1. Getting Ready for Dawn Raids
Toolkit for DCC Group Businesses
Unless otherwise approved by the Managing Director or the Finance Director in writing

2. Types of external investigations
What is this about? Every business in the DCC Group is subject to wide range of legal and regulatory obligations. The directors of the business are responsible for maintaining a strong set of controls in place to ensure the business complies with its obligations in these areas. Many businesses in the Group will be inspected or audited by relevant enforcement bodies as part of their day-to-day operations. Examples of this include: food safety authorities inspecting manufacturing and processing facilities; health & safety authorities auditing manufacturing or storage facilities; and transport authorities doing checks on vehicles. However, from time to time, enforcement bodies also carry out investigations into suspected illegal activity. These investigations may include surprise visits, often called “dawn raids”, on the premises of any business or on the homes of its directors or employees. Purpose of this Toolkit This Toolkit provides guidance for Group businesses on how to respond to a dawn raid. It includes a template Dawn Raid Process which should be adapted for use at every premises of the business in question. Why is this important? Being able to respond effectively to external enforcement activity, especially a dawn raid, is critical for every business in the Group. Not doing this could mean that an investigation is made longer or more extensive or even that fines or imprisonment are imposed which should have been avoided. Who should use this Toolkit? The Compliance Coordinator in each business should use this Toolkit to ensure that the business is properly prepared for a dawn raid. The template Dawn Raid Process on pages 4 to 13 should be adapted by the Compliance Coordinator to meet the needs of the business, including by reference to other policies and processes that may already exist in the business such as the emergency response plan or crisis communication plan. The Leadership Team should discuss and review the readiness of the business to respond to a dawn raid. When the Dawn Raid Process has been reviewed and approved, it will be necessary to brief some key groups of employees, in particular anyone who works at reception and members of the IT team. Can we get support and training on this? Yes. Please contact Darragh Byrne or, in the Energy Division, David Wilson, if you have any queries or questions about how this Toolkit should be used or if you would like to facilitate a discussion on dawn raid or on investigations more generally with the Leadership Team in your business.

3. Key Outputs
When you have used this Toolkit, you should be able to demonstrate that all of the following have been done:
The Leadership Team has discussed and approved a Dawn Raid Process, including how it works with other relevance policies or processes in the business, such as the emergency response plan or crisis communication plan.
Relevant employees in the business have been briefed on the Dawn Raid Process, in particular the leadership team, employees working on reception and members of the IT team.
Those employees have easy access to the Process in case a dawn raid takes place.
You have sent a copy of your final Dawn Raid Process to Group Compliance.

4. EXERTIS CAPTECH AB Dawn Raid Process
Unless otherwise approved by the Managing Director or the Finance Director in writing

5. Background What is a dawn raid?
Every DCC Group business is subject to a wide range of laws, e.g. covering health & safety, environmental, data protection, competition, tax and bribery. Many of the bodies who enforce these laws have powers to carry out surprise searches, often called “dawn raids”, as part of investigations into illegal activity.
Dawn raids are carried out where an enforcement body believes that illegal activity may have taken place and they want to find evidence of it. They carry out an unannounced inspection because they believe that otherwise that evidence might not be produced voluntarily or even destroyed.
Therefore, routine inspections of business premises (for example, by food safety or trading standards inspectors) are not dawn raids. Those inspections are not investigations into suspected illegal activity: they are part of day-to-day enforcement activity. A dawn raid will therefore focus on documents and interviewing witnesses about past events rather than on checking that current operations are being done in a compliant way.
Why being ready for a dawn raid matters
If a dawn raid is carried out, it usually means that the business, and possibly also individual directors and managers in it, are under investigation for a crime. Managing a dawn raid badly – in particular any witness interviews that are done – can be very damaging for the business and individual employees within it. Dealing with a dawn raid badly could mean that an investigation is made longer or more extensive or even that fines or imprisonment are imposed which could have been avoided.
Avoiding dawn raids
The best way to make sure there are no dawn raids is:
Make sure we are compliant with all the laws that affect us, by having a strong set of compliance controls in place, so that we can prove that we are compliant.
Maintain relationships with relevant enforcement bodies so that they feel they can approach us with concerns rather than having to do a dawn raid.

6. Overview of Dawn Raid Process
Stage
What happens?
Who is involved in the business?
(Who needs to be trained?)
Time
Stage 0
Officials from an Enforcement Body arrive to do an unannounced investigation (not a routine review).
Stage 1
Receptionist greets officials and contacts a member of management to engage with them.
Reception.
0 – 10 mins
Stage 2
Member of management meets with the officials, mobilises external help and starts internal response.
Senior member of management.
5 – 60 mins
Stage 3
Dawn raid starts – documents, phones, computers inspected and/or taken and members of staff interviewed.
Members of management.
IT staff.
Legal advisers.
Staff who are interviewed.
30 + mins
Stage 4
Dawn raid ends.
Members of management.
Legal advisers.
1 – 3 days

7. Management Contact List
STAGE 1
[This page must be accessible for all staff who work on Reception. It should be saved to the desktop of the Reception computer.]
When Do I Use This?
Use this if people from an enforcement body, perhaps with the police, arrive at reception and say that they are doing an unannounced investigation. (They will have no appointment and may not ask for any person in the business by name.)
What Do I Say?
Thank you. I will have a senior member of management come down immediately.
I want to make sure I know who is here. Can I take a copy of your documents or can you write your names and the organisation you are from on this piece of paper please?
Can you wait in reception please for a few minutes while I get someone to help you? Can I offer you tea or coffee?
What Do I Do?
Stay calm. Do not be obstructive. Just follow the steps set out below.
Call the people listed below in the order their names appear. Advise the first person you speak to that officials have arrived to do an unannounced inspection. Tell them the name of the organisation. Ask them to come to reception immediately.
Do not stop calling until you have contacted a person on this list. Leaving messages is not enough.
The officials should wait a few minutes for a member of management to meet them. However, if they refuse to wait, do not try to stop them .
Management Contact List
Daniel Johnsson, Managing Director, cell – ,
Mats Roosemark, Marketing/PR Director, cell – ,
Robert Arn Lundberg, Financial Director, cell – ,
Jonas Silander, Business Director, cell – , home – ,
Carl Forsman, IT-department, cell – ,
Linus Nordling, Compliance Manager, cell – , home – ,

8. STAGE 2 PAGE 1
[The 3 pages of Stage 2 must be easily accessible to all senior members of management in the business and their assistants.]
When Do I Use This?
If you get a call from reception telling you that officials from an enforcement body have arrived to start an unannounced investigation.
What Do I Do?
Stay calm and be polite. You will gain nothing by being obstructive and you may be committing a criminal offence.
Re-read this page. Keep this Dawn Raid Process with you during the dawn raid and use it as a checklist.
Immediately call your external lawyers using the contact list on the next page Tell them that officials from the enforcement body have arrived to do a dawn raid and that you are about to meet them. Ask if/when they will be able to attend at the office where the dawn raid is happening. Make sure you know what time they will be there.
Call or text “Dawn Raid in Exertis CapTech Sweden” to the Head of Group Compliance on
Have a member of staff arrange a confidential meeting or conference call with (1) the senior management team, (2) the external lawyers you have just contacted, and (3) the Head of Group Compliance, for around one hour later. This will give you time to meet the officials.
Meet the officials in reception. Introduce yourself. Bring them into an empty meeting room (not an office or another room with files or computers in it). Offer tea and coffee.
Ask the officials to state the purpose of their visit. Make clear that the business will be fully cooperative. Advise the officials that in line with normal practice you have asked for legal advice from your law firm. If the lawyers are able to attend, ask the officials if they will wait until the lawyers arrive. They will usually agree to wait for 30 minutes or so, but you cannot force them to do so.
Ask for and take copies of any legal permission (e.g. a warrant) that allows the officials to do the dawn raid. Check it for any obvious errors (e.g. the wrong company is named). Have the document(s) faxed or ed to your external lawyers.
Now, start practical preparations for the investigation, but do not get into a discussion on the subject of the investigation. Ask the officials what information and people they need. They are likely to need support from your IT staff for example. Ask what other support they need (use of private room, photocopiers, etc.). Discuss what information can be given to staff, including the initial referred to below. Managing these initial steps builds trust: being obstructive merely makes things a lot worse.
When you have agreed these initial steps with the officials, start making arrangements for the investigation to proceed. Again, try to agree with the officials that they will allow time for these steps to be taken – and for your external lawyers to arrive. If they refuse to wait, you should not interfere. However, you should point out where certain documents, computers, phones, etc. are outside the scope of their investigation.
Brief the rest of the management team at the meeting or conference call that you set up. The key step is to agree how the investigation will be managed. In particular, if your external lawyers cannot attend at the office, you will need to arrange members of staff to shadow the officials.
Issue an , ideally agreed with the officials, to all staff in the office using the template in the schedule below.
Finally, if the dawn raid takes place over more than one day, agree with the officials what arrangements apply overnight. In particular, make sure cleaning and security staff are told to remain out of certain areas of the office and above all not to interfere with seals placed on doors, or filing cabinets. If necessary place a security guard and/or focus CCTV on the area. (A company was fined €38 million in 2008 just for breaking a seal put in place by officials of the EU Commission during a dawn raid.)

9. STAGE 2 PAGE 2 Johan Carle Mobile: +46 709 777 576
[The 3 pages of Stage 2 must be easily accessible to all senior members of management in the business and their assistants.]
Name of Lawyer
Phone Numbers
Address
Johan Carle
Mobile:
Direct:
Assistant: Ida Grundström
Tommy Pettersson
Mobile:
Direct:
Mårten Andersson
Mobile:
Direct:
Sarah Hoskins
Mobile:
Direct:
Daniel Kim
Mobile:
Direct:

10. STAGE 2 PAGE 3
[The 3 pages of Stage 2 must be easily accessible to all senior members of management in the business and their assistants.]
Name
Role
Phone Numbers
Address
Daniel Johnsson
Managing Director
Mobile: –
Direct: –
Mats Roosemark
Markering/PR Director
Mobile: –
Direct: +46 – 31 450 421
Robert Arn Lundberg
Financial Director
Mobile: –
Direct: –
Jonas Silander
Business Director
Mobile: –
Direct: –
Home: –
Carl Forsman
IT-department
Mobile: –
Direct: –
Linus Nordling
Compliance Manager
Mobile: –
Direct: –
Home: –
Darragh Byrne
Head of Group Compliance
Mobile:
Direct:
David Wilson
Energy Compliance Manager
Mobile:
Direct:

11. STAGE 3
[This page must be easily accessible to all senior members of management in the business and their assistants. It should be given to any person who is involved in the dawn raid – either managing the response, providing documents, computers, phones, etc. or being interviewed as a witness.]
When Do I Use This?
If a dawn raid is taking place in the business.
What Do I Do?
Stay calm and be polite. You will gain nothing by being obstructive and you may be committing an imprisonable criminal offence.
If external lawyers attend at the office where the dawn raid is being done, meet with them and follow their advice. If lawyers cannot attend in person, they should be available throughout the dawn raid by phone and provide advice at every stage.
Do Not
Do not destroy any documents, computers, phones, etc. Do not delete any s or voic s. Even if you believe they are irrelevant, you don’t want to have to explain it later.
Unless unavoidable, do not attend any interview with the officials without one of your lawyers being present or at least having taken legal advice.
[Do not, sign any document, including any witness statement, unless you have received legal advice to do so.]
In an interview, do not speculate, express opinions or volunteer information that has not been asked for. Do not suggest new sources of information or people to speak to.
Do not mention or discuss the dawn raid with any person outside the business without legal advice.
Do not respond to external (in particular press) queries without the approval of the divisional MD. Do
If you are asked, do provide the officials with relevant files, computers, phones, etc. that you have in your possession, unless they are covered by legal privilege.
If you are interviewed, always stick to facts; never guess. Answer specific questions only where you have personal knowledge of the answer. If a question is unclear, ask for it to be clarified.
Keep a written record (and ideally a copy) of every document that is copied or taken away by the officials during the dawn raid.
If key word searches are done by the officials, keep a written record of every key word used.
Keep a written record of every computer, phone or other piece of equipment that is taken away.
Keep a detailed written record of every interview.

12. STAGE 4
[This page must be easily accessible to all senior members of management in the business and their assistants.]
When Do We Use This?
After a dawn raid has taken place in the business.
What Do We Do?
Ensure no one in the business creates any documents ( s, memos, etc.) which comment on the dawn raid or the reasons for it. (For example “I’m glad they didn’t ask me about X” or “We were lucky they didn’t look in the Y file!”) These could all be released as part of subsequent raids or releases of information.
As soon as possible (within 12 hours unless the volume of material is very large), (1) all documents which the officials have taken or had access to and (2) all records of interviews should be collated and sent to your external lawyers. This may mean, for example, repeating any key word searches that were done.
Your external lawyers should immediately review these records for any damaging or incriminating evidence. They may want to meet with members of staff to discuss these records.
It is essential these steps are taken very quickly after a dawn raid so that the business can decide if it needs to take further steps to protect its position or its employees. Options available might be, for example:
starting a further internal investigation (see Investigations Toolkit No 1 on that area);
making an offer to the enforcement body to support their investigation in return for leniency in the penalties that are imposed; or
preparing to defend any case that the enforcement body might take.
However, no further steps should be taken without approval from the Head of Group Compliance and the MD of the division in question.

13. Schedule: Internal email to send when dawn raid happens
Viktig och konfidentiell information: Utredning pågår
Hej alla,
Idag är [insert name of the enforcement body doing the dawn raid] här och utför en oannonserad inspektion.
Vi kommer givetvis att bistå med allt de behöver för att kunna slutföra sin inspektion.
På grund av denna inspektion, kommer här några regler som gäller för er alla:
Varken förstör eller ta bort några dokument, oavsett vad de handlar om. De kan vara nödvändiga för de som inspekterar. All processer som involverar arkivering och/eller borttagande av dokument måste omedelbart pausas till det att ledningen ger sitt ok för fortsättande.
Berätta inte för någon annan person, leverantör, kund eller annan tredje part, att en inspektion pågår. Hänvisa alla mediaförfrågningar till VD eller marknadschef [insert name and mobile phone no of person who will deal with any press enquiries].
Stör inte inspektionen på något sätt. Om någonting spärras av, är det strikt förbjudet att röra sigillen/avspärrningsbanden som kan ha placerats över dörrar, fönster, arikiveringsskåp eller liknande.
Om då blir tillfrågad att delta i en intervju, kontakta omedelbart [insert name and mobile phone no of person managing the dawn raid for the business] och se till att en av företagets advokater närvarar vid intervjun. Delta inte i någon intervju utan att ha juridisk rådgivning närvarande.
Ge inte frivilligt ut information eller dokument till de som utför inspektionen, utan att först ha fått detta godkänt av [insert name of person managing the dawn raid for the business].
Vänligen notera att många delar av denna lista baseras på lagtvång och att bryta mot dessa kan få betydande rättsliga åtföljder mot dig som person.
Om du har några frågor kring detta, kontakta din närmaste chef.
Vi kommer skicka ut information om när inspektionen är över och ni kan återgå till era normala arbetsuppgifter.
MVH,
[Name]
Managing Director