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Goldman Sachs India Human Capital Management Important Information on the Background Check Process

Welcome to Goldman Sachs Background Check Process Overview Congratulations on accepting an offer of employment from Goldman Sachs! Background Check Process As part of the ing formalities, you are required to go through our background check process. This is an online process, and you are required to provide all the required details via an online employment application form as soon as possible. Annexure A: Completing the Online Employment Application Form Please complete steps 1 – 10 of the employment application forms and action alerts process. Instructions for completing the action alerts are included in Annexure A.

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Getting Started

Provide Personal information

Provide Current Addresses information

Provide Address History information

Provide Education information

Provide Employmen t History information

Provide Licenses/ Certificates information

Provide Other/ Registration information

9 Provide Relationships information

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Review Summary and Submit application

Complete Info Release and Action Alerts

Annexure B: Providing Hard Copy Documentation Please send a signed copy of the Information Release Form (see step 11 of the above process) and all other relevant ing documentation (contained in Annexure B) to: Mr. Saju Samuel GS Services Pvt. Ltd Embassy Golf Links Business Park Off Kormanagla Ring Road, Domlur, Bangalore Pin: 560071, India We look forward to your ing us at the earliest opportunity Please make sure that this online employment application form and corresponding action alerts are completed and all required documentation sent as soon as possible. The background check cannot be initiated until we receive the completed online employment application form, signed information release form and ing documents.

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Annexure A Instructions and Tips for Completing the Online Employment Application on HR WorkWays®

Completing Your Online Employment Application Form Hints and Tips for Completing the Online Employment Application Hints and Tips Completing the Form • Make sure that you identify all the information that you need to complete the form prior to starting the form online. If you have collated and summarized all the information you will need prior to completing the form, this will significantly reduce the time taken to complete the form online, and will help you to identify any missing information you may require to fully complete the online employment application form. You cannot submit the form until all the mandatory fields have been completed Setting Aside Time to Complete the Form • Depending on your personal data, the form can take between 45 – 90 minutes to complete. Make sure you schedule time to complete this form, and plan accordingly to ensure you have internet access available for the time when you are completing the form. Please note, HR WorkWays® is not available between 6 a.m. and 6 p.m. GMT on Sundays (10.30 a.m. and 10.30 p.m. IST) Save as Draft • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information you entered if you do not click Save as Draft Capturing Dates on HRWW • Dates must be entered in the format: MM/DD/YYYY e.g. 15 July 2007 needs to be entered as 07/15/2007 • You will receive an error message if you have entered either record overlaps or record gaps • Ensure that where you have a number of records that they follow sequentially e.g. one record could run from 01 July 2004 to 13 October 2006, the next record should then run from 14 October 2006 to 21 December 2006 • For Address History details, provide the dates to the best of your knowledge Internet Speed • The speed of your internet connection may affect your ability to complete the online application. If possible, it is recommended that you use a high-speed connection (e.g. cable, DSL or network) rather than a dial-up connection Closing internet windows • Do not close out of a window without saving your data – if you do not save the data or if you close out of a window, it will be lost Navigating in HRWW • If you need to return to a previous tab, right click the mouse. Closing out of the window you are in will not take you back to the previous page, and you will have to start over again

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Completing Your Online Employment Application Form Any Questions/Problems You have not received the HRWW URL or (within 24 hours of receiving the URL email) • If your e-mail provider employs a spam blocker, your e-mails may have been blocked or routed to a designated spam folder. Please remove your spam blocker and/or check your spam folders for your emails • If you still find that you did not receive one or both e-mails, ring GS HR Direct, Goldman Sachs’ dedicated service center. GS HR Direct can be ed on: • Toll free number: 000 – 117 866 292 3803 • Bangalore local number: 080-41274801 (you will be charged local/STD charges as applicable) •

GS Direct are available Monday to Friday, 24 hours per day. They will be able to all your system and online employment application questions.

You have tried to log on more than 5 times, and the system is now locking you out • Ring GS HR Direct, Goldman Sachs’ dedicated service center. They can be ed on 000 – 117 866 292 3803 (toll free) or 080-41274801 (local Bangalore number, you will be charged local/STD charges as applicable), Monday to Friday, 24 hours a day. You are experiencing issues ing GS HR Direct • If you are experiencing any issues with phoning GS HR Direct on the numbers above, please email us at [email protected]. If you provide us with the best number, we will ask GS HR Direct to telephone you directly in response to your issue

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Completing Your Online Employment Application Form Before You Start……

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Before starting the online employment application form, you must have the following information to hand: Provide Personal information

Provide Address information

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Permanent Number (PAN), if you have one port number, if you have one

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Apartment name/number, street, city, state and country details, plus your pin code Start and end date that you lived at each address – you will need to provide day, month and year information You will need to provide all current address history, including primary/secondary/campus address details if relevant You will need to provide 10 years of address history that can include all of the above address types

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Provide Education information

School Information • School name, address (including state and pin code), plus start and end date attended (including day, month and year information) College Information • University and College name, student ID, registration ID, and state and city details •

Provide Employment History information

Provide Licenses/ Certificates information

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Employer name, address, street, city, state, country details, plus your pin code – for all employers, including your current employer Start and end date of employment (including day, month and year information) Job title, Corporate Title upon leaving, Employee ID, salary details, and reason for leaving Manager name and office numbers, for reference purposes If you have gaps in your employment history, you will need to provide details of any periods of unemployment

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License/certification name and license/certification number (if applicable) Issue and expiry date Name of issuing authority, plus state and country of issuing authority

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Completing Your Online Employment Application Form Getting Started

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Logging On After you have received a verbal offer of employment, or have accepted your offer, you will receive two e-mails from Goldman Sachs with “Goldman Sachs HR WorkWays®” in the subject lines: • •

The first e-mail will provide you with a ID and the URL to access the HR WorkWays® (HRWW) website The second e-mail will provide you with your

These e-mails will be delivered to the personal e-mail address that you provided to your recruiter. You should receive the email within 24 hours of your receiving the first e-mail. If you do not receive the e-mail within two days of receiving the first e-mail, please GS HR Direct, Goldman Sachs’ dedicated service center (see page 5 for details) You will initially see two action alerts, which need to be completed as soon as possible:

Once you have returned your signed offer letter you will receive a third email. Upon receiving the third email, you will see six additional action alerts. These must all be completed prior to your first day of employment with Goldman Sachs.

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Completing Your Online Employment Application Form Getting Started

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Click on the Complete Employment Application link

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This will bring you to a screen with instructions for this section of the application. Read all instructions carefully and thoroughly

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Once you have read the instructions and gathered the information and ing documentation you will need, access the Employment Application by clicking on the blue link on the left hand side of the screen

It is critical that the information you provide is complete and accurate; discovery of any inaccuracy could lead to disciplinary action, up to and including withdrawal of the offer or termination of employment.

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Completing your Online Employment Application Form Getting Started

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Read the instructions, and then press

It is critical that the information you provide is complete and accurate; discovery of any inaccuracy could lead to disciplinary action, up to and including withdrawal of the offer or termination of employment.

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Completing your Online Employment Application Form Completing the Personal Information Tab

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Please enter all required information under the headings and complete all fields (mandatory fields are marked with *):

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Name National ID (Permanent Number) – if you do not yet have a PAN number, ensure all fields of this section blank port details – if you do not have a port, ensure all fields of this section blank Personal phone number details - the most commonly used phone types are “Primary 1”, “Cell 1” and “Home 1” Personal e-mail address details

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Please be sure to enter all names by which you have been known previously e.g., maiden name. If you have worked for Goldman Sachs as a contingent worker/employee previously with a different name, communicate this to your recruiter

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button, and then click Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 10

Completing your Online Employment Application Form Completing the Current Addresses Tab

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Third cross, fourth block Koramangala

Please enter all required information under the headings and complete all fields (mandatory fields are marked with *) Please Note: Only include current addresses on this tab. For previous addresses, please navigate to the Address History tab

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Click the

button, and then click

Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 11

Completing your Online Employment Application Form Completing the Address History Tab

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10 Years of Address History Required Provide all previous addresses where you have resided for the past 10 years - do not include the current address details that you entered on the previous page. Incase of multiple addresses, please enter them in ascending order i.e. starting from the oldest address to the recent address. Format for Entering Address History Dates Address history dates must be entered in the format: MM/DD/YYYY e.g. 15 July 2007 needs to be entered as 07/15/2007. If you resided at more than one address for a specific period of time e.g. during college/university, you will need to select one address as the Primary Address and enter any other addresses as different address types. Address History Record Overlaps Address history record dates cannot overlap, so please ensure that where you have a number of previous addresses that they follow sequentially. You must not leave any gaps in your Address History, the system will prevent you from moving to the next tab.

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Please make sure that your Address History dates do not overlap with Current Address dates for the different Address Types you have selected. You will get a system error message if submit either overlapping dates, or have a gap in record history. Click the

button, and then click Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • : Overlapping records and record gaps will result in a system error message – make sure dates are consecutive with no gaps 12

Completing your Online Employment Application Form Completing the Education Tab

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Fill in all High School/Secondary School/Equivalent information and all College/University information. Please note that the “High School/Equivalent” field asks for the name of your high school or equivalent institution. There are two options: • High School – select this option to enter your details for Class 10th, 11th, 12th or PUC (Pre-University College) • Diploma – this option is not relevant for schooling in India – please do not select this option •

Ensure that the information you provide on the online employment application form accurately matches the information providing in the ing documentation you provide. Inconsistencies will be investigated.

Format for Entering Education Dates Education history dates must be entered in the format: MM/DD/YYYY e.g. 15 July 2007 needs to be entered as 07/15/2007. Please do not include any study abroad programs which you may have participated in while enrolled in another degree program.

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Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 13

Completing your Online Employment Application Form Completing the Employment Tab

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Current Employment details Provide your current employment details, and regarding the end date, incase you are in the process of finalizing the date with your current employer, then please ensure you enter a tentative end date. 10 Years of Employment History Required Provide a complete 10 year previous employment history prior to your current Goldman Sachs offer of employment, including parttime, full-time, summer and temporary work experience and paid and unpaid professional internships. If you do not have consecutive periods of employment, you must for any periods of unemployment during your employment history in the Unemployment History section. Include any employment which you have presented to the Firm on your resume, including previous history with Goldman Sachs. If you have worked at the same organization over more then one summer, please enter each summer period as a separate entry on the Employment History tab. Employment history record dates cannot overlap, hence ensure dates follow sequentially.

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Format for Entering Employment History Dates Employment history dates must be entered in the format: MM/DD/YYYY e.g. 15 July 2007 needs to be entered as 07/15/2007 Click the button, and then click Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • : Overlapping records and record gaps will result in a system error message – make sure dates are sequential with no gaps 14

Completing your Online Employment Application Form Completing the Licenses and Certifications Tab

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The licenses and certifications listed in the drop down box are those that are currently listed in our database. If you elect to update a license or certification, please enter all required information under the headings and complete all fields (mandatory fields are marked with *) If your license or certificate is not listed on our database, you will not be able to update it at this stage. Please complete the rest of the employment application form without this information, and the Human Capital Management once you have started your employment with Goldman Sachs. Please Note: For any licenses and certifications you are in the process for studying/applying for, you can update these once you have ed the firm.

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Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • : Information submitted in employment form must accurately reflect that provided in hard copy. Inconsistencies will be investigated. 15

Completing your Online Employment Application Form Completing the Other Information Tab

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You will be held able for entering all relevant information on this tab, including disclosure of any criminal record. If you are unsure of whether an incident in your past constituted a crime, please do your research before completing your Goldman Sachs Employment Application. It is critical that the information you provide is complete and accurate; discovery of any inaccuracy could lead to disciplinary action, up to and including withdrawal of the offer or termination of employment.

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Click the

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Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 16

Completing your Online Employment Application Form Completing the Registration Tab

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Complete the registration questions as required

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Click the

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Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 17

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Completing your Online Employment Application Form Completing the Relationships Tab

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Complete the registration questions as required

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Click the

button, and then click Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 18

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Completing your Online Employment Application Form Reviewing the Summary and Submitting Your Online Employment Application

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Please review all the information that you have submitted on the Summary tab to ensure it is accurate and complete. If there are any mistakes, return to the appropriate tab and make the necessary changes

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when you are sure that all the information is correct. It is advised that you print this screen for your own records.

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Read the Information Release Authorization form and click the box to indicate that you have read and accept all of the of the Employment Application and its uses. Click ‘Submit’ to finalize the Complete Employment Application Action Alert. (Please note, once you click ‘Submit,’ you will not be able to re-enter or change any information in your Employment Application.)

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You will then see a screen which indicates that your submission was successful and a link to a printable version of your application. Please be sure to print a copy of your application for your records as you may be asked to refer to it during the background check process. If you do not have access to a printer, please save a copy of the printable version to your hard drive or a disk.

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Click the Close Window button at the top right of the screen. You will be directed back to the screen with the instructions for completing the Employment Application. Either right-click your mouse to go back to the Welcome to HR WorkWays® screen, or close out of your internet application and re-logon to HRWorkWays®. You have now completed your Online Employment Application.

Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 19

Completing your Online Employment Application Form Next Steps

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Information Release Form: Once you have submitted the employment application, please click on the Complete Information Release Forms alert to print the information release form and final transcript request form. Please sign these forms and send them to Goldman Sachs with all the relevant ing documents. These forms must be sent as soon as possible since the background check cannot be initiated until we receive the signed information release form and final transcript.

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Remaining Action Alerts: Complete the remaining action alerts. Once each action alert has been completed, it will disappear from your screen. You will know that you have successfully completed all the necessary pre-employment steps when there are no remaining action alerts. All the action alerts need to be completed prior to your first day of employment with Goldman Sachs.

Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • It is recommended that you click Save as Draft frequently (every 10 minutes). The time out feature does not automatically save the information 20

Annexure B Documentation Required for the Background Check Process

Providing Hard Copy Documentation Protocol and Providing Documentation Please ensure that you include the following hard copy documents when you return your signed offer letter to Goldman Sachs For Education Verification: • A photocopy of the degree certificate and mark sheet for all the years of attendance • For Bangalore University: • A photocopy of both the sides of the Degree Certificate (the reverse side of the certificate has some information which the University would require) • Copies of the Marks Sheets/Grade Card for all the years of attendance • Name of the College through which the candidate has graduated For Employment Verification: • Photocopies of experience letters/relieving letters from all your previous employers • Employee code • The exact dates of your employment (DD/MM/YY) • Company location and details • Full Name, address & direct numbers of the Supervisor • If deputed, mention complete company name, address and details of the agency You must also return the following hard copy documentation - all are MANDATORY: • One photocopy of your port (mandatory) – first page (with the photo) and last page (with your address details) • One photocopy of your PAN card • One photocopy of your driving license • Signed copy of the Information Release Form

Hints and Tips • For any issues, GS HR Direct on 000 – 117 866 292 3803 (toll free number) or 080-41274801 (Bangalore local number, charged at local rates), Monday to Friday, 24 hours a day • Provide good quality copies of all your ing documents, otherwise, we may need to ask you to provide better quality copies 22