Common use of Personal Integrity Clause in Contracts

Personal Integrity. Addresses those personal, day-to-day activities that have an impact on work integrity. • Avoiding Conflicts of Interest 8 • Financial Controls and Records 8 • ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ & Stock Tipping 9 • Equal Employment Opportunity 9 Schedule I I - 3 RCSI / First Data Confidential COMMITMENT TO INTEGRITY ETHICAL BUSINESS PRACTICES (POLICY 20.4) Who Should Be Particularly Aware Of The Policy? • Individuals who represent the company before customers or the government. • Individuals who work with sales reps, agents or represent GE in any way. FOLLOWING INTERNATIONAL TRADE CONTROLS Who Should Be Particularly Aware Of The Policy? • Individuals who are involved in international activities. Schedule I I - 4 RCSI / First Data Confidential COMMITMENT TO INTEGRITY SUPPLIER RELATIONSHIPS Who Should Be Particularly Aware Of The Policy? • All individuals with direct supplier contact. WORKING WITH U.S. AND NON- U.S. GOVERNMENT AGENCIES Who Should Be Particularly Aware Of The Policy? • Any individual who comes in contact with government officials or works on government contracts. • Any individual who works in a government-regulated industry or business. Schedule I I - 5 RCSI / First Data Confidential COMMITMENT TO INTEGRITY COMPLYING WITH THE ANTITRUST LAWS Who Should Be Particularly Aware Of The Policy? • All individuals are responsible for complying with the antitrust laws and this policy. • If your job involves contacts with competitors, setting prices or other terms or conditions of sale, marketing, purchasing, participating in trade associations or standards-setting groups, working on acquisitions, divestitures or joint ventures, you should have a detailed familiarity with the policy and with the GE business component’s guidelines relating to antitrust and competitive contacts. Schedule I I - 6 RCSI / First Data Confidential COMMITMENT TO INTEGRITY HEALTH, SAFETY AND ENVIRONMENTAL PROTECTION Who Should Be Particularly Aware Of The Policy? • All individuals. PARTICIPATION IN HAZARDOUS BUSINESS Who Should Be Particularly Aware Of The Policy? • Those who have any contact with or knowledge of this type of material or process. Schedule I I - 7 RCSI / First Data Confidential COMMITMENT TO INTEGRITY AVOIDING CONFLICTS OF INTEREST Who Should Be Particularly Aware Of The Policy? • All individuals. FINANCIAL CONTROLS AND RECORDS Who Should Be Particularly Aware Of The Policy? • All individuals. Schedule I I - 8 RCSI / First Data Confidential COMMITMENT TO INTEGRITY ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ AND STOCK TIPPING “Inside information” is defined as: • Information that is material (i.e., a reasonable investor might consider it important in deciding whether to buy or sell a security). • Information that is non-public (i.e., it has not been reported in the media and investors have not had access to it). Assume that information is “inside information” if it is non-public and it would affect in any way your own consideration of whether to buy or sell the security in question. Who Should Be Particularly Aware Of The Policy? • All individuals. • Individuals with early access to market-sensitive information (contract awards or acquisitions, for example). EQUAL EMPLOYMENT OPPORTUNITY Who Should Be Particularly Aware Of The Policy? • All individuals. COMMITMENT TO INTEGRITY PROPRIETARY AND CONFIDENTIAL INFORMATION If you have an individual contract or consulting agreement with GE, you may have further obligations concerning proprietary or confidential information. Schedule I I - 10 RCSI / First Data Confidential COMMITMENT TO INTEGRITY HOW TO HANDLE AN INTEGRITY CONCERN If you suspect that there has been a violation of law or of GE policy, report it promptly: Note: • You may report anonymously. The important thing is not to let a concern be swept under the rug. • GE policy forbids retribution against any person for reporting or supplying information about an integrity or compliance concern. THE ACKNOWLEDGMENT YOUR PERSONAL COMMITMENT TO INTEGRITY • Your signature means that you: • received this document on GE policies; • understand that compliance is every individual’s responsibility; • agree not to misuse proprietary or confidential information; and • agree to report concerns to the GE Business Integrity Helpline or the GE Corporate Ombudsperson, or ask questions if you would like further information regarding the policies. Schedule I I - 11 RCSI / First Data Confidential INTEGRITY HELPLINES GE CORPORATE ▇▇▇ ▇▇▇-▇▇▇▇ GE AIRCRAFT ENGINES ▇▇▇ ▇▇▇-▇▇▇▇ GE APPLIANCES ▇▇▇ ▇▇▇-▇▇▇▇ GE CAPITAL ▇▇▇ ▇▇▇-▇▇▇▇ GE INDUSTRIAL SYSTEMS – PLAINVILLE ▇▇▇ ▇▇▇-▇▇▇▇ GE INDUSTRIAL SYSTEMS – FT. ▇▇▇▇▇ ▇▇▇ ▇▇▇-▇▇▇▇ GE INFORMATION SERVICES ▇▇▇ ▇▇▇-▇▇▇▇ GE LIGHTING ▇▇▇ ▇▇▇-▇▇▇▇ GE MEDICAL SYSTEMS ▇▇▇ ▇▇▇-▇▇▇▇ GE PLASTICS ▇▇▇ ▇▇▇-▇▇▇▇ GE POWER SYSTEMS ▇▇▇ ▇▇▇-▇▇▇▇ GE SUPPLY ▇▇▇ ▇▇▇-▇▇▇▇ GE TRANSPORTATION SYSTEMS ▇▇▇ ▇▇▇-▇▇▇▇ Schedule I I - 12 RCSI / First Data Confidential ACKNOWLEDGMENT FOR GE SERVICE PROVIDERS I hereby acknowledge that I have received the document entitled: “Commitment to Integrity; Your Responsibilities While On A GE Assignment.” I understand that I am required to comply with the policies described herewith while on assignment at General Electric Company or any affiliate thereof (hereafter “GE”). Also, in consideration of my assignment at GE, I agree not to use, publish or otherwise disclose to anyone (except as my GE assignment may require), either during or after my assignment at GE, any confidential or proprietary information or data of GE, or any information or data of others which GE is obligated to maintain in confidence. I understand that any information, ideas, or inventions made or conceived by me while on my GE assignment are the property of GE.* At the end of my assignment I agree to deliver to GE promptly all items which belong to GE, including, without limitation, all written and other materials which are of a confidential or a proprietary nature relating to the business of GE. I understand that if I am unsure what information is considered proprietary or confidential, or if I am unsure of my obligations under this agreement, I will ask my primary GE contact for clarification. I agree to report any policy concerns to the GE Business Integrity Helpline or to the GE Corporate Ombudsperson. I confirm that I have no agreements with or obligations to others in conflict with the above. Signature Date Name GE Assignment Location (City, State) Witness Date * If you have an individual contract / consulting agreement with the Company, you may have further obligations. Please refer to your individual Agreement for specific details. Please remit to your agency or (if none) your primary GE contact. Schedule I I - 13 RCSI / First Data Confidential