Data Collection for Business Partner Integrity Check Instructions for Use. Transparent in business.

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1 Data Collection for Business Partner Integrity Check Instructions for Use Transparent in business

2 Content 1. Introduction: Siemens Compliance Due Diligence Process Workflow Overview of the Compliance Due Diligence Process Start of the data collection process: Login Provide information and submit data What happens to the data? What happens after the integrity check been completed? Country-specific requirements... 6 Siemens AG 2012 BPC_Data_Collection_User_Handbook_External_v1.0_r4.doc Page 2/6

3 1. Introduction: Siemens Compliance Due Diligence Process Building sustainable partnerships Certain third party intermediaries engaged by Siemens are to be selected following a thorough, documented due diligence process designed to ensure that Siemens and the business partner get a long-term, collaborative relationship. Common challenges, convincing answers Siemens global activities entail collaboration with many different business partners. Mutual trust is essential to these relationships. All dealings must be fair and transparent after all, Siemens may be held liable for third-party actions. Our compliance due diligence process is structured and straightforward. It supports the selection of Business Partners subject to the necessary care and in line with compliance requirements. Furthermore, it ensures that the relationship with a Business Partner is responsibly evaluated and managed. This will ensure that we get a long-term collaboration with reputable and qualified Business Partners. Siemens Compliance Due Diligence Process Prior to the engagement of a Business Partner, the concerned Siemens entity has to perform a compliance due diligence. Based on a risk assessment of the proposed business relationship, the due diligence questionnaires include internal information obtained from the potential business partner as well as publicly available external information from independent sources. The required information varies depending on the type and content of the planned business relationship and provides a transparent overview of the proposed business relationship. The due diligence process is repeated for all Business Partners at defined intervals. Your contribution In order to ensure the highest data quality and to make the process for the collection of data as efficient as possible, you are requested to provide information required for performing the due diligence using this portal. The information exchange is based on state-of-the-art IT standards and it ensures that the data provided will only be used for the purpose of performing the due diligence check. This handbook provides an overview of the main functionalities of the workflow implemented for the collection of data from our partners using an automated, web-based interface. Siemens AG 2012 BPC_Data_Collection_User_Handbook_External_v1.0_r4.doc Page 3/6

4 2. Workflow This chapter provides a description of the workflow and of the steps to be performed during the data collection process. 2.1 Overview of the Compliance Due Diligence Process The person performing the business partner integrity check, i.e. the person responsible for the business relationship at Siemens will have to complete the following process steps: 1. Gather key data of the business partner and enter it in the IT tool supporting the process 2. Describe the intended business relationship and collect detailed information about the business partner 3. Have the intended business relationship and the available information reviewed and approved by one or more authorized persons. The whole process is supported by an IT system which guides the user through all of the required workflow steps. The data collection required for step 2 is supported by a web portal that is accessible to the external partners. The use of this interface ensures a standardized process and will help to maintain a high level of data quality during the overall process. 2.2 Start of the data collection process: Login After the person performing the check has decided to use the external data collection process and has triggered the involvement of a dedicated contact person of the business partner, the Siemens-internal tool triggers an to the specified contact person. This contains information about the due diligence process in general as well as information about the access to the data collection platform. This includes the internet link ( URL ) connecting the partner to the external platform. In addition, the contact person receives a separate with an initial password. Please click on the link provided in the first to access the web portal. You will be asked to provide your login information. Please enter your address and the initial password sent to you by separate . Enter your address Enter initial password If the user has forgotten the password, they have the option to request a new, one-time, password. Please follow the link saying Forgot password? on the login page. After specifying the address, the new temporary password will be sent via separate . The initial password needs to be changed to a new password immediately for data security reasons. This new password has to be entered twice for verification. Siemens AG 2012 BPC_Data_Collection_User_Handbook_External_v1.0_r4.doc Page 4/6

5 Enter new password twice Enter initial password 2.3 Provide information and submit data After a successful login, the questionnaire is available for the user. A short description on the top of the page gives an overview of the functionality. In addition, more detailed information like this user handbook is provided in a separate section of the web site. Please go through the questions one by one and provide the requested information. If you are not sure which information has to be provided, further guidance is available when clicking on the light bulbs ( ) provided in the Help column for most of the questions. While editing the questions, the user has the following options: save the content and continue, save the content and exit (content can be completed later on), reset (discard all entered data). A printing functionality is provided which can be used to obtain a comprehensive overview of all questions and the answers already completed. For some of the questions, the users will be asked to upload further information. Please use the button to open the upload functionality, select the respective file in the directory on your computer and press the button to transfer the file to the system. Please note: Uploading files is restricted to certain file formats depending on the actual question. Please observe the guidance provided in the web portal to choose a suitable file format. As soon as all questions have been answered, the user needs to submit the data by clicking the button. Please note: It is possible to submit the data even if all questions have not been fully answered. In these cases, the person initiating the request will probably ask for this information at a later point in time. After submitting the data, the data will be locked. The external partner will still be able to view and print the data but will no longer be able to edit the information. The data will finally be deleted on the external web portal as soon as the due diligence process has been completed. If the person requesting the data requires updates or would like to retrieve additional information it is possible to re-start the data collection process. In this case, the contact person of the external business partner will again be informed by an to update the data on the web portal. The existing login information ( address, personal password) can be re-used. 2.4 What happens to the data? The data provided via the external web portal will be used exclusively for the purpose of performing an integrity check as described in chapter 1. As long as the data has not been submitted using the Siemens AG 2012 BPC_Data_Collection_User_Handbook_External_v1.0_r4.doc Page 5/6

6 Finalize function, it will only be accessible for the person having entered it (i.e. the person authenticated on the web portal by the address and the personal password). As soon as the data has been transferred to the Siemens internal system, a selected number of persons will be able to see this data. These are persons involved in the actual due diligence process as well as a restricted number of persons from the Siemens compliance organization. Personal data such as the name and address of key persons or key employees will be visible for the initiator of the request and the involved reviewers/approvers only. This personal data will be deleted on the Siemens internal system as soon as the due diligence check has been completed. Siemens undertakes all reasonable efforts to ensure that the data is protected from unauthorized access. 3. What happens after the integrity check has been completed? After the integrity check has been successfully completed the person responsible for the business relationship on Siemens side will contact you to discuss the further steps required for entering into a partnership such as definition of the concrete service scope, drafting of a contract, agreement on terms and conditions of the relationship etc. 4. Country-specific requirements The IT system used for collecting data from business partners is applied for various partners worldwide. Due to the fact that regional or country-specific requirements apply (concerning the content and the documents required) during the due diligence process, specific requirements may apply for the country where the business partner has its place of business or performs services on behalf of Siemens. Details on country-specific requirements as well as templates to be used for the preparation of documents required for perfoming the Due Diligence process can be found directly on the website used for the data collection in the section Documentation. Document history Version Major changes to previous version V1.0 Initial version Siemens AG 2012 BPC_Data_Collection_User_Handbook_External_v1.0_r4.doc Page 6/6