BUSINESS ETHICS ASSESSMENT
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- Poppy Spencer
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1 TENDER / ASSIGNMENT TENDER / ASSIGNMENT NUMBER TENDER MANAGER / ASSIGNMENT LEADER AUTHOR DATE PART 1 (2) BUSINESS PARTNER NAME REGISTERED ADDRESS HOMEPAGE VISITING ADDRESS (IF DIFFERENT FROM ABOVE) REGISTRATION DATA OF THE LEGAL ENTITY TO BE CONTRACTED BY SWECO Swec Business Partner Sectin A E, t be filled ut and signed by the Business Partner The Swec grup is cmmitted t cmplying with all applicable business ethic laws when perfrming assignments, als referred t in Swec grup s Cde f Cnduct, Swec CSR Plicy and subsequently clarified in Swec Business Ethics Guidelines. In additin t the general Business Partner Risk Assessment, as per Swec s quality assurance rutines and required prir t signing f cntract with any Business Partner, this Business Ethics Assessment is als required prir t cntract signing as well as every 12 th mnth during the cntract perid. The fllwing Swec grup dcuments are included as attachments: Cde f Cnduct CSR plicy Business Ethics, Anti-bribery and Crruptin Guidelines Swec Grup s Guidelines fr Gifts and Entertainment If requested by Swec, infrmatin given shuld be verified by supprting dcumentatin. After cmpletin, the assessment must be signed by an authrised representative f the Business Partner and returned t yur cntact persn at Swec. A - Facts abut the Business Partner A1. Name f Executive Management individuals (CEO, CFO, COO), Bard f Directrs as well as significant (> 25 %) Owner(s) f the Business Partner s legal entity: 1 (6) Swec
2 A2. In additin t the individuals listed under questin A1, state the name f all keyemplyees (e.g. Team Leaders, Lead discipline engineers, Special Senir Advisrs) f the Business Partner, r third party suppliers, wh are expected t prvide supprt t Swec. A3. Are any Executive Management individuals (CEO, CFO, COO), Members f the Bard f Directrs, significant (> 25 %) Owner(s) f the Business Partner r any key-emplyee f the Business Partner r third party supplier wh is expected t prvide supprt t Swec, a current r frmer (during the last 5 years) Public Official 1? If yes, please describe. Have any f these individuals had in the last 5 years, an emplyment status r ther affiliatin with any gvernment agency, financer(s) r internatinal rganisatin that may be invlved, directly r indirectly, in the scpe f wrk under this prject? If yes, please describe. A4. Des the Business Partner currently have r did the Business Partner previusly have a relatinship with Swec? If yes, please describe. B - Facts abut the prject / assignment B1. Name and lcatin f the prject/assignment as well as lcatin where the Business Partner will perfrm its services fr the assignment: 1 The term Public Official includes elected r appinted fficials at all levels f gvernment; emplyees r fficers f a natinal, reginal r lcal gvernment; emplyees r fficers f a gvernment wned r cntrlled entity; emplyees r fficers f public internatinal rganisatins (e.g., the Wrld Bank and ther internatinal financial institutins); r plitical parties, plitical party fficials and candidates fr public ffice. The term Public Official shall als include any ther persn wh is carrying ut activities n behalf f a gvernment, gvernment-wned entity, public internatinal rganisatin, plitical party, r Public Official. 2 (6)
3 B2. Name and lcatin, if knwn, f Swec s Client fr the assignment, r if applicable, the Client s lcal executing agency fr the assignment: B3. Type f Business Partner relatinship. Sub-cnsultant, cnsrtium partner r agent/representative? Chse type f cperatin. B4. Ttal value f the services (fees and reimbursable expenses) intended t be prvided by the Business Partner: B5. Please describe the wrk that the Business Partner will perfrm. Will the Business Partner be invlved in securing business r in applying r btaining any apprvals, permits, licences r registratins -- frm gvernments r private parties -- needed fr Swec t fulfil its bligatins under its assignment? If yes, please specify. B6. Will the Business Partner be invlved in r be respnsible fr any financial transactins under the assignment? If yes, please specify. C - Facts abut the Business Partner s financial capacity and financial cmpliance C1. What was the Business Partner s annual revenue fr the last 3 years and annual net prfit during this perid? What is the prjected revenue fr the current year? C2. State the Business Partner s ttal Current Assets (e.g. cash and equivalents, accunts receivables, stck inventry and prepaid liabilities expected t be cnverted int cash in < 1 year) fr the latest peridic accunts. (Nt applicable if being self-emplyed) 3 (6)
4 C3. Is the Business Partner registered t pay all statutry taxes? Cnfirm with YES that there are n current debts in cnnectin with taxes, duties r levies due t any public administratin(s). If N, please explain why. C4. Please enclse supprting dcumentatin r describe the Business Partner s financial accunting rutines demnstrating the capacity t present cmpliant invices, including time sheets and supprting dcumentatin fr legitimate reimbursable expenses. D the financial and accunting rutines cmply with natinal legislatin and has the auditing f the accunts resulted in penalties r suspensins lately? D - Facts abut the Business Partner s peratinal capacity and capability. D1. Des the Business Partner have a Quality, Envirnmental and Health and Safety management system? If nt please describe what quality assurance rutines are in place. D2. Please describe hw the Business Partner intends t allcate key-staff fr the assigned scpe f wrk, with regards t permanent existing emplyees, new recruitments, temprary emplyees r Sub-Cnsultants. (The infrmatin requested can als be presented as part f the answer t questin A2.) E - Facts abut the Business Partner s Business Ethics cmpliance recrd. E1. Please enclse supprting dcumentatin r describe the Business Partner s Crprate and Scial Respnsibility rutines including Business Ethics, Anti-bribery and Anticrruptin. 4 (6)
5 E2. Have the Business Partner, its Executive Management individuals (CEO, CFO, COO), Members f the Bard f Directrs, significant (>25 %) Owner(s) r key persnnel fr this assignment during the last 5 years engaged in, r been subject t suspensin, debarment r penalties due t, any unethical behaviur r miscnduct? E3. Over the last 3 years, has the Business Partner, r any persn affiliated with the Business Partner (including Owners, Bard members, Executive Managers, key persnnel fr this assignment) been investigated cncerning ptential breach, r have been determined t have breached i) any criminal laws r regulatins f any nature, r ii) any ther gvernment r internatinal rganisatin measures (criminal, civil, r administrative), cncerning fraud, crruptin, cllusin, r cercive practices? If s, please describe. Final cnfirmatin by the Business Partner. As an authrised representative f ur legal entity, I hereby cnfirm that: - The infrmatin given in this Business Ethics Assessment is true and crrect; - I have read Swec Grup s Cde f Cnduct; CSR plicy; Business Ethics, Anti-bribery and Crruptin Guidelines; as well as Swec Grup s Guidelines fr Gifts and Entertainment. and cnfirm that all emplyees, permanent and temprary as well as any subcnsultants engaged in the assignment by r thrugh us, have understd the Guidelines and will cmply fully with the Cde and Plicy.; - (Only applicable fr assessments repeated fr the same Business Partner under the same cperatin agreement, which has been in frce fr 12 mnths r lnger). There have been n findings, r suspicins, f any breach f the Swec Cde and CSR plicy by any emplyees, permanent and temprary as well as any sub-cnsultants engaged by us r thrugh us, since the last assessment was perfrmed. - If I have any dubts r questins, n hw t apply the Cde and Plicy and interpret the Guidelines, I understand that I can seek guidance and clarificatins frm Swec Grup s Cmpliance Officer r Legal Cunsel; and 5 (6)
6 - I am aware that Swec has the right t immediately terminate any cperatin agreement established due t breach f cntract, and take subsequent legal actin: - if infrmatin given in this frm is suspected t be incrrect; - if there is a suspected breach by any f ur emplyees, permanent and temprary as well as any sub-cnsultants engaged by us r thrugh us, f the afrementined Cde and Plicy r breach f any applicable laws. Date: Click here t enter a date. Place: Name (in letters): Signature: Title/Psitin: 6 (6)
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