the Company.
5. Cannot prospect with customers visited as the Company sales employee for a period up to 18
months from cessation of service. Cannot also make sales calls to any prospect in the concerned
region of the geography of the Company for a period of 18 months from cessation of service.
6. Cannot join the sales department of such Third Parties who are or were customers of the Company
for eighteen (18) months prior from the date of the termination of his employment or cessation of
his association with the Company and with which he was dealing with directly as the contact
person for the Company.
7. Cannot divulge to any Third Parties about the sales revenues of the Company from its customers
in India or any place outside India where he was posted by the Company in the last eighteen (18)
months prior to the termination of his employment or cessation of his association with the
Company or the sales revenue of any other territory if he came to know about the same because of
his employment or association with the Company.

8. Cannot divulge or use or share with any Third Parties the sales and marketing strategy and
competition, sales plans, account plans, strategies, documents and presentations and any related
information about the Company, which are in the nature of proprietary information of the
Company and, which he came to know about because of his employment or association with the
Company, for his own benefit or for the benefit of any Third Parties for eighteen (18) months prior
to the termination of his employment or cessation of his association with the Company.
Cannot divulge or use, utilize, divulge or share with any Third Parties any information, facts, information,
documents and any related information about the Company, which are in the nature of proprietary
information of the Company or otherwise and, which he came to know about because of his employment
or association with the Company, for his own benefit or for the benefit of any Third Parties for eighteen
(18) months prior to the termination of his employment or cessation of his association with the Company.
Employee’s Signature*: _____________________
Date: _____________________

Information Security Policy
Policy Statement Employee Name: ____________________
Statestreet HCL Services (India)Private Limited will protect all its stakeholder’s interests by
ensuring confidentiality, integrity and continuous availability of information systems under its
governance.
Purpose
The purpose of Information Security Management is to protect the company’s information and supporting
infrastructure. This includes information assets critical to the operation of the business, external
information i.e. Information assets belonging to customers, suppliers and business partners in
the operation of Statestreet HCL Services (India)Private Limited
The implementation of this policy is a testimony of Statestreet HCL Services (India)Private Limited
continual commitment to maintain and improve the organisation’s Information Security initiatives and
provide confidence to business partners in the conduct of business with Statestreet HCL Services
(India)Private Limited . It is the policy of Statestreet HCL Services (India)Private Limited
- To preserve Confidentiality
That is to protect Information Assets against unauthorized disclosure.
- To maintain Integrity
That is to protect Information Assets from unauthorised or accidental modification ensuring the
accuracy and completeness of the organization’s assets.
- To ensure Availability
That is, ensure that Information Assets are available as and when required adhering to the
organisation’s business objectives. Availability also includes protecting from destruction that is,
ensuring to the maximum extent possible that Information Assets are available upon extreme
disasters.
Scope
The policy extends to all functions and activities of the company. All Information assets belonging to the
Company and/or the Client and in possession or custody of the Company’s employees, representatives,
suppliers, service providers and their personnel are part of the Scope.
Goals
To identify through appropriate risk assessment, the degree of protection of information assets, the
preparedness against threats, to understand their vulnerabilities and the threats that may expose them to
risk.
To manage and minimise the risks to an acceptable level through the design, implementation and
maintenance of a formal Information Security Management System (ISMS)

To comply with Legislation including:
1. IT Act, India 2000

2. To comply with Contractual conditions that lay down the requirements for information security
3. Commitment to be in compliance with Statestreet HCL Services (India)Private Limited ISMS
practices such as BS7799-2: 2002 or ISO 27001
4. Commitment to achieve and maintain certification of Statestreet HCL Services (India)Private Limited
5. Commitment to achieve continual improvement in Controls implemented with adhering to the best
practices as per Statestreet HCL Services (India)Private Limited ISMS identified standards and/or
vendor standards/practices wherever applicable.
Methodology
A systematic “Plan - Do - Check - Act” approach is followed to build, assesses, review and maintain
the Information Security Management Systems.
Specific policies / practices exist to support the methodology, they include mandatory requirements to
ISMS practices, and a combination of policies both at the corporate level and centre level policies, some
of which are referred (not exhaustive):
1. HR Manual
2. Quality Manual
3. Administration Manual
4. Non Disclosure Agreement with all employees & business partners
5. IT Manual (Computer Usage Policy, Access Control Policy, Configuration Policy)
6. Incident Management and Reporting System (All these should be in place and uploaded on the
intranet).
Responsibilities
The Steering Committee creates and reviews this policy.
The Information Security Manager facilitates the implementation of this policy through the appropriate
policies and practices. The Information Security Manager is assisted by the Implementation Team to carry
out activities related to ISMS and the Audit Team to ensure compliance.
The BCP Manager formulates and facilitates the implementation of the BCP through appropriate tests and
drills, supported by representatives from Operations, Information Technology (System Administration),
and Administration departments.
The constitution of the Steering Committee, Implementation team and Audit team is represented by all
the organisational processes / functions / divisions and is enlisted in an Addendum
IT team responds to security incidents related to IT and maintains system and network operations and
communication. Team controls access to networks, systems and applications and strictly adhere to
security policy as they are provided with high privileges.
Every individual has responsibility to comply with the security policy and procedures that are defined as
part of Information Security Management System.

Disciplinary Action
Any deliberate attempt to jeopardise the information assets or the supporting infrastructure will be subject
to disciplinary action.
Summary
All the members ofStatestreet HCL Services (India)Private Limited are responsible for maintaining a
work environment that promotes respect for all the people. Standards are created not to restrict the
freedom or productivity of any individual, but to protect the many privileges enjoyed by the members.
Statestreet HCL Services (India)Private LimitedServices is responsible for securing its network and
computing system in a reasonable and economically feasible degree against unauthorized access and/or
abuse, while making them accessible for authorized and legitimate users. This responsibility includes
informing users of expected standards of conduct and the punitive measures for not adhering to them.
Any attempt to violate the provisions will result in disciplinary action in the form of temporary
revocation of users account, regardless of the success or failure of the attempt.
Permanent revocation can result from disciplinary actions taken by panel judiciary board called upon to
investigate network abuses. The users of the network are responsible for respecting and adhering to
national and international laws. Any attempt to break those laws through the use of the network may
result in litigation against the offender by the proper authorities. If such an event occurs, Statestreet HCL
Services (India)Private Limited Services will fully comply with the authorities to provide any
information necessary for the litigation process.
Some of the Information security policies are as follows:-
General Computing Policy

Once a user receives a user ID to be used to access the network and computer systems on that
network, they are solely responsible for all actions taken while using that user ID. Therefore:
i. Sharing your user ID with any other person is prohibited. In a result that you do share ID with
other person, you will be solely responsible for the actions that the other person appropriates.
ii. Deletion, examination, copying, or modification of files and/or date belonging to other users
without their prior consent is prohibited.
iii. Attempts to evade or change resources quota are prohibited.
iv. Continued impedance of other users through mass consumption of system resources, after receipt
of a request to cease such activity, is prohibited.
v. Use of facilities and/or services for personal communication purposes is prohibited.
vi. Any unauthorized, deliberate action, which damages or disrupts a computing system, alters its
normal performance, or causes it to malfunction, is a violation regardless of system location or
time duration.
vii. Making copies of any software without authorization is prohibited.

Network Security Policy
As a user of the network, you may be allowed to access other networks (and/or the company systems
attached to those networks). Therefore:
i. Use of system and/or networks in attempt to gain unauthorized access to remote system is
prohibited.
ii. Use of system and/or networks to connect to other system, in evasion of the physical limitations
of the remote system/local, is prohibited.
iii. Decryption of system or users passwords is prohibited.
iv. The copying of system files is prohibited.
v. The copying of copyrighted materials, such as third-party software, without the express written
permission of the owner or the proper license is prohibited.
vi. Intentional attempts to “crash” Network system or programs are punishable disciplinary offenses.
vii. Any attempt to acquire a higher level of privilege on Network systems is punishable disciplinary
offenses.
viii. The willful introduction of computer “viruses” or other disruptive/destructive programs into the
organization network or into external networks is prohibited.
ix. To bring in external software and loading it onto organization network, without proper approval is
prohibited.
x. Deliberate misuse of any communication equipments is a punishable offense. This includes and is
not limited to the use of voicemail, email, and photocopiers, fax machines and headsets.
Internet Usage Policy
Whenever you access Internet, your user ID is logged in the proxy server of Statestreet HCL
Services (India)Private Limited. You are responsible for all transmission and access requests
originating from your user ID. Therefore:
i. Using internet access provided through Statestreet HCL Services (India)Private Limited for
personal commercial gain and recreation (such as game playing and sports) is prohibited.
ii. Transmission of confidential information outside or inside of Statestreet HCL Services
(India)Private Limited Services to unauthorized personnel is prohibited.
iii. Inappropriate and unprofessional behavior on-line such as use of threats, intimidations or
“flaming” is offense.
iv. Sending jokes, cartoons, images that may be offending/ sensitive to a particular religion/sect/faith
is strictly prohibited and may even result in termination.
v. Viewing, downloading or transmission of pornographic material is a punishable disciplinary
offense.
vi. Consumption of internet resources for non-business related activities (such as video, audio or down
loading large files) is not approved.
vii. Company’s security software may record for management use the Internet address of any site that
an employee visits and keep a record of any network activity in which an employee transmits or
receives any kind of file.

Electronic Mail Policy
All messages generated on or handled by electronic communication systems, including back-up copies,
are considered to be the property of Statestreet HCL Services (India)Private LimitedServices, which
should be used for official purposes. Following aspects are covered in the email policy:
i. Only employees and other persons duly authorized by the appropriate Statestreet HCL Services
(India)Private Limited Services authority will be permitted to use Statestreet HCL Services
(India)Private Limited Services electronic mail systems and resources.
ii. The use of Statestreet HCL Services (India)Private Limited electronic mail system must be
related to business needs.
iii. All authorized users will be provided with a unique user-identification (user-id.). The system
admin at all centers and offices will administer the e-mail system with appropriate settings of the
mailbox size, maximum size of out-going attachment etc.
iv. All Emails between the Statestreet HCL Services (India)Private Limited Services center passes
through the private network or VPN, the mails between Statestreet HCL Services (India)Private
v. Limited servers are secured.
For management purposes, company security software may scan and record all mails that an
employee can send or receive.
Read the policy carefully and confirm that you have read and understood the policy and will abide by
the policy.

INDUCTION PACKET SAM CLAUSE
I agree to abide by all terms and conditions listed in the Software Asset Management (SAM) Policy at all
times. I will ensure that software will be installed on my machine only after I have received the requisite
approvals for the same. I also agree to keep track of the software inventory on my machine(s), and to take
necessary corrective actions if any installation is not in accordance with the SAM Policy. I further agree
that the company will not accept any liability in respect of any unauthorized use of software and I shall be
personally liable for any damages or other liability arising on account of violation of SAM policy.
Signature: Employee Name: _____________
Date: ___________ Employee Code:______________

Declaration
I, _______________________________, S/o, W/o, D/o _________________________________

resident of ____________________________________________________________________, do
hereby solemnly affirm and declare as under:
1. I have read and understood the Policy Statement of the Information Security Management;
2. I have read and understood the Information Security Policies ofStatestreet HCL Services
(India)Private Limited Services such as email policy, Internet usage policy and network usage
policy and general computing policy.
3. I agree to abide with all the requirements of the Policy Statement;
4. I agree to keep the Information assets confidential and to protect them against unauthorized
disclosure;
5. I agree to protect Information Assets from unauthorised or accidental modification ensuring the
accuracy and completeness of the organization’s assets;
6. I will comply with all the applicable legislations including the IT Act India 2000, Contractual
conditions that lay down the requirements for information security, Statestreet HCL Services
(India)Private Limited ISMS practices and other followed practices;
7. I agree not to make any deliberate attempt to destroy or damage any Iinformation Assets or the
supporting infrastructure.
Employee’s Signature*..................................
Date...................................
Note: To refer more on security policy and learn about Statestreet HCL Services (India)Private
Limited Security, log on to
https://bserv.myhcl.com
and click on Corporate Information Security link
User Name : Employee Code

Password: Access your given Personal Email Account to get the Password from BAG
Support Team

HCL TECHNOLOGIES LTD – BUSINESS SERVICES
MEDICAL SELF DECLARATION

Part 1: Your Personal Details
Name
Date Of Birth Your
Photograph
Contact No
Blood Group (Self Attested)
Height in cm/inch
Weight in Kg
Part 2: General Medical history- Please answer “Yes or No” or if “Yes” please give the details
Are you in good health and free from physical and mental disease or infirmity or medical
complaints? If no, give full details.
Can you do your regular work without any limitation? If no, give full details.
Have you ever taken narcotics or other habit forming drugs or been treated or advised in connection
with your alcohol consumption or taking of drugs? If yes, give details including month / year of
quitting if applicable.
Are you advised any special treatment? If so, please give information
Have you ever availed long leave on medical grounds in the last two years? If yes, specify the
purpose and details of medical problem
Any Plans for going on leave in coming 1 year for any medical treatment, surgery, Maternity etc. If
yes, pls give details
HCL Technologies Limited. 29

HCL TECHNOLOGIES LTD – BUSINESS SERVICES
MEDICAL SELF DECLARATION
Part 3: Specific Details

Have you ever been treated or currently under treatment for any of the following conditions? Give details
if the answer to any of the questions is “YES”
Yes/No Details incase of “Yes”

Any diseases and disorders of eye, ear, nose, and throat?
Any diseases and disorders of the nervous system or

neurological system such as epilepsy, brain diseases,
migraine etc.?
Any diseases and disorders of the respiratory system such
as tuberculosis, asthma, frequent nose bleeding etc.?
Any diseases and disorders of the Cardiovascular system
such as chest pain, heart disease, high blood pressure etc.?
Any diseases and disorders of the digestive system such as
ulcers , hernia, piles, stone in gall bladder etc.
Any diseases and disorders related to genital organs,
kidney or urinary system?
Any diseases and disorders of the metabolic and endocrine
system such as diabetes, thyroid etc.?
Any cancer, tumor, cyst or any other unusual growth
Have you ever been tested for or advised to test for HIV
infection or suspected to be HIV positive?
I do hereby declare that the foregoing statements and answers have been given by me after fully
understanding the questions and the same are true and complete in every respect and that I have not
withheld or misrepresented any information or facts.
I do hereby agree and declare that these statements and this declaration shall be the basis of my
employment with Statestreet HCL Services (India)Private Limited.
Employee’s Signature:
Place:
Date:

Strengthening
Our Foundation Dedicated
to Risk
Excellence
Committed
to Ethical
Conduct
Standard of Conduct
2017
Our Business
is Built
on Trust
Our business is built on trust. As a partner to the world’s
leading institutions, we constantly must earn that trust by
holding ourselves to the highest possible standards and
challenging ourselves and one another to make sound
decisions. Our stakeholders expect us to serve them fairly
and act appropriately in all that we do, and doing so is an
essential element of our commitment to the highest
standards of integrity and risk excellence.
Each one of us — irrespective of our roles or responsibili-

ties — plays an important part in protecting State Street’s
reputation. Our Standard of Conduct provides a strong
foundation to help us make ethical decisions and avoid con-
flicts of interest. I encourage you to carefully review this
document and understand how State Street’s standards and
expectations apply to your work. I also ask that you speak
up if you have questions, concerns, or if you see behaviors
that are in conflict with these principles and rules.
Thank you.
JAY HOOLEY
Chairman and Chief Executive Officer
This document is more than a policy document; it is also
a statement of our shared values and responsibilities to
each other, to our clients and to State Street. These values
support our mission as an organization, which is driven
by the needs of our clients more than by the laws and
regulations that set the guidelines for many of our rules.
Whether our clients are asset owners or asset managers,

they ultimately represent the needs and interests of
investors, many of whom are people saving for the future,
often for their own retirement. It is through this lens that
we view the principles behind our rules. These principles
include long-term protection of the markets in which we
participate, the promotion of transparency so people can
make the best choices, and the belief that the best thing
for our clients is also the best thing for State Street.
This is why our Standard of Conduct devotes considerable
attention to discussing principles, not just rules. The more
we understand the principles behind our rules, the better
able we all will be in applying them to any given situation.
ANTHONY O’REILLY
Chief Ethics Officer
This policy — the Standard of Conduct — applies to you
Who is if you are a full-time employee or part-time employee

at State Street (meaning, State Street Corporation and
Subject to its subsidiaries).
If you have oversight of a contingent worker, or of an
This Policy? employee of a joint venture which we do not control as a

subsidiary, State Street expects you to escalate and report
conduct and activities which are not consistent with the
spirit of this Standard of Conduct.
Some sections of this policy briefly summarize and put

you on notice regarding other corporate policies and
procedures. These are not discussed in their full detail in
this document and the policies themselves may feature
additional guidance. Compliance with these policies is a
requirement of this Standard of Conduct.
In addition, other business-unit-specific policies apply to

employees based upon their department, role and location.
You are responsible for being aware of, understanding, and
following all policies that apply to you.
Should you require clarification about the interrelationships

between our policies, contact your Legal or Compliance
representative, or the Ethics Office.
Contents
8 THE CORE CONCEPTS OF ETHICS
8 No Trust, No Business
9 How Ethical Thinking Can Make Some Decisions a Lot Easier
10 The Power of Consultation
10 Client, Company, You
10 Our Role in the Larger Community
11 In Letter and in Spirit
13 Speaking Up
14 Ethics and its Rules
16 RULES FOR ETHICAL CONDUCT

18 Use of State Street Property and Systems
19 Handling Information
Maintaining Confidentiality
Maintaining Information Security
24 State Street Colleagues
Personal Interactions
24 Criminal Activity
Money Laundering
Bribery and Corruption
Fraud
27 Business Gifts and Entertainment
28 Other Outside Parties
Competitors
Regulators and Law Enforcement Officials
The Media
29 Personal Life
Conflicts of Interest
Outside Activities
Using Social Media and Public Forums
Personal Trading in Securities
Political Activities and Contributions
Lobbying
34 Transitions
Joining State Street
Changing Jobs Within State Street
Leaving State Street
35 Recordkeeping
Accuracy and Completeness
Record Retention and Document Destruction Policies
36 Speaking Up
Guidance on Speaking Up
37 Administration
The Core Concepts
of Ethics
No Trust, No Business counterparties, and the media too,
At State Street, our business is for that matter — this is one of the
dependent upon our being a trusted main things they are looking at.
partner. That is not a small point. Trust In particular, they pay close attention
is a key part of our business model. to how we behave when faced with
difficult decisions.
Trust is an important reason our clients
are here. If a client were ever to feel Individual actions, shared impact.
that we were not doing everything we We are proud of our reputation as a
should to honor that trust, that may be trusted business partner. But the
reason enough for them to take their reputation of any group comes from the
business elsewhere. actions of many individual employees.
So our reputation as a whole is built up
In short, trust not only matters, it through the individual contributions of
is essential. each employee. This is one reason why
taking input from others helps to build
Trust has many dimensions. Trust
and maintain trust.
means that a client has confidence that
we will do good quality work and do This is also why we make such a point
business fairly. Whether we are acting of personal responsibility and personal
as agent, managing client assets, or ethics. It takes every one of us to
serving as a trustee or custodian, our create and maintain our reputation.
reputation for being trustworthy is a When everyone pulls together, we all
key reason we have been chosen for win. But when even a few do not do
the role. their part, we all lose. The company
loses, and so does every individual that
Our actions either build or destroy
works here — even those who worked
trust. When current and prospective
hard to maintain our standards.
clients look at us — regulators,
8 • STATE STREET STANDARD OF CONDUCT 2017

How Ethical Thinking Can Make situations can be much easier —
Some Decisions a Lot Easier because it makes the right choice
clearer. As the diagram below shows,
All of us face tough decisions in the
ethical decision-making involves asking
course of doing our jobs. But with
yourself five key questions, and taking
ethical decision-making, many
action accordingly:
If challenged publicly, would I be

comfortable sharing details?
Is it fair and honest?

FIRST AND ALWAYS
ACKNOWLEDGE... What would happen if CONSIDER...
When faced everybody did it? Have I encouraged
with a decision, professional
ask yourself: Does this put long-term relationships challenge?
at risk for short-term gain?
Is it lawful and within the letter

and spirit of our policies?
NOT COMFORTABLE? NOT SURE? COMFORTABLE?

STOP. Escalate Consult with a business, Proceed with confidence
and involve others functional, and/or technical and document your
as appropriate. specialist, as appropriate. decision for transparency.

This framework can be used to test Client, Company, You
a decision or concern. It helps us
As a company, we expect you to treat
consider a problem from different
clients fairly in the context of the
angles and not reach a result that is
services that we provide. In some roles,
merely legally permissible or only with
we may be obligated to put a client’s
short-term benefits. If a potential
interests ahead of the company’s or our
course of action appears to fail one
personal interests. As an employee, it
or more of the questions above, this
is your responsibility to keep personal
should be an indication to escalate or
financial interests from interfering with
to invite others into a consultation.
client interests. In practice, this means
Ethical thinking is consistent with the that at State Street, as at any ethical
State Street Values that form such an organization, employees must in
important part of our culture. certain situations pass up opportunities
that provide personal gain.
• Always Finding Better Ways
What we give up and what we gain.
• Stronger Together Why do we place a much higher bar
• Global Force, Local Citizen for acceptable conduct than in most
other companies? It is because of
Consulting The Power of Consultation the importance of trust. While trust
matters to any business, our
makes us With our different business lines and
service levels, it can often be difficult to relationship with our clients and their
“Stronger know what is the most appropriate way trust in us is critical to our success.
Together” to deliver the services that clients have

chosen, while also managing conflicts
You should not have any expectation
of privacy for any communications —
of interest. When we identify a potential business-related or personal — that
conflict with a client or differences in are stored or transmitted using
approach among different business our systems.
units servicing a client, discussing
these issues with senior management What we gain is the trust of our
or functional specialists in your clients, our business partners and our
business can help provide a broader colleagues to build the relationships
perspective and may allow us to avoid we have.
(or appropriately address) any conflicts.
Our Role in the Larger Community
Consulting makes us “Stronger
At State Street, the concept of
Together” and helps us stay aligned
“community” has both corporate and
with our ethical principles and rules.
personal dimensions. For instance,
You will find many other situations in
in the workplace, we ask that every
your day-to-day business interactions
employee treat others fairly and
where remembering State Street’s
respectfully, promote a positive and
values will lead to the right result for
diverse workplace, be a team player,
us and our clients.

Is ethics foster a safe work environment, and In Letter and in Spirit
conduct themselves professionally in
about com- all ways at all times.
The question is often asked: Is ethics
about complying with the rules, or is it
plying with However, these values are not about understanding and honoring the
the rules, something to leave behind when you spirit upon which the rules are based?
The answer is that both are essential
leave the office. You will be seen as a
or is it about representative of State Street and its and are equally important. If you are
understand- culture and values. As a result, your not honoring both, you are really not
conduct outside of State Street could honoring either one.
ing and have an impact on your employment.
Let’s say you find yourself in a situation
honoring In addition, people outside of the where a compliance rule applies.
the spirit company routinely expect that our You believe you understand the purpose
of the rule, and you believe cutting a
upon which employees will manage their personal
finances in a responsible manner, small administrative corner would not
the rules and may regard any failure to do so violate that purpose. Would your action
constitute a violation? In this case,
are based? as reason to question our claims of
it would. Please note that all rule
financial expertise and trustworthiness.
That’s why State Street encourages violations must be reported, whether
all employees to follow sound or not we perceive the violation to
principles in managing their personal be material.
and family finances.
When we fail to comply with the letter
What we believe, and invite you of our rules, it calls into question how
to as well. At the corporate level, serious we are about their spirit and
State Street is deeply invested in purpose. Additionally, you may not
giving back to the community. This correctly understand the purpose of
is reflected in our actions (or failures a rule, or its broader context.
to act), not just our words.
By the same token, it is possible to
We have programs aimed at meet the basic standards of a rule
sustainability, volunteerism, socially and still not be meeting its purpose.
responsible investing, and global For instance, if you know that a vendor
inclusion. We are also proud to make or government official may be willing
available many opportunities for to be improperly influenced by gifts or
employees to contribute personally. entertainment that are within policy
This is an example of what we mean by limits, it is absolutely unacceptable
the value, “Global Force, Local Citizen.” to offer the gifts or entertainment.

How can you know when you are on Acting lawfully and with integrity.
solid ground and when you are not? Many of the rules in this policy reflect
The answer involves these principles: laws or regulations. Thus, in some
• Learn to recognize conflicts cases, violating a policy could lead
of interest and situations not only to penalties, including in
where they arise. some cases immediate termination
of employment, but also to civil or
• Always check the policy first.
criminal prosecution.
If something is still unclear, it is
always better to ask than to assume. For these reasons, it is important that
There are no stupid questions. you comply with all applicable laws and
• Always ask yourself the five regulations, conduct yourself with
questions in the diagram on page 9. integrity, never make false statements
or falsify records, and avoid actions or
No set of rules can cover every activities that represent a violation of
situation. That is why ethical our conflict of interest policies.
decision-making almost always
However, in many cases our ethical
involves good judgment.
rules require application of more
Developing and using good judgment rigorous standards than applicable
is something every employee should laws and regulations. In all cases, it is
strive to do. The clearer your sense of important that you follow the standards
judgment, the more readily you will described in this policy, whether or not
understand the policy, the better you applicable laws or regulations permit a
will be at asking yourself and others lower standard.
the right questions, and the less likely
you will be to inadvertently do
something wrong.

Failing Speaking Up necessarily protect you from penalties,
it is a mitigating factor, and usually
to say Every one of us has felt the urge to
speak up when we know something is
results in lesser penalties for all but
something wrong. We also know the hesitation that
the most serious violations. In contrast,
if it later emerges that an employee
is nearly can accompany that urge. It is natural
to feel that way. And yet, particularly
knew about a violation but did not
always in the world of corporate ethics, failing
report it, that can be an aggravating
factor when considering any discipline.
a poor to say something is nearly always a
poor decision. Unlawful retaliation in any of its forms
decision. is never acceptable. State Street does
Why it is always right to speak up.
not tolerate retaliation against anyone
Reporting an issue or asking a question
who reports a potential violation in
sooner rather than later protects
good faith. Unlawful retaliation includes
State Street and often allows an issue
negative job consequences against any
to be resolved more quickly and with
employee or contingent worker for
fewer repercussions. It also gives
acting upon a reasonable belief to:
our legal, compliance, and ethics
professionals the opportunity to fully
• Report a potential violation of
review your question, concern, or
company policy or applicable law
report, and to determine what action, if
any, is appropriate. In addition, prompt • Participate or cooperate in any
reporting of any actual, attempted or internal or external investigation
suspected violation of State Street
Be aware that negative job
policy is an expectation. If an employee
consequences are not limited to
knows of a violation and fails to
formal matters such as missed promo-
report it, that in itself is a violation.
tion opportunities or inappropriate
For managers, this means that when
end-of-year ratings. Job consequences
you become aware of an issue relating
may also involve exclusion from
to an employee or contingent worker,
meetings and events or creating
you must address, escalate and report
a hostile work environment.
as necessary.
Anyone who retaliates against an
As for self-reporting — we are all
individual who has reported a good faith
human and we all can make
concern will themselves be subject to
mistakes. What matters is that we take
disciplinary action.
responsibility for our actions. While
it is true that self-reporting will not

ALSO Truth or consequences. Some actions
SEE
carry such a high level of risk to our
Equal Employment Opportunity reputation that they can be, by
themselves, grounds for dismissal.
Manager Responsibilities
These include:
• Remain vigilant for any signs of
discrimination involving employees in
your group. Report any actual or suspected • Interfering with or intentionally
instances to Human Resources. misleading an internal or
external investigation or audit
• Maintain an “open door policy” toward any
employee who asks to discuss workplace or • Knowingly making false statements
employment issues. to a client or regulator
• Be certain you are adequately familiar with • Knowingly making false statements
the Equal Employment Opportunity Policy and to another person at State Street
all other applicable employment laws and
with knowledge that they are
policies — local, regional, and global. Take all
likely to use the information in
reasonable steps to ensure that your hiring
and management practices do not violate any
making a business decision
of these laws or policies. • Retaliation against anyone who
State Street Responsibilities has made a good-faith report of
Human Resources or its designee(s) must known or possible misconduct
promptly investigate all reports of actual
or possible violations of inclusion- and Ethics and its Rules
discrimination-related rules and must take
The rules in the second section of this
appropriate enforcement action.
document (and other State Street
Compliance and Ethics policies) are
based on the ethical principles
described in this first section. It is
important to understand both the
Non-Compliance with Standards and Procedures
We take compliance with our standards and principles and the rules, and how
procedures seriously and have prescribed they interact.
processes for enforcing these, including the
Global Compliance Enforcement Procedure, These rules are intended to ensure that
which describes enforcement actions that ethical behavior occurs, and they allow
may be taken for violations of the Standard of us to demonstrate this fact in dealings
Conduct and related policies, and mitigating with clients, regulators, and others.
and aggravating factors that may be taken into As a State Street employee, you are
account in imposing any disciplinary action.
responsible for being familiar with, and
adhering to, this Standard of Conduct
(including the ethical principles
articulated in this first section), and all

other State Street policies to which you Four guiding principles to bear in mind.
are subject. Complying with the rules is Ethics and compliance can be
a key element of Risk Excellence and is complicated. The following brief
important — even in seemingly minor principles can go a long way toward
obligations, like submitting required providing clear guidance:
reports and certifications on time.
Your employee responsibilities also • If you are in doubt as to whether
include following all applicable laws a practice is appropriate,
and regulations. ask before you act.
Employees are expected to be alert to • Follow any specific guidance

situations that, while not a violation of or instructions from Ethics or
State Street policy, may cause a Compliance. If specific guidance or
violation of a business partner’s instructions supplement a rule,
policies. Finally, your responsibilities or if the action (or failure to act)
include cooperating fully with any runs counter to the spirit of the rule,
examination, investigation, or inquiry — guidance, or instructions, you must
internal or external. follow the most recent guidance
or instruction available.
• Never do indirectly what you are
prohibited from doing directly.
From a policy standpoint, an indirect
violation is the same as a direct one.
• While penalties for violations can be
severe, it is usually possible to avoid
them by following the rules and using
good judgment. When you realize you
have made a mistake, come forward.
Self-reporting is an important
mitigating factor in determining
the outcome of most violations.
Ask Before
You Act.

Rules for Ethical Conduct
This document is the foundation for regulations as well as our own
all business conduct at State Street, at policies. Adhering to our standards is
all of our locations around the world. not only consistent with sound ethical
We take all applicable laws, rules, and business practices, but supports the
regulations seriously in every country long-term growth and prospects for
where we do business. We also expect all of our businesses.
our employees to conduct themselves
Some policies at State Street are so
in a manner consistent with the highest
important that we require you to
level of professional integrity.
positively confirm that you have read
That especially applies when diverging them, that you understand them,
from these standards might result in and that you agree to abide by them.
a temporary benefit to State Street. This is one of those policies, and we ask
We are in business for the long term. that you re-certify your understanding
State Street expects that all employees and acceptance of this policy at
will comply with all applicable laws and least annually.

A Word to all State Street Managers Managers should make sure they understand
We are all custodians of State Street’s reputation, the requirements of our policies, and make sure
but managers have a special responsibility when their advice and actions reinforce those policies.
it comes to setting the tone and reinforcing core Responsibility for protecting our reputation and
concepts for their team members — including culture lies with all managers. You are not excused
by reporting and escalating issues concerning from that responsibility when the employee or
any contingent workers under their oversight. conduct in question falls outside your area of
As a manager, an evaluation of your performance direct responsibility.
includes the actions you take to create the right
You also have responsibilities arising from specific
culture at State Street.
items in this policy. Those items are called out in
boxes similar to this one with the label “Manager
Responsibilities.” In some cases, you will also
We are all custodians of see material labeled “Administration.” These are
State Street’s reputation.

responsibilities that Ethics, Legal, or Compliance
must handle. While they may not be your
responsibilities, it is helpful to be aware of them.
State Street Policies and Your Family

State Street also relies on you to be the first line
In some cases, State Street policies may require
of defense on all ethical matters. This includes
you to report or to pre-clear certain political
leading by example, reinforcing the importance
activities, investment decisions, or work-related
of ethical decision-making, encouraging open
gifts and entertainment relating to family members
dialogue and professional challenge, and providing
such as a spouse or dependent. These policies
an environment where your team members ask
exist to help us comply with legal and regulatory
questions and raise potential issues. The way we
expectations. We ask that you take the time to
respond to questions, concerns, and issues will
make sure you explain these requirements to
either reinforce or undermine these concepts,
and enlist the support of related persons whose
and signal how we value input and feedback.
activities are covered by these policies.

ALSO Use of State Street Property productivity of anyone at State Street
SEE
and Systems (including you), or that results in costs
Corporate Information
to State Street, is not permitted. Any
Security Controls Manual Be thoughtful and careful with your use
personal communications sent using
of State Street resources. State Street
State Street equipment or networks
property and systems have varying
automatically become State Street
degrees of security and access
property and are subject to monitoring,
protection, depending on the type of
archiving, regulatory investigation, and
information they handle. Use of the
legal discovery.
internet and other open-information
assets is inherently risky, and Never use State Street property for
improper use could open the door to personal advantage. While incidental
an information security breach and use in a reasonable context is
reputational harm. For example, the allowed, certain uses are never permit-
information you disclose in public ted. This includes using equipment,
spaces — such as LinkedIn — could research, supplies, facilities, or funds,
be used for social engineering and for any of the following:
targeted attacks against State Street’s
systems, and improper use could make • Commercial purposes
our systems susceptible to viruses. unrelated to State Street
You should conduct yourself in a way • Personal projects
that is mindful of these risks at all times.
• Political volunteering
Use State Street property and systems • Personal charitable fundraising
in a manner consistent with our
• Excessive use
business purposes and professional
standards. We encourage employees to Never access State Street property
adopt high standards of professional and systems without authorization.
conduct and courtesy. When using Never permit or engage in any unau-
State Street property and systems, thorized access to, or interference with,
do not engage in activities that would State Street property. This includes
be inappropriate in a professional sharing your system IDs and/or
workplace. For example, employees passwords for any reason or interfering
should never send, forward, or indicate with State Street communications.
their approval of emails with sexual,
Do not use personal technology for
derogatory, or inflammatory content
State Street business. Do not use
or implication, nor use State Street
personal computers, smartphones,
equipment or systems to access sites
or other electronic equipment for
with such content, or sites about
business purposes except as
gambling, video gaming, violence, or
specifically authorized. Do not upload,
hate speech activities. While limited
copy, or write State Street information
and incidental personal use of company
to non-State Street equipment,
systems is not prohibited, any use
including storage and removable
that interferes with the duties or
storage devices and Internet sites or

domains outside of the State Street Handling Information
security perimeter, without permission.
At State Street our internal operations,
Do not connect your personal devices,
processes, technology, and services
such as mobile phones and tablets, to
all generate or use confidential
State Street devices for use such as
information. We perform research,
charging or streaming. Hardware
discuss client needs, take orders, settle
and software assets must be procured
transactions and record and report
and installed through authorized
positions and all of these activities
IT channels. Do not establish or
are based on confidential information.
administer any Internet websites or
You are therefore very likely to
domains for State Street business
encounter confidential information
purposes without prior authorization
while performing your role at
from Global Marketing and the
State Street and you may come across
Chief Legal Officer, General Counsel,
it accidentally as well as in performing
or Chief Compliance Officer.
your role. Our clients, vendors, and
employees entrust us with their
Our clients, Be aware of and honor intellectual
property rights. All patents, confidential information and we ask that
vendors and trademarks, trade secrets, business you always assume that information is
employees processes, and copyrights owned by confidential and treat it as such unless
it is clearly indicated otherwise.
State Street are valuable assets.
entrust us It is your responsibility to take all
It is our responsibility to protect
with their reasonable steps to protect these
confidential information against unin-
valuable assets. You must not
confidential disclose State Street’s trade secrets,
tentional, malicious, or unauthorized
disclosure, misuse, alteration, loss, or
information. confidential business processes or
damage. To do so, we must ensure that
other confidential information to
all information is handled appropriately
outside parties, use it for your own
at every stage of our access, use and
purposes, or take it with you when you
transmission of it.
leave State Street, and you may not
assert any ownership rights in any Proper handling involves proper
of State Street’s intellectual property labeling, storage, and disposal, as well
or information. This extends to any as vigilant use of information security
intellectual property or information you techniques and technology. Take care
create while employed at State Street. not to misuse or inadvertently compro-
Separately, you must respect the mise any information. For example,
intellectual property and information limit access to information to only those
rights of any software firm, data State Street employees who reasonably
provider, client, or other entity from need the information in connection
whom we acquire intellectual property with their State Street responsibilities.
or information rights. This includes Information technologies and security
observing all limits to usage, threats tend to change frequently.
modification and duplication set by Part of your role in protecting informa-
agreement or law. tion is also keeping up with policy and

procedural changes relating to • Personal information — includes
information technology. information on State Street
employees, contingent workers,
ALSO Maintaining Confidentiality and joint-venture employees.
SEE
Confidentiality Policy, and Keep confidential information For example, their financial,
the Privacy and Personal confidential. Do not disclose background, medical, or job
Data Security Policy
confidential information, or discuss performance information.
confidential matters, with anyone who
Treat all audit, investigation, and
does not have a legitimate need to
examination information as confidential
know the information — including
information, in particular Confidential
State Street employees.
Supervisory Information. Information
Be aware of what constitutes associated with any audit, examination,
confidential information. or investigation — including the
Most confidential information at existence of the activity itself — is
State Street falls into one of the highly sensitive. In the case of confiden-
following categories: tial supervisory information, any
disclosure is not only a violation of
• Client information — includes client
policy but of law.
holdings, trading activity, strategies,
and asset levels; and personal Confidential supervisory information,
information about clients, their whether from banking regulators in
employees, or family members. the United States or other regulators
In many cases, the fact that an worldwide, is defined broadly. It includes
entity or individual is a client of any information, exchanges, or requests
State Street is itself confidential. — whether written or verbal — that are
• Third-party information associated with regulatory supervision,
— includes information on third- communications, or interactions
party technology, employees, or specific to State Street, or provided
relationships, and information to State Street by its regulators.
acquired from these sources.
This extends to any non-public
Information about vendors is an
enforcement actions or other outcomes
example of third-party information.
or events related to regulatory activity.
• Sensitive or proprietary information Do not disclose or discuss these
— includes State Street business confidential matters with employees
strategies and processes, who do not have a need to know.
technologies, ideas, clients, and In addition, do not disclose or discuss
transactions or financial results these confidential matters with anyone
that have not been made public. external to State Street, including
contingent workers, clients and
consultants, without prior approval
of the Chief Legal Officer, General
Counsel, or Chief Compliance Officer.

Do not circulate emails, memoranda, or industry colleagues. It also includes
presentations that contain confidential any State Street employee or
information to any person who does not contingent worker who does not need
have a need to know the information. the information to do their job. Disclose
confidential information to persons
Treat all personal information as
outside State Street only with specific
confidential information. This includes
authorization and in compliance with all
information about any individual,
applicable requirements and measures
whether associated with a client,
to preserve confidentiality. State Street
vendor, or State Street. Use such
recognizes that certain disclosures of
information solely for the purpose
confidential information to appropriate
for which it was gathered and limit
government and self-regulatory
access to it accordingly, distribute only
authorities are protected by “whistle-
to those who need to see it for that
blower” and other laws. Nothing in
purpose, and keep it only as long as
this Standard of Conduct or any
you need it (or as long as necessary
employment-related arrangements are
to satisfy investigatory and litigation
intended to or should be understood to
requirements, regulation or contract).
prohibit or otherwise discourage such
Respect individual rights to personal disclosures. State Street will not toler-
information. Individuals in some ate any discipline or other retaliation
jurisdictions have a right to know against employees who properly make
when their personal information is such legally protected disclosures.
being processed. They may be allowed
Learn to spot material non-public
to correct or remove inaccuracies,
information. Material non-public infor-
and request a stop to information
mation (MNPI) is a type of confidential
processing. If individuals exercise these
information about State Street, another
rights to privacy and data protection,
company, or an investment fund, that
you must seek guidance from the
a reasonable investor would consider
Privacy Office.
important when deciding to buy or sell
Never use any type of confidential a security. This includes information
information for personal gain or benefit, that would be reasonably likely to affect
such as personal trading. This includes the market price of a security, but
not using information for the gain or which has not been widely dissemi-
benefit of a friend, family member, or nated to the public. Examples of MNPI
any other third party. include, among other things, actual
or projected financial results, mergers
Never disclose any State Street and acquisitions, significant new
information to anyone who does not product announcements, resolution of
have a legitimate need to know. significant litigation, stock splits, and
This includes family members, friends, management changes.
acquaintances, clients, vendors, and

Treat material non-public information Honor all internal information barriers.
appropriately. Be familiar with any At all times, be aware of the existence
MNPI policies or procedures within and purpose of internal information
your business unit. Generally, you barriers. State Street uses both
should not seek to obtain MNPI from physical and logical (systems access)
a third party or inappropriately separation to reduce the risk of
disclose MNPI to anyone, including a improper flow of information from one
State Street executive, who does not internal business area to another.
have a legitimate need to know that Where physical or logical separation is
information. You should never trade not in place, State Street may choose to
for yourself, State Street or for a create information barriers by policy.
client based on any MNPI you For example, we may require all
encounter during your employment at employees in a given business area or
State Street. If you suspect you have physical location to follow restrictions
received MNPI, and you are not aware on personal trading or confidentiality
of an MNPI policy or procedure in your that might otherwise apply only
business unit, you should contact the to a limited number of employees.
Ethics Office as soon as possible and Always adhere to any requirements
await further instructions. that are in place for information barrier
purposes, even if they may seem overly
stringent. Never do anything that would
compromise the integrity of a physical,
electronic, or policy-based information
barrier — for example, do not allow
unauthorized entry into secure
workspaces, share your passwords,
or speak about confidential matters
Manager Responsibilities in public spaces.
You must be aware of information security
controls, and ensure they are implemented within
your area of responsibility, to the extent required
by our policies. In addition, you should:
• Review information access privileges for each

direct report at least once a year
• Understand and follow Human Resource

policies whenever a person enters or
leaves your supervision, goes on leave,
or changes jobs

ALSO Maintaining Information Security Never leave documents with confidential
SEE
information where other people could
Corporate Information
Use appropriate measures for both
see them. This includes shared
Security Controls Manual electronic and physical information
and Social Media Policy facilities, such as printer trays, as well
security. Use file and email
as your own desk during times when
encryption as directed in the
you are not present. After meetings,
Corporate Information Security
remove all papers and erase the
Controls Manual. Never save
whiteboard. Do not make unauthorized
confidential information onto
copies of confidential information, even
non-State Street devices or systems.
if you intend to destroy them later.
Keep paper copies and electronic
media in a locked drawer or cabinet. Never share passwords. Never let
Never forward State Street information anyone else log in using your password
to a personal email account or device. or put the password for a device on
When accessing any State Street a note that is attached to the device
network remotely, always use ASG or is otherwise easily accessible.
(Application Secure Gateway). When Make sure no one else can use your
traveling, never put electronic media in remote access set-up to get into
luggage that is being checked or stored. the company’s information systems.
Keep all electronic media securely in In addition, individuals must not use
hand or within sight when traveling or State Street email addresses as an
at any other time when they cannot be identifier on non-business related web-
physically secured. Do not upload or sites. Furthermore, it is impermissible
download unauthorized software to or to use State Street email addresses,
from your State Street-owned desktop, employee ID numbers, or passwords
laptop, or mobile device. as identifiers on, or for access to non-
business related Internet activities.
Be careful when talking or working in
places where others are present. Keep Never share your identification card.
papers and screens out of the sight of Never lend your identification card.
Never open the door to a secure area
people around you. Keep conversations
(including phone calls) quiet or cryptic. or allow anyone to follow you through
These rules apply inside the office as a locked door unless you are certain
that they are authorized to enter that
well: visitors or employees who are not
authorized to have access to information particular area.
could be in a position to overhear. Bypassing information security
Restrictions on use of mobile devices.
controls to access blocked websites, to
You cannot use or display any personal copy data to removable media, or for
or corporate mobile device on any any other reason without approval from
trading floor globally. Leave the Corporate Information Security is
trading area if you need to use your prohibited. Do not upload State Street
mobile device. data, systems code, or customer or
vendor data to any unauthorized

State Street website. This includes websites or engage in bullying, intimidation,
designed to assist IT developers or or violence. These activities have no
runs on perform language translation for place at State Street and will not be
respect, business documents. excused or tolerated.
professional- Do not participate in raffles, pools,

State Street Colleagues or other forms of gambling while on
ism and Our company looks to you to uphold its State Street premises. While sporting
inclusiveness. ethical and professional principles, and or lottery pools may seem like
to make these principles an integral harmless fun, they are also gambling.
part of your conduct inside and outside As such, these activities, as well as
of the workplace. State Street runs any others that involve the wagering of
on respect, professionalism, and money in any amount, are prohibited
inclusiveness. These principles reflect on State Street premises. They are also
our culture, contribute to our business prohibited outside the office when
success, and are firmly endorsed by you are acting in your capacity as a
senior management. Yet truly putting State Street employee (for example,
these principles into practice requires at a client event).
the efforts and dedication of every Do not pressure colleagues to support a
employee and every manager. cause. Decisions about which charities,
Except where legally prohibited, organizations, political candidates, or
you are required to promptly inform other causes an individual supports are
Human Resources if you are convicted the individual’s decision. Any attempt at
of a crime. coercion in this regard is a violation of
policy, as is any attempt to commandeer
ALSO Personal Interactions an employee for cause-related work
SEE
Treat all colleagues with respect. during normal working hours.
Non-Discrimination
Policy, Non-Retaliation Honor State Street’s commitment to
Policy, Open Door Policy,
Solicitation and Distribution
ensuring that all employees feel valued, Criminal Activity
of Literature Policy, Anti- included, and respected. This applies to
Bullying and Harassment Criminal misconduct involving
Policy, and Gambling Policy everyone, regardless of an employee’s
financial institutions is a global issue
heritage or belief, their ethnic, physical,
and is consequently an important
veteran, or gender status, their sexual
focus for law enforcement and
orientation or any characteristic
regulatory authorities everywhere that
protected by law.
State Street operates. It is imperative
Avoid any speech or action that that all employees remain vigilant to
could reasonably be seen as insulting suspicious behavior and “red flags,”
or derogatory, or as an instance whether external or internal, that might
of discrimination or harassment. pose a threat to State Street or the
Never use threatening language community, including those that may
reasonably indicate the following:

• Money Laundering — whether and periodic training and must faithfully
through illicit funds disguised follow our procedures for combating
as legitimate, or by use of money laundering.
transactions designed to
facilitate unlawful activity Bribery and Corruption
• Bribery and Corruption — State Street prohibits all forms of

including pay-to-play or bribery and corruption — including
unlawful gratuities facilitation payments, pay-to-play,
abuse of authority, or misappropriation
• Fraud — whether through
of company assets.
misrepresentations,
omissions, or otherwise Never give or receive anything of value
that could be considered a bribe or a
ALSO Money Laundering kickback, or is otherwise improperly
SEE
Strictly follow all “know your customer” linked to a particular outcome or
Anti-Money Laundering
Policy, Sanctions Policy standards. This includes being benefit. You must never promise,
familiar with the customer’s stated offer, give, solicit, or receive anything
and customary usage of our products of value to any person or entity in
and services. Never open an exchange for an unfair competitive
account for a new customer without advantage, the awarding or retention
obtaining all required documentation of business, other specific business
and information as required by advantage, or any other improper
State Street’s policies and procedures. purpose. This includes small payments
(facilitating or grease payments)
Promptly report to your supervisor any
made to low-level public employees
unusual or suspicious activity in an
to perform a routine duty or function.
account. This includes unusual client
Nor can you direct or knowingly allow
requests or behavior, unusual or
anyone else to do these things for you.
suspicious transaction patterns,
or other possible evidence of fraud, Use of vendors. State Street may be
money laundering, or other illegal acts. held responsible for acts of bribery
committed by its vendors and
Comply with applicable international
intermediaries when they act on our
sanctions. This includes all applicable
behalf. If you are responsible for
international economic sanctions,
onboarding a vendor, it is important
export controls and anti-boycott
that , you follow all applicable third-
regulations applicable to State Street
party risk procedures to ensure that
in the jurisdictions in which we
ALSO we are dealing with vendors that will
SEE conduct business, whether directed
uphold our standards. You must also
Anti-Bribery and Corruption at countries, entities, or individuals.
Policy and Gifts and make sure that we receive proper
Entertainment Policy business services at commercial rates.
Training. All State Street employees
who have contact with clients or are You may not approve a payment to a
involved in handling client transactions vendor knowing, or having reason to
must participate in all required initial know, that the payment will be used

for improper purposes. Vendor Never make any charitable donation for
engagements must be assessed the purpose of improperly gaining a
for bribery and corruption risk in benefit for State Street. You must never
accordance with third-party risk make or recommend a charitable
management procedures, and contribution in order to secure business
sufficient due diligence may be for State Street or otherwise gain favor
required prior to hiring vendors and with any person or entity (including
intermediaries. You are responsible any agent or consultant working for or
for performing due diligence on the on behalf of such a person or entity).
vendors you engage, and ensuring that This prohibition applies to charitable
the terms under which you engage donations made with State Street
them are appropriate for State Street. funds as well as to personal charitable
All vendor relationships — including contributions (meaning those for which
intermediaries — must be periodically no reimbursement from State Street
reviewed after hire, based on the is sought).
risk associated with that entity.
Never ask others to make charitable
The relationship must also undergo
or political contributions in any
review if circumstances are known
instance where such solicitation is
to have changed. No vendors or
prohibited or inappropriate. Examples
intermediaries may be engaged or
of such instances include making
used in violation of laws, regulations,
payments through consultants to
or applicable business unit policies.
obtain a favor in violation of our
Anti-Bribery and Corruption Policy
or “pay-to-play” regulations.
When considering whether to approve corporate
charitable donation requests, managers should
consider the following:
• Whether a donation to this charity could

undermine State Street’s reputation
• Whether the donation was requested by an

official or client who is in a position to make
decisions in our favor
• Whether the client or official or their

friends and family could directly benefit
from the donation
• Whether the payment is conditioned on

receiving business benefits, or whether there
is a current request for information, request
for proposal, or a pending business decision

There are When making or receiving employment
referrals, never request or extend
Fraud
multiple preferential treatment. State Street

Fraud is strictly prohibited by
State Street in all forms. Fraud can be
channels accepts referrals of talent from
more than deliberate deceit. Fraud
employees, clients, business contacts,
available for and other sources, but in no case
sometimes involves an intentional act,
like recklessly or even negligently
you to raise will State Street hire, or create or
making a false or incomplete
tailor a role for a less-qualified or
any concerns. under-qualified individual based on
representation. It may also involve a
failure to disclose relevant facts.
a referral or in violation of applicable
law. State Street will subject all Voice any concerns you have regarding
candidates to our normal hiring fraud, corruption, dishonesty, or other
procedures and referred candidates inappropriate activities. There are
should expect to be evaluated in the multiple channels available for you
same manner as other candidates. to raise any concerns, including your
This applies at every employment manager, Human Resources, Global
level, from internships to senior Security, Compliance, or Legal, as well
management positions. Be aware that as through Speaking Up procedures on
aggressive promotion of a particular page 36. This rule applies to incidents
candidate may be interpreted as an that you experience as well as those
attempt at improper influence. you witness or otherwise become
aware of.
Use particular care with referrals from
clients or regulators. When a referral
ALSO is made from a client or regulator, or Business Gifts and Entertainment
SEE
whenever we identify that a candidate In a business context, gifts and
Gifts and Entertainment
Policy and Anti-Bribery is related to a client or regulator, that entertainment can help personalize
and Corruption Policy relationship must be disclosed to Talent relationships with clients and business
Acquisition. Prior to making any offer partners and promote mutual respect
to such a candidate, Talent Acquisition and understanding. However, we should
objectively reviews the recruitment never allow gifts or entertainment to
process to ensure that this has been inappropriately sway their business
appropriate and free of improper decisions, or our own. To those ends,
influence. This includes performing it is imperative that gifts and entertain-
an independent assessment of the ment (offered and received) remain
suitability of the candidate and the reasonable in value, infrequent, and
role and of the process by which the carry a legitimate business purpose.
candidate has been selected. No gift or entertainment is permitted
if it involves any actual or perceived
impropriety or conflict of interest.
Do not solicit gifts or entertainment
from business partners.

Pre-clear all gifts and eligible Other Outside Parties
entertainment. Gifts. Do not provide any
While business-related contact with
gift that exceeds the territory-specific
competitors, regulators, professional/
limit (e.g., 250 USD). If your gift falls
industry groups, or the media is
under the territory-specific limit, you
infrequent for many State Street
must have pre-approval from your
employees, it is vital for all employees
manager and the Ethics Office.
to know the rules. How State Street
Entertainment. Pre-clear any presents itself to these parties is of
entertainment that has a per-person very high importance.
cost higher than the territory-specific
Competitors
limit, takes place in a Corporate
Hospitality Suite, or involves an entity Never engage in unfair competitive
with an open RFP. actions. Fair competition is upheld
by State Street policy and by law.
Pre-clear gifts and entertainment Never misuse a client’s confidential
involving public or US Union officials. information, misrepresent any material
Gifts and entertainment involving facts, or engage in any other unfair
employees or representatives of dealing with competitors. Be sure
governments, public entities, and US you understand the permissible scope
unions, are heavily constrained by laws of cross-selling and bundling to
and regulations at the local, state, and ensure that products and services
national levels. State Street requires are not linked in a manner that would
pre-approval for gifts or entertainment violate law.
involving such individuals, with limited
specific exceptions. Get approval before discussing our
pricing strategies with any competitors
Plan business-appropriate events. or entering into agreements concerning
State Street regularly sponsors market opportunities or otherwise
events like conferences and training engaging in joint action. These activities
to strengthen our market presence. require the advance approval of the
If you host or sponsor an event, Chief Legal Officer or General Counsel.
ensure that there is a valid business
purpose. This business purpose must Acquire competitive information and
not be overshadowed by non-business market data only from public sources
elements like associated gifts and through lawful means.
or entertainment.

Regulators and Law information that may be of interest
Enforcement Officials to analysts who follow State Street
If contacted by a regulator or law securities or to others in the
enforcement official, get instructions investor community.
from the Chief Legal Officer, General
Note that State Street communicates
Counsel, or Head of Litigation before
with the investment community only
engaging in any communications in
through specific channels. We neither
connection with an inquiry. This applies
use nor permit the use of social media
to any subpoena, search warrant, or
to communicate information of interest
similar legal document, as well as in
to the investment community.
the case of an email, letter, phone call,
in-person visit, or any other form of Refer any media inquiries to Public
contact (other than ordinary course, Relations, and any inquiries from the
day-to-day communications with investment community to Investor
banking regulators). State Street Relations. Do not respond to questions,
cooperates fully with all regulatory even if asked repeatedly. This includes
and law enforcement officials. requests to comment on market
rumors or speculation. Outside the US,
ALSO The Media you may also refer inquiries to the
SEE
Get approval from Global Marketing Global Marketing representative for
Corporate Media Policy,
Investor Relations before making any statement or your office or region.
Disclosure Guidelines
releasing any information to the media.
This extends to any interviews,
Personal Life
comments on background, and public
appearances, and to any social media In a financial services firm, the
postings that include information demands of ethical behavior and the
about State Street. requirements of various laws and
regulations can sometimes extend to
Various Get approval from Global Marketing life outside of the office. In some cases,
before commenting on, or agreeing to as in the case of personal trading,
laws and participate in, any media-facing content these requirements can encompass
regulations like press releases–including third- actions or accounts of family members
party press releases. or members of your household as well.
can some-
Consult with Investor Relations and
times extend Legal before releasing any information
In certain areas, including personal
trading and political contributions,
to life outside that may be of interest to the investor some employees may be subject to
community (including investors in
the office. State Street’s own securities).
additional rules and requirements, such
as pre-clearance of personal trades or
Examples of such information contributions. For more information,
include financial results, non-public see the Political Contributions and
information, projections of future Activities Policy and your local
activities or performance, or other Personal Investment Policy.

ALSO Conflicts of Interest If you plan to engage in an outside
SEE
State Street seeks to identify and activity, you must first determine
Conflicts of Interest Policy
appropriately manage conflicts of whether the activity:
interest when it renders services • Requires pre-clearance approval
or executes transactions with its (e.g., any outside employment)
clients. If we fail to manage conflicts • Requires post-activity approval
appropriately, we may suffer (e.g., trade associations)
reputational harm, or become a
• Requires neither preclearance
target for legal or regulatory action.
nor post-activity approval
Escalate potential organizational (e.g., community activities)
conflicts. If you become aware of a • Is prohibited (e.g., working
potential business conflict of interest, for a competitor)
you should escalate the issue to
your Business Unit Conflict Manager. To assist in this assessment, we
For example, if you have reason maintain a register of outside activities.
to suspect that one client is being If you have any questions, please
favored over another, or if similar consult the Outside Activities Policy,
client groups are receiving different speak with your manager, or call the
treatment or services. Ethics Office.
ALSO Report personal conflicts. Using Social Media and

SEE
Our personal interests can sometimes Public Forums
Social Media Policy and
External Social Media affect our ability to objectively and Use judgment and discretion in your
Marketing Policy zealously represent State Street’s personal use of social media. If you
interests and goals while performing identify or connect State Street on a
our role. If you believe you have any social network site, be aware that your
personal conflict, immediately report posts and other activities on that site,
the issue to your manager. including those that are reposted to
other sites, will reflect on State Street.
Avoid impermissible conflicts.
Be aware that identifying your affiliation
Avoid any personal conflict that cannot
with State Street on certain sites (such
be managed or mitigated. For example,
as political sites) could be seen by some
do not lend or borrow money from
people as an indication that there is an
clients or colleagues.
official connection or endorsement
For more information on the where none exists. Be aware as well
appropriate reporting procedures, that posts linking or connecting
consult our Conflicts of Interest Policy. State Street can be monitored and may
be treated as policy violations.
ALSO Outside Activities
SEE
State Street does not discourage
Outside Activity Policy Certain outside activities carry
the use of social media in private life.
unmanageable reputational or
These rules on social media are
regulatory risks to State Street.
intended only to prevent unintended

consequences to State Street from information can be a serious crime,
employee use of social media, and do and may carry severe consequences
not limit any rights you have under for you and State Street. Do not relay
law and regulation. information, or “tip” a family member,
friend, or other third-party. Never trade
Unless you have specific permission
based on the following:
from Global Marketing, do not state
or imply that you are speaking for • Information you receive about the
State Street or that State Street trades or holdings of State Street or
endorses any message. This includes its clients. This prohibition extends
guarding against the possibility of a to front-running (trading just before
personal message being mistaken for a a similar State Street or client trade)
message that is sponsored or approved and tailgating (trading just after a
by State Street. Expressing views or similar State Street or client trade)
recommendations about specific • Information intended for the
financial products or strategies is, use of State Street clients
at a minimum, strongly discouraged. • Information on an investment
Making remarks of this type can opportunity available to State Street
suggest that the information is based
• Non-public information (e.g.,
on State Street proprietary research or
regarding State Street or any
information or is being made on behalf
client or other issuer), at the
of State Street. If you have identified
time you intend to trade
yourself as being connected to
State Street, then it is prohibited. Do not buy or sell securities based
Depending on the forum and on your on any research recommendation
job function, other policy restrictions made by State Street to clients until
may apply as well. In any case, any after the recommendation has been
social media message on behalf of publicly distributed.
State Street must be approved
and published through company- Do not trade securities of clients or
approved channels. business partners with whom you work.
This includes any clients for whose
Report any unauthorized posting of non- relationships with State Street you
public information. If you become aware have responsibility or to whose
of any posting of State Street non- confidential information you have
public information on a public forum or access, as well as any business
a third-party media or other site, alert partners you oversee to whom you
the Public Relations Office immediately. can direct business. For instance,
you should not invest in any fund
Personal Trading in Securities
ALSO
SEE serviced by an account team where
Never trade securities based on you are a member.
Conflicts of Interest Policy
improper use of information, or enable
anyone else to do so. Trading that The prohibition on trading includes long
involves the improper use of and short positions, options, other

Your main derivatives, and funds or other pooled Do not make any personal contribution,
or engage in any activity, that would
vehicles sponsored by any client or
focus should business partner. cause State Street to be ineligible to do
be on client Never engage in options, hedging,

business with any government entity.
Many jurisdictions (including many US
interests. or short sales involving securities
federal, state, and local jurisdictions)
issued by State Street. Anything
have strict “pay-to-play” laws designed
beyond simple purchases or sales
to prohibit the improper influencing of
is strictly prohibited.
government decision-making through
Never allow personal trading to campaign contributions.
interfere with your job performance.
In complying with these laws,
As a State Street employee, your main
appearance is as important as reality.
focus should be on client interests and
It is essential that personal campaign
your other State Street duties; personal
contributions, whether made directly
trading is a privilege and not a right.
or indirectly, do not cause even the
If you trade excessively, the Ethics
appearance of funneling corporate
Office may take disciplinary action.
money to a candidate or incumbent in
Discuss any possible exceptions to exchange for being awarded a contract
these rules with the Ethics Office prior to, for instance, manage a government
to taking any action. In limited cases, pension plan.
a legitimate exception to these rules
When making personal political
may be recognized, such as for
contributions, including those to
certain transactions occurring in
political parties and PACs (Political
connection with the exercise of options
Action Committees), your contributions
or in a benefit plan or compensation
must be documented as being paid
arrangement. Do not take any action
from your personal funds. Never seek
unless and until you are notified by the
reimbursement for personal political
Ethics Office that your request for an
contributions from State Street, as such
exception has been granted.
reimbursement would make them
Political Activities and Contributions State Street contributions. If you are
ALSO
SEE one of the State Street employees who
Every employee has the right to partici-
Political Contributions is required to pre-clear personal
and Activities Policy pate as an individual in the political
political contributions, you must also
process, and State Street applauds
abide by that requirement.
civic and political involvement on the
part of its employees in any instance Some personal political activities
when it does not violate a policy or law. may be considered indirect financial
These rules on political activities are contributions. For example, volunteer-
intended only to prevent unintended ing for a campaign, renting a hall for
consequences to State Street arising a fundraising event, paying for printing
from employee personal political or postage of campaign materials,
activities and contributions. or hosting an event at your home.

These indirect political contributions Never engage in any personal political
and activities are subject to the activity that could appear to be official
same restrictions under this Standard State Street activity. An example
of Conduct as are direct political would be identifying your affiliation
contributions and activities. with State Street in a personal
political endorsement or fundraiser.
If you have any questions about whether Any activity that could be viewed as
any personal political contribution or being conducted on behalf of, or with
activity is limited or prohibited, contact the backing of, State Street requires
the Ethics Office in advance. the approval of the Chief Legal Officer.
Never make any political contribution for
Never make any political contribution on
the purpose of improperly gaining a
behalf of State Street without approval.
benefit for State Street. You must never
All political contributions made by or on
make a political contribution with the
behalf of State Street must be approved
intent of obtaining or retaining business
by the CEO. Political activities require
or any other advantage.
the approval of the Chief Legal Officer
Do not use the name of any State Street and the Chief Ethics Officer.
entity in connection with your own or
Lobbying
another person’s personal political
contributions or activities. This includes Never lobby on behalf of State Street
keeping the State Street name off any without approval. Lobbying is a regu-
political solicitation message or lated activity. Any lobbying on behalf of
fundraising collateral. State Street must be conducted by, or
under the auspices of, RIGA. Note that
Do not use State Street resources most contacts with elected officials,
for personal political activities. either individually or as part of a group,
For example, do not: could be construed as lobbying and
• Engage in political activities may require documentation and/or
while at work reporting. If you think there is any
• Use State Street computers, email, chance that an activity would constitute
printers, copiers, phones, or other lobbying, contact RIGA.
equipment for political purposes Procurement lobbying. In addition to
• Pressure co-workers, business the activities described above, certain
partners, or clients to participate jurisdictions may require employees
in political activities and/or entities that solicit government
business to register as lobbyists.
• Solicit contributions or coordinate
the solicitation of contributions Where required to do so, you must
from any person while at work or register as a lobbyist. Contact the
by using State Street resources Ethics Office if you have questions.

Transitions Complete all required training and
paperwork on time. Completing
Any change in your employment status
your initial ethics and compliance
or job function typically involves a
requirements is a fundamental
change in the policy requirements
condition of employment, and missing
to which you are subject. It may also
a deadline is a serious matter.
involve changes in your physical or
systems access permissions. It is your Never disclose to anyone at State Street
duty to stay abreast of these changes. any confidential information from
a third party or former employer.
Joining State Street
This information could be considered
Study and absorb the ethics and inside information. Disclosing
compliance requirements of your new confidential information of another
job. Statistically, there is an above- without the right to do so could also
average risk of policy violations during cause damage to State Street.
the first days of employment (mainly
because of lack of awareness of the Changing Jobs Within State Street
rules). You can help lower that risk by Review with your manager any changes
familiarizing yourself with our ethics in applicable requirements or access.
and compliance policies as early You should be notified of any changes,
as possible. but it is your duty to check with the
manager for your new position about
all policies, rules, laws, records
management practices, and access
permissions to physical spaces as well
as State Street electronic networks and
data. Employees transferring to certain
business units may be required to
disclose their political contributions
prior to any transfer being approved.
Such contributions may impact your
ability to move into certain roles.
Managers must ensure that adequate time is set
aside for new employees to read and understand
our policies and requirements, and must help
familiarize new employees with these policies
and requirements.

Records are Be aware that in some cases, Accuracy and Completeness
knowledge or records from a previous
critical for the State Street position could be
Carefully review all statements and
representations. Any representation
operation of considered inside information in your that you make in the course of your
new position. To avoid any breaches
our business. of information barriers, consult your
duties must be true, complete, and
accurate. This responsibility extends
manager or the Ethics Office. to records that were drafted by
others under your supervision or
Leaving State Street
oversight, or records that you use
Return all company property. This in the performance of your role.
includes electronic devices and other Carefully evaluate statements that
equipment, physical records, and purport to be factual, and include
information and materials created appropriate disclaimers when
while working on behalf of State Street. necessary. If the statement or
Be aware of those responsibilities that representation requires personal
you remain bound to. These include: judgment, ensure the judgment is
made in good faith, and consistent with
• Continuing to maintain confidentiality
applicable industry standards, laws,
• Continuing to protect and regulations. For example, all
intellectual property accounting judgments should be
• Continuing to refrain from consistent with Generally Accepted
trading on inside information Accounting Principles.
• Honoring any post-employment Perform appropriate diligence before

obligations created by contract or law making personal or corporate
certifications. Take great care when
In some cases you may also be
you are asked to certify matters such
obligated to support an ongoing or
as your personal compliance with our
future investigation or legal action.
policies, accuracy of your account
In cases where you are not obligated,
holdings, or the particulars of an event
we may ask that you do so.
or transaction. If you have a question
about the matter you are being asked to
Recordkeeping certify, contact whoever is requesting
the certification and discuss the matter
Records are critical for the operation of
with them. These certifications are
our business, for legal purposes, and
part of our control environment and
for documenting our financial results
should not be made without due care.
and our compliance with law and policy.
The same level of due diligence should
As a State Street employee, you are
occur for any certifications you are
personally responsible for the integrity
asked to make on behalf of State Street
of the records, reports, and information
to clients, regulators, or other parties.
that you prepare or control.
Such matters may include State Street’s
compliance with client policies,

Rules to Live By contractual requirements or the Never destroy records that could
accuracy of regulatory, financial, or be relevant to an investigation.
If you see other submissions. If you are unclear This applies with respect to any lawsuit
something, whether you authorized to make such or regulatory examination and to any
a certification on behalf of State Street, type of investigation, inquiry, audit,
say some- you should discuss the matter with or other proceeding, whether internal
thing. your manager. or external.
Never alter or falsify a business record.

This applies universally, but in Speaking Up
particular to the following situations: “If you see something, say something”
• Falsification of books, records, and “If you’re not sure, ask.”
or accounts for purposes of fraud
These are rules to live by.
or deceit (for example, backdating
Every State Street employee has
documents or submitting
a duty to let us know of any actual
falsified expense reports or
or possible violations of policy or law.
inaccurate time records)
In addition, if you have a question
• Altering a record after the fact, or concern, you should bring it to
in particular in anticipation of an your manager, your compliance
audit or investigation (whether representative or the Ethics Office to
internal or external); address any make sure it is handled properly.
issues by providing an explanation
at the time the issues are identified. Guidance on Speaking Up
Alteration includes selective removal Promptly report all known, suspected,
or destruction of material or content or potential violations. If you have
reason to believe that there may
Record Retention and Document
have been a violation of law or policy,
Destruction Policies
whether by you or someone else,
Understand and follow the record you must escalate the matter.
retention and document destruction
policies that apply to your records. Additionally, if you have knowledge
These policies may differ by business of a threat or safety issue that has the
area. Do not keep any information, potential to impact the workplace,
especially confidential information, you must notify Global Security
past its retention date established by promptly (e.g., a restraining order
contract or law, with the important with workplace safety implications,
exception of any information you are or specific threats against a
still using or on which a legal hold has State Street facility).
been placed. Legal hold instructions
supersede all other instructions.
When disposing of confidential
information, be sure to do it securely.

You have You have many other options for The Chief Legal Officer and General
reporting concerns (see pages 39-40), Counsel are also authorized to grant
many options including our whistleblower hotline. exceptions to rules in this policy, based
for reporting The hotline is available for concerns on a review of relevant facts and
regarding known or suspected circumstances, such as local customs
concerns. violations of law or regulations, or laws, contractual obligations, and
questionable business conduct, and financial hardships. Any employee
matters pertaining to accounting may submit a request in writing to the
practices, internal accounting controls, Chief Legal Officer or General Counsel.
or auditing. The hotline is active Exceptions will be granted only if
24 hours per day, 7 days per week, there is a compelling reason, and
365 days per year and is operated by an any exception granted must remain
independent third party. You can report consistent with the general intent
anonymously (except where local law and principles of this policy.
does not permit), although identifying
If the employee requesting an exception
yourself allows us to act as quickly and
is an executive officer for purposes of
appropriately as possible. All reports
Section 16 of the Securities Exchange
are provided to the Board of Directors’
Act of 1934, the Chief Legal Officer
Lead Director, the Chief legal Officer
must also submit the proposal to the
and the General Auditor, and are held
Examining and Audit Committee of the
in the strictest confidence to the extent
Board of Directors for consideration.
permitted by law.
Any waivers granted to Section 16
officers must be disclosed to the
Administration Examining and Audit Committee and
Administered by the Ethics Office. publicly disclosed.
All employees are required to read
All decisions on interpretation and
this policy and successfully complete
exceptions are made at the discretion
a training certification when joining
of the Chief Legal Officer or General
the company and annually thereafter.
Counsel (and the Examining and Audit
In order to ensure compliance with
Committee, where applicable) and
the Standard of Conduct, you are
are conclusive.
required to comply with any Ethics
Office request for information. This policy is not an employment
contract and does not create a right
Interpretation/exceptions. The Chief
to continued employment for any
Legal Officer and General Counsel
length of time or any other right in
are authorized to interpret this policy
favor of employees.
and provide guidance. They have also
extended these same powers to the
Corporate Compliance Officer and
the Chief Ethics Officer.

Amendment Policy. The Ethics Office
will periodically review and update this
document as it considers necessary
and following consultation with the
Chief Legal Officer or the General
Counsel. The electronic version of the
Standard of Conduct will contain any
changes made to the document after its
date of printed publication. In the event
of any such change, the electronic
version will be the most up-to-date.
Manager Responsibilities Administration

Managers should be aware that they have an A senior attorney (senior vice president or
impact on our employees’ willingness to raise above), the Senior Compliance Officer, the
issues and concerns. Managers must act Chief Legal Officer, or the General Auditor
promptly on any reports they receive, which may must be advised of information concerning
include further reporting up the management any apparent or possible violation of law or
chain or to the whistleblowing hotline, Global fraudulent activity, identifying it in that manner.
Human Resources, Legal, Compliance, the If the situation involves the Chief Executive
Ethics Office, Global Security Control Center, Officer or Chief Financial Officer, the matter
or elsewhere as appropriate. Managers must must be reported to the General Auditor or the
never engage in or tolerate any retaliatory Chief Legal Officer, who will keep each other
behavior and must promote a work environment informed of the situation and will immediately
that does not permit retaliatory behavior. advise the Chairman of the Examining and
Audit Committee of the Board of Directors.
Communications from the whistleblower hotline
are forwarded within State Street for further
action as appropriate.

Who Should I Contact?
For questions or concerns about Actual or possible violations of policy or law

policies or situations
• your manager
• your manager
• the Ethics Office
• your business-aligned Senior Compliance Officer
• Legal
• the Ethics Office
• Global Security
• Global Human Resources
• Lead Director of the Board
• Legal (via confidential whistleblower hotline)
ethics@statestreet.com
ghrservicectr@statestreet.com
Complaints/concerns about company policies Workplace safety including suspicious

or conduct including complaints about accounting or activities, criminal or irregular behavior
accounting controls, auditing or potential corruption
• if injury or damage is imminent,
• Lead Director of the Board contact police, fire, or other appropriate
(via confidential whistleblower hotline) outside emergency personnel
• in all other cases,

contact Global Security:
North America: +1 617 985 8475
EMEA: +44 203 395 4444
APAC: +612 9323 6242

Who Should I Contact? (cont.)
The Network
Confidential
Reporting
333 Research Court
Norcross, GA 30092 USA
www.tnwinc.com/webreport
US and Canada 1 888 736 9833 Japan KDD: 00531 11 4442

Cable & Wireless IDC: 0066 33 801143
Austria 0 80 200 288 then 1 888 736 9833 Softbank Telecom: 0066 33 112661
NTT: 0034 800 900131
Australia 1 800 08 7428
South Korea 00798 11 002 1599
Belgium 0800 7 5651
Luxembourg 800 2 7148
Cayman Islands 1 888 736 9833
Netherlands 0800 022 7427
China Telecom South: 10 800 110 0731
China Netcom: 10 800 711 0788 Poland 0 0 800 111 1730
France 0800 91 2790 Singapore 800 110 1607
Germany 0800 180 8934 South Africa 0800 981 281
Hong Kong 800 90 3272 Switzerland 0800 89 6872
India 000 800 100 1389 Taiwan 00801 10 4147
Ireland 1 800 550 000 then 1 888 736 9833 UAE 0 800 121 then 1 888 736 9833
Italy 800 788952 UK 0808 234 4889

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Emp.Code No.
NOMINATION FORM
To,
M/s. HCL Technologies Limited

A-11, Sector-16
Noida - 201 301
1. I, Mr/Ms. _________________ ( Name in Full here) , hereby nominate the person(s) mentioned below to receive the benefits
under the Term Life and Group personal accident Policy , payable after my death in proportion indicated against the name(s) of the
nominee(s).
2. This document supercedes any previous nominations.
NOMINEE (S)
Proportion Name of
Nominee's by which Guardian
relationship Age of the (In case
Name of nominee/nominees Address of Nominee
ID No. with the Nominee Insurance nominee is
Employee amount will a minor)
be shared
Note : * ID No. could be either Passport No. / Driving License No. / Voter’s ID No. / PAN Card No.
Name of the employee in Full _____________________________________
Father’s / Husband’s Name _____________________________________
Residential Address _____________________________________
Gender _____________________________________
Marital Status _____________________________________
Date of Birth _____________________________________
Designation _____________________________________
Emp. Code No. _____________________________________
Date of Appointment _____________________________________
Place: Noida
Date:
Signature or thumb impression of the Employee

DECLARATION BY WITNESSES
Nomination signed/thumb - impressed before me

Name in full and full addresses of witnesses
1 ……………………………………………………………………………………………………………………………………………………………..
2 ……………………………………………………………………………………………………………………………………………………………..
Signature of Witnesses :
1 ………………………………………………………………………. Date:…………………………. Place:…………………………………….
2 ………………………………………………………………………. Date:…………………………. Place:…………………………………….

Not applicable ?kks"k.kk i=k DECLARATION FORM QkeZ&1@Form-1
?kks"k.kk i=k deZpkjh }kjk Hkjk tk,xkA QkeZ ds LkkFk iksLVdkMZ vkdkj ds nks QksVksxzkQ Hkh yxk, tkus pkfg,A QkeZ Hkjus ls igys
ihB i`"B ij nh xbZ fgnk;rksa dks Hkyh&Hkkafr i<+ ysuk pkfg,A ;g QkeZ fu%'kqYd gSA
To be filled by employee after reading instruction overleaf. Two Postcard Size phtographs to be attached with the
form. This form is free of cost.
¼d½ chekÑr O;fDr ds fooj.k ¼[k½ fu;kstd ds fooj.k
(A) INSURED PERSON'S PARTICULARS (B) EMPLOYER'S PARTICULARS
1- chek la[;k@Insurance No. 9- fu;kstd dh dwV la[;k

Employer's Code No.
2- uke ¼Li"V v{kjks esa½
Name in block letters
10- fu;qfDr dh rkjh[k fnu eghuk o"kZ
Date of Appointment Day Month Year
3- firk@ifr dk uke
Father's/Husband's Name 11- fu;kstd dk uke vkSj irk@Name & Address of the Employer
4- tUe dh frfFk fnu eghuk o"kZ 5- oSokfgd fookfgr@ __________________________________________________
Date of Birth Day Month Year izkfLFkfr vfookfgr __________________________________________________
Marital fo/kok __________________________________________________
Status M/U/W 12- ;fn igys fu;kstu esa jgs gSa rks Ñi;k fuEufyf[kr C;kSjs nhft,
6-fyax@Sex iq-e-/M.F. In case of any previous employment please fill up the details as under.
7- orZeku irk@Present Address 8- LFkk;h irk@Permanent Address ¼d½ fiNyh chek la[;k
______________________ ______________________ (a) Previous Ins. No.
______________________ ______________________ ¼[k½ fu;kstd dwV la[;k
______________________ ______________________ (b) Employer's Code No.
fiu dksM fiu dksM
Pin Code Pin Code ¼x½ fu;kstd dk uke o irk
VsyhQksu uEcj@bZ&esy irk@ VsyhQksu uEcj@bZ&esy irk@ (c) Name & Address of the Employer
'kk[kk dk;kZy; vkS"k/kky;

Brach Office Dispensary
VsyhQksu uEcj@bZ&esy irk@e-mail address
¼d½ e`R;q dh fLFkfr esa udn fgrykHk ds Hkqxrku ds fy, d-jk-ch- vf/kfu;e] 1948 dh /kkjk 71@d-jk-ch- ¼dsUnzh;½ fu;e] 1950 ds fu;e 56¼2½ ds varxZr ukfer ds C;kSjsA
(c) Details of Nominee u/s 71 of ESI Act 1948/Rule-56(2) of ESI (Central) Rules, 1950 for payment of cash benefit in the event of death.
uke@Name ukrsnkjh@Relationship irk@Address
eSa ,rn~}kjk ?kks"k.kk djrk@djrh gwa fd esjs }kjk izLrqr fd, x, fooj.k esjh tkudkjh vkSj fo'okl ds vuqlkj lgh gSA eSa vius ifjokj ds lnL;ksa esa gq, ifjorZu dh lwpuk
15 fnu ds Hkhrj izLrqr djus dk opu Hkh nsrk gwa@nsrh gwaA
I hereby decalare that the particulars given by me are correct to the best of my knowledge and belief. I undertake to intimate the corporation any
changes in the membership of my family within 15 days of such change.
fu;kstd ds izfrgLrk{kj chekÑr O;fDr ds gLrk{kj@vaxwBk fu'kku

Counter signature by the employer Signature /T.I.of IP.
lhy lfgr gLrk{kj

Signature with seal
¼?k½ chekÑr O;fDr ds ifjtuksa dk fooj.k
(D) Family Particulars of Insured person
Ø-la- uke QkeZ Hkjus dh rkjh[k deZpkjh ds lkFk ukrsnkjh D;k muds lkFk jg ;fn ugha rks vkokl
SI. No. Name dks vk;q@tUe&rkjh[k Relationship with the jgs gSa\ crk,a dk LFkku n'kkZ,a
Date of Birth/Age as on Employee Whether residing If' No' state Place of
date of filling form with him/her. Residence
gk¡@Yes ugha@No dLck@Town jkT;@State
d-jk-ch- fuxe vLFkk;h igpku i=k ¼fu;qfDr dh rkjh[k ls 3 eghus rd oS/k½

ESI Corporation Temporary Identity Card (Valid for 3 month from the date of appointment)
uke@Name
chek la[;k@Ins. No. fu;qfDr dh rkjh[k@Date of appointment
'kk[kk dk;kZy; vkS"k/kky; QksVks ds fy, LFkku
Branch Office Dispensary (Space for photograph)
fu;kstd dh dwV la[;k o irk

Employer's Code No. & Address
oS/krk
Validity
rkjh[k chekÑr O;fDr ds gLrk{kj@vaxwBs dk fu'kku lhy lfgr 'kk[kk izca/kd ds gLrk{kj
Dated Signature/T.I. of I.P. Signature of B.M. with seal
vuq n s ' k
INSTRUCTIONS
1- QkeZ&1 dk izs"k.k d-jk-ch- ¼lk/kkj.k½ fofu;e] 1950 ds fofu;e 11 o 12 ds varxZr fofu;fer fd;k tkrk gSA
Submission of Form-I is governed by regulation 11 & 12 of ESI (General) Regulations, 1950
2- ßdqVqEcÞ ls fdlh chekÑr O;fDr ds fuEufyf[kr lHkh vFkok dksbZ ukrsnkj vfHkizsr gS%&
vFkkZr~%& ¼1½ fookfgrh ¼2½ chekÑr O;fDr ij vkfJr dksbZ /keZt ;k nÙkd vo;Ld vkfJr ckyd] ¼3½ dksbZ ckyd tks chekÑr O;fDr
ds miktZuksa ij iw.kZr% vkfJr gS rFkk tks ¼d½ f'k{kk izkIr dj jgk gS] muds 21 o"Z dh vk;q izkIr dj ysus rd ¼[k½ dksbZ vfookfgr iq=kh]
¼4½ dksbZ ckyd tks fdlh 'kkjhfjd vFkok ekufld vilkekU;rk ;k pksV ds dkj.k f'kfFkykax gS rFkk f'kfFkykaxrk jgus rd chekÑr O;fDr
ds miktZuksa ij iw.kZr% vkfJr gS] ¼5½ vkfJr ekrk&firk] ¼C;ksjs gsrq d-jk-ch- vf/kfu;e] 1948 dh /kkjk 2 ds [kaM 11 dks ns[ksa½A
Family means all or any of the following relatives of an Insured Person namely:-
(i) a spouse (ii) a minor legitimate or adopted child dependant upon the I.P.; (iii) a child who is wholly dependant on the
earnings of the I.P. and who is (a) receiving education, till he or she attains the age of 21 years (b) an unmarried daughter;
(iv) a child who is infirm by reason of any physcial or mental abnormality or injury and is wholly dependant on the earnings
of the I.P. so long as the infirmity continues; (v) dependant parents (Please see Section 2 clause 11 of the ESI Act 1948 for
details.
3 igpku&i=k vgLrkUrj.kh; gSA

Identity Card is Non-Transferable.
4- igpku&i=k ds xqe gksus dh fLFkfr esa fu;kstd@'kk[kk izca/kd dks rRdky lwfpr fd;k tk,A
Loss of Identity Card be reported to Employer/Branch Manager immediately.
5- fdlh izdkj dh xyr lwpuk nsus dh fLFkfr esa d-jk-ch- vf/kfu;e] 1948 dh /kkjk&84 ds rgr dkuwuh dk;Zokgh dh tk ldrh gSA
Submission of false information attracts penal action Under Section 84 of ESI Act. 1948.
6- ubZ fu;qfDr dh fLFkfr esa Hkyh&Hkkafr Hkjk gqvk ;g QkeZ fu;qfDr ds nl fnu ds Hkhrj lacaf/kr 'kk[kk dk;kZy; esa vo'; gh izLrqr fd;k
tkuk pkfg,A foyEc dh fLFkfr esa fu;kstd ds fo#) /kkjk&85 ds rgr dkuwuh dk;Zokgh dh tk ldrh gSA
This form duly filled in must reach the concerned Branch Office within 10 days of appointment of an Employee. Delay
attracts penal action under Section 85 of the Act, against employer.
7- chekÑr O;fDr gksus ds ukrs vki o vkids ifjokj ds vkfJrtu fpfdRlk fgrykHk izkIr dj ldsaxsA vU; udn fgrykHk gSa] ¼1½ chekjh
fgrykHk ¼2½ vLFkk;h viaxrk fgrykHk ¼3½ LFkk;h viaxrk fgrykHk ¼4½ vkfJrtu fgrykHk ¼5½ izlwfr fgrykHk ¼efgyk deZpkjh ds fy,½A
As an insured person you and your dependant family membes are entitled to full medical care. The other benefits in cash
include (1) Sickness Benefit (2) Temporary Disablement benefit (3) Permanent disablement Benefit (4) Dependants benefit
and (5) Maternity Benefit (in case of woman employees) subject of fulfillment of contributory cnditions.
8- vf/kd tkudkjh ds fy;s Ñi;k fuxe ds osclkbV dks nsa[ksa ;k 'kk[kk dk;kZy; ;k {ks=kh; dk;kZy; ls laidZ djsaA
For more details please contact website of ESIC at www. esic.org. in. or contact Regional Office or Branch Office.
dsoy 'kk[kk dk;kZy; esa iz;ksx gsrq

For Branch Office Use only
1- chek la[;k vkoaVu dh rkjh[k %

Date of allotment of Ins. No. :_________________________________________
2- vLFkk;h igpku i=k tkjh djus dh rkjh[k %

Date of Issue of T.I.C. :______________________________________________
3- vkS"k/kky; dk uke@la[;k %
Name /No. of Dispensary : ___________________________________________
4- D;k vU;ksU; fpfdRlk O;oLFkk miyC/k gS\ ;fn gkaa] rks mYys[k djsa %
Whether reciprocal Medical arrangements involved. if yes, please indicate :
'kk[kk izcU/kd ds gLrk{kj

Signature of Branch Manager
Ø-la- uke QkeZ Hkjus dh rkjh[k deZpkjh ds lkFk ukrsnkjh D;k muds lkFk jg ;fn ugha] rks vkokl
SI. No. Name dks vk;q@tUe&rkjh[k Relationship with the jgs gSa\ crk,a dk LFkku n'kkZ,a
Date of Birth/Age as on Employee Whether residing If' No, state Place of
date of filling form with him/her. Residence
gk¡@Yes ugha@No dLck@Town jkT;@State

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CRIMINAL DISCLOSURE DECLARATION

I, ___________________ Son/Daughter/Wife of _____________________,

1. Whereas that I am a citizen of India by birth and residing at above

3. That I bear a good moral character.

4. That all documents submitted by me to support my claims of Education /

Employee’s Signature: ____________ WITNESS SIGN 1: ______________

Statestreet HCL Services (India)Private Limited. 1

3. Vilifying products, affiliates and competitors.

5. Coming to work intoxicated.

8. Breach of Regulatory Compliance

Employee’s Signature*: _________________________________

Statestreet HCL Services (India)Private Limited. 2

Disciplinary action can include:

Severity of action will depend on:

I, __________________________________, S/o/D/o/W/o ______________________________, hereby

Employee’s Signature*: __________________________

Statestreet HCL Services (India)Private Limited. 3

I ………………………………………. Son\Daughter \Wife of …………………………………………. aged about ………………

B) That in compliance with Notification No.........................Date………………………. written consent

Solemnly affirmed and before me

Sincerely stated at Notary Public

* this........... day of ………20......

Manager HR Dated: ____________________

Dear Sir / Madam,

Subject: Consent for working in night shifts in terms of notification no.

1 _______________________________________ employee code no. ________________________

working as _______________________________ in Statestreet HCL Services (India)Private Limited. At

Statestreet HCL Services (India)Private Limited. 4

Name of the Joinee: ____________________________________________________________

Appointment Ref. No.: ___________________________________________________________

Terms & Condition’s of Employment

Employee Name: ____________________________________________________________

Statestreet HCL Services (India)Private Limited. 5

Employee’s Signature*: _________________________________

Employee Name: _________________________________

Employee Code: __________________________________

Statestreet HCL Services (India)Private Limited. 6

Statestreet HCL Services (India)Private Limited. 7

Section 3 Internet Usage Policy

Employee’s Signature* ____________________________

Employee Name: ____________________________

Employee Code: _____________________________

Statestreet HCL Services (India)Private Limited. 8

1) TREATMENT OF CONFIDENTIAL INFORMATION

b) If I am required to disclose confidential information pursuant to a valid and existing order of a

2) DEFINITION OF CONFIDENTIAL INFORMATION

“Confidential Information” shall include all:

Employee’s Signature*: _________________________________

Statestreet HCL Services (India)Private Limited. 9

Employee’s Signature*: _________________________________

Statestreet HCL Services (India)Private Limited. 10

Employee’s Signature*: _________________________________

Statestreet HCL Services (India)Private Limited. 11

As a condition and consideration of my employment or association with Statestreet HCL Services

e. Employee Acknowledges Importance of Confidential Information. I acknowledge that all

Employee’s Signature*: _________________________________

Statestreet HCL Services (India)Private Limited. 12

I, _ Son/Daughter/Wife of ___,

Employee’s Signature: WITNESS SIGN 1: __

I, ____, S/o/D/o/W/o , hereby

1 _______________ employee code no.

Date: _ Employee Code:____

I, _, S/o, W/o, D/o ___