Due Diligence Questionnaire for Companies
As part of BorgWarner’s commitment to comply with anti-corruption laws, the Company hascommercial third parties take part in a due diligence review to determine that they are reputable,
qualified, and ethical or not substantively connected to Government Entities and/or Government
Officials (as defined below).
We also expect and requires you to conduct your business in line with our Code of Ethical Conduct(LINK).
Please answer all questions with as much information as possible and avoid using abbreviations
and acronyms. If you have any questions, you may contact the employee who provided you withthis Questionnaire. Thank you very much for your cooperation and compliance with our policies
and this due diligence process.
Please note that the following definitions are used in this document:• “Government Official” means (i) an officer, employee, agent, or representative of any
government or military; (ii) any person acting in an official capacity for or on behalf of aGovernment Entity; (iii) any candidate for political office, any political party, or any officialof a political party; or (iv) any officer, employee, agent, or representative of any public
international organization.
• “Government Entity” means any (i) department, agency, corporate entity, instrumentality,
or political subdivision of any government or military; or (ii) any company in which a
Government Entity as defined in (i) of this clause owns an interest.
No. Question
Response
Section 1 – Basic Information
1.
Full legal name (English)
2.
Full legal name (local language)3.
Any other names the business operates
under4.
Registered address
5.
Operation address or place of business6.
Telephone number
7.
Website8.
Industry type9.
Description of products or services
provided to be provided to BorgWarner
10. Who are the individuals at the company
who will be responsible for working withBorgWarner?
11. Does the business operate as a soletrader, joint venture, company, orpartnership?
Section 2 – Company Representative Information
12. Company representative completing this Questionnaire:(a) Name(b) Job title
1No. Question(c) Email address(d) Phone number
Section 3 – Further Company Information
13. Year and country of incorporation?
14. Number of employees
15. Describe Company’s business experienceand qualifications relevant to the products
to be supplied/services to be performed.
16. Is the company publicly listed? If so,please provide details.
17.

Who are the members of the company’s
governing board?

18.

Who are the principal officers of thecompany?

19.

Does the company have any parent,
subsidiary or affiliate companies that will
be involved in providing business services
to BorgWarner in any country? If yes,
please describe the business services andstate the name of the legal entity.
20. Does the company plan to use any
contractors, agents, or other third parties
that will be involved in providing businessservices to BorgWarner in any country? If
yes, please describe the business services
and state the name of the legal entity orentities.
Section 4 – Government Relations
21. Is the company, any shareholder or partnerin the company, or any subsidiaries,
owned in any part by a Government
Official or a person related to a
Government Official (this includes partial
State-Owned Enterprises)? If yes, please
explain the government ownership and list
the names of the Government
Officials/Entities and their total percentage
ownership interest.
22. Will the company interact with any
Government Entity or Government Official
when performing business activities
for/with BorgWarner? If yes, please
explain.
23. Has the company done business with aGovernment Entity or Government Official
2Response

Yes
No
Comments:

Yes
No
Comments:

Yes
No
Comments:

Yes
No
Comments:

Yes
No
Comments:

Yes
NoNo. Question
within the last 3 years? If yes, please
explain and provide the approximate
percentage of annual revenue derived fromsuch activities.
24. In the last three years, has the company
hired any current or former Government
Officials as employees, agents,consultants, or subcontractors? If yes,please explain.
25. Is/was any director, officer, manager,employee, or agent of your company aGovernment Official at the present time orwithin the past 3 years?

Response
Comments:

Yes
No
Comments:

Yes
No
Comments:

If yes, is/was the individual working in acapacity or government function which inany way could be used to confer any
benefit for BorgWarner?
26. Is any key employee or seniorYesmanagement member of the company
Norelated (by blood, marriage, current or past Comments:
business association or otherwise) to a
Government Official? If yes, pleaseexplain.
27. Does any Government Official or aYes
member of a Government Official’s familyNo
have any interest in or stand to benefit inComments:
any way as a result of the proposed
relationship with BorgWarner? If yes,please explain.
Section 5 – Legal Violations, Enforcement, and Investigations
28. Has there been any investigation, charge,Yes
judgment, or conviction against theNoCompany or employees, principals or
Comments:
shareholders for any actual or alleged
criminal act, including fraud,
misrepresentation, bribery or other similar
activities, or any civil act involving suchallegations, as well as any ongoinginvestigation with respect to matters ofsuch nature? If yes, please explain.
29. Is the Company prohibited from bidding on Yesor otherwise entering into governmentNocontracts? If yes, please provide details.
Comments:
30. Has the Company been subject to theYes
withdrawal or suspension of anyNo
authorizations, licenses or permits in theComments:
last five years?
3No. Question
Section 6 – Systems and Internal Controls
31. Does the company have any codes ofconduct applicable to its business andemployees? If so, please attach them tothis form.
32. Does the company have policies andprocedures to detect and prevent violationsof the FCPA, UK Bribery Act 2010, andother anti-corruption laws?
33. Does the company provide training to its
employees and agents on its codes ofconduct, anti-trust, and/or anti-corruption
policies?
34. Does the company screen any agent,consultant, or other subcontractor forbribery or corruption risk before their hiring
or renewal?
35. Does the company audit its financialstatements?
36.

Does the company maintain its books andrecords in accordance with generally
accepted accounting principles (GAAP),
International Financial ReportingStandards, and/or recognized accounting
standards in its country of incorporation
and any other countries in which it would
conduct activities on behalf ofBorgWarner?
Section 7 – References
37. Please provide at least 2 businessreferences, including contact information.
Section 8 – Compliance Confirmations38. Is it legal for the Company to enter into thisproposed transaction?
39.

40.

Does the company agree to abide by theprovisions of applicable laws in providing
goods and services under the proposedagreement?
Please confirm that you have read andagree to abide by the BorgWarner Code of
Ethical Conduct in providing goods andservices under the proposed agreement.

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Response
Yes
No
Comments:
Yes
No
Comments:
Yes
No
Comments:
Yes
No
Comments:
Yes
No
Comments:
Yes
No
Comments:

Yes
No
Yes
No

Yes
NoCertification of Company Representative
By submitting this Questionnaire, you certify on behalf of the company that:a) You are an authorized representative of the company.
b) All answers are accurate, current, and complete to the best of your knowledge;c) The company will conduct business in line with our ethical values and will not directly or
indirectly offer, make or provide any bribe or other improper payment or thing of value inconnection with any business dealing or regulatory or governmental matter involving orrelating to BorgWarner or any of its products, services or technologies; andd) You agree to contact BorgWarner promptly if there are any material changes to theinformation you have provided.
Signature:
Name:
Title:
Date:________________________________________________________________________________________________________________________________________________________________________________

Revision A February 15, 2021

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