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The Implementation Guide for Vendd0r Questinaire Fillable 2006 Form

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Guide of Vendd0r Questinaire Fillable 2006 Form

tails this webinar is being recorded and.will be sent to all attendees after the.webinar you can ask a question at any.time to submit yours please click on the.Q&A icon at the bottom of the screen.type it into the question box area that.appears and then hit the submit button.and now we'd like to know just a little.bit about our audience so this is a.polling question the question is does.your organization monitor respective.third parties on a regular basis so.there are your four choices click your.answer right there on the screen itself.and after you've done that hit the.submit button so does your organization.monitor respective third parties on a.regular basis you can choose between yes.we try to we make an attempt to no or I.really don't know I'm not sure so once.again click your answer right on the.slide itself and after you've done that.be sure to hit the submit button as well.and that way your you will be registered.as far as what's going on with your.organization and here's a look at our.results so boys 60 to 69 percent are.saying yes we do and the other 20% are.saying we tried Kristen this is.something you can bounce off of but.first I'd like to say welcome and/or do.you thank you very much Mary so I would.first like to start off by saying thank.you for taking the time to join me today.talk about the importance of third party.and intermediary questionnaires and how.they can help you mitigate risk so over.the course of the next hour we're going.to focus on why questionnaires are a.great tool to leverage for collecting.information how to create an effective.onboarding questionnaire and the key.factors to consider.why compliance certifications are.important and then what considerations.you need to make whenever working with.an international jurisdiction and then.once you receive that data why it is.important to screen the data that is.provided within that questionnaire so if.we.look and I'm gonna scroll to the next.slide if we take a look at just the.initiation of a compliance onboarding.workflow what you'll see on my screen.are just a few steps of how the process.again so in an ideal situation the.business unit will identify a.third-party intermediary that they want.to work with and what they'll do is that.they will notify compliance of this.third party from there and you can see.the astrick and the stars next to step.two compliance will initiate a due.diligence will initiate the due.diligence and they will perform an.initial screening of the third-party.intermediary that is done just to.provide you with a cursory a review to.ensure that that third-party individual.or entity is not sanctioned from there.the compliance manager or individual.will send out a questionnaire requesting.their respective information on that.entity or individual the third step the.process is compliance we'll perform an.analysis of that screening so again.they'll make sure that they're not.sanctioned that they're not hitting any.global sanctions list just to make sure.that a crowd a cursory view that third.party is okay they interact with the.next step is that the compliance.individual will then go about screening.all of the data that is provided within.that questionnaire from there a decision.will be made as to whether or not you.should contract with that third party.and if you decide to proceed with.contracting with that individual or.entity you will notify the contracts.department you'll ensure that your T's.and C's and your payment terms and.structure are all where they should be.and then from there once that.third-party intermediary is contracted.with you'll then go about deciding how.frequently you're going to monitor them.based on their low medium or high risk.that they pose to the organization.and Mary it looks like we have a poll.question for the audience before we get.into the questionnaire and certification.okay I'll hand it over to you all right.so the question is is your.organization's currently leveraging.questionnaires and certificates and I.guess we'll take them both together.right so questionnaires and certificates.or do you want that to be or.certificates I guess you can't have one.without the other so maybe we'll go with.an and so is it yes well we try no or.I'm really not sure so did I get that.right you can't have one without the.other right question yes that's correct.or in an ideal world that you should.have both so yes okay great let's see.we'll go ahead and give the audience.just a little bit more time to decide.yes or no and with that we will move to.our results for the question is your.organization currently leveraging.questionnaires and certificates and here.we go a lot of them are and went to.getting together it does add up to quite.a bit what do you think Kristen yeah I.think these are actually pretty good.results it looks like about you know.just under 60% of your in leveraging.questionnaires so for those of you who.are I think the key takeaway for today.is going to be to cross-reference what.you're currently asking against the.questionnaire that I'm going to display.in just a moment and for those of you.who make an attempt to or who aren't.sure or know you don't send out.questionnaires and certifications.certainly you'll just want to take note.of the content that we cover today.because the questionnaire that I pulled.up on my screen here in just a minute is.going to be fairly comprehensive so.thank you for that Mary oh you bet we'll.move you right on to the next slide so.now we're going to jump into conducting.like a comprehensive overview of the.types of content that you should include.within a questionnaire so what I'm going.to do is I'm actually going to share my.desktop with all of you and my.recommendation is that if it does not.pop up immediately is to refresh.screen but give it just a second for the.system to connect on my end and I will.let you know when I am officially.sharing so then that's how we all know.we should officially press f5 to refresh.yes but we don't need to start doing.that yet.okay so here in just a second you should.be able to see my screen and as you can.tell what I what I am showing right now.is a mock questionnaire that I have.created for purposes of this webinar and.you can see that that my company name on.my questionnaire it does state christen.Frank's manufacturing incorporated.example ABC chair that questionnaire so.what I'm going to do is I am going to.cover all of the sections and questions.that are within this questionnaire so.hang with me and without much further.ado we're going to go ahead and jump.right in and get started so the first.thing that I want to point out is that I.have divided my questionnaire into eight.sections within these eight sections you.will see that I'm going to focus on a.the business information the reference.information personnel information and.vetting out conflict potential conflicts.of interest compliance information in.Section F if the organization has been.under a similar review in Section G and.also going to request supporting.documentation and then in Section H I'm.actually going to request.acknowledgement that this third-party.individual or entity is going to abide.by my policies and procedures and my.code of conduct and my stance on.anti-bribery and corruption so in.Section a you can see that I am.requesting the candidates full legal.name and physical address so I first.want to point out that an entity's.legally registered name can sometimes.vary than a DBA or doing business as Lee.so if you know that the organization is.using two different names a DBA and a.legally registered name you're going to.want to collect both names so that you.can screen both names against any.possible sanctions and enforcement or.adverse media on criteria in section.- you can then see that I go on to.request the type of organization that.the entity is established as so is it a.sole proprietorship is it a publicly.traded organization is it a partnership.is an LLC this is all very helpful.because as we all know public have much.greater responsibility in order to be.transparent and abide by the law.as do private corporations and they're.under much more scrutiny so that's going.to be a key takeaway for you in Section.a - in Section a three you can then see.that I'm requesting what the primary.industry is for this organization so as.I'm sure that all of you know this but.there are some organizations such as oil.and gas or energy or mining and mineral.extraction that pose more risk than.other types of entities out there so.this is going to be also a key takeaway.for you in Section a3 in Section a four.you can then see that I go on to ask.does the entity like are they or that.individual looking to operate in the.capacity as a vendor or a supplier to.the organization or are they looking to.act as an agent or a consultant or a.channel partner there are various types.of relationships that third parties can.pose to an organization it's really.important to kind of vet this criteria.out in Section a five you can then see.that I go on to request at what like on.what date was the business established.this is very helpful because if they.were established on August 12th of 2019.which was yesterday you would certainly.want to know are they a brand-new.startup business do they have relevant.experience to operate within this market.and so forth you can then see that.within a six I go on to request the.total number of places in the.organization in Section a seven I then.go on to ask in what countries work or.country.does the organization provide services.so again this is very important for.purposes and whenever you're conducting.your due diligence in section 8 a you.can then go on to see let me scroll back.up there for just a second if there are.mandatory business registrations that.are required for the candidate please.list them here and you'll that you'll.see that I have it underlined that I'm.requesting copies of those various.business registrations and for those who.work in international jurisdictions I am.requesting English translations for.those registrations so this is very.again this is very important because if.you have someone who is going to perform.services for you within the US and.within let's say Mexico you'll want to.receive business registrations for that.entity or individual within both.jurisdiction another key takeaway from.this is that you're going to want to.ensure that your business registrations.are not expired and that they are active.registration which is why that I have.asked the individual or entity what is.the expiration date of that registration.in Section A 9 you can then see that I.go on to request if the candidate is.required by law to register with any.other government agencies I also ask the.same thing with in Section a 10 if.they're registered with any other.organization such as the Chamber of.Commerce if they are then you can also.see within those boxes that I've created.that I'm requesting the registration.documents in English and then I'm also.requesting the registration numbers who.they're registered with their start date.and their expiration date so that's.something that you're going to want to.make sure that you have a copy of within.Section a 11 you can then see that I'd.go on to.if the candidate has any subsidiary.organizations if they answer you and I.request those respective details in.Section a12 I then ask does the.candidate have any branch officers again.if they answer yes I request those.details.same thing for section a 13 does the.candidate have a parent organization so.11 12 and 13 are all important questions.because they help paint a holistic.picture on where the individual or the.entity have an Operations presence so.just keep that in mind that these are.also questions that you're going to want.to ask whenever you're working with.individuals or entities in Section a 14.I then go on to ask the third party to.provide their background information on.the candidate experience and expertise.so you can see that I don't want to.request either a company brochure a.recent annual report or any respective.documentation that they have to provide.so again this is important because.you're really wanting to determine if.they have the relevant work experience.that they need to operate on behalf of.your company so if we scroll down to.Section B you'll see that I then go on.to request reference information so both.again this is just important it's fairly.straightforward you're just looking to.verify that their work experience and.history within the industry is relevant.so this is also helpful so in Section B.2 I then go on to ask has the candidate.included a recent audited financial.statement yes or no if they say yes and.they provide you with those on bid.financials that is fantastic you can.also see within the questionnaire though.that I asked if the candidate is less.than two years in business please.explain how the startup capital for the.business was obtained.this is important because you're going.to want to understand and receive an.explanation for their source of funds.for that startup capital if the.candidate is unable to provide audited.financials or to substantiate how they.received their source of funds you can.then see that if no please provide at.least one financial reference so this.can either be their current banking.relationship or a supplier or a vendor.or some sort of other third party that.they have business dealings with and.this is really just to make sure that.the company that we're contracting with.is financially stable so here's just a.section for a financial reference in.Section C you can then see that I go on.to request personnel information and.information on key individuals so you.can see that within Section C one two.and three that I have asked the entity.or individual to completely and.accurately fill out the requested.information so you can see in area c1.please provide a resume or CV for all.key people listed in a B and C so key.people being list all owners partners or.shareholders of the candidate and then I.also note that the percentage should.total 100% and that if any owners listed.owners are other than individuals please.provide ownership information for the.entity on a separate page full.disclosure of ownership is a.prerequisite for retention I think that.having this caveat within the.questionnaire is important because it.just demonstrates to that third party.that they need to be extremely.transparent with you in regards to who.owns and has any sort of.shareholder responsibility for that.organization in Section B you can then.see does the candidate have a board of.directors if yes.complete the requested information if no.if they don't have a board of directors.that's okay they can simply put in a in.Section C you can then see that I go on.to request list all candidates of key.employees so this is going to include.employees within on c1 a and C 1 B who.will act on behalf of the organization.again this is very important because.you're going to want to make sure that.whoever those key individuals are that.are operating on behalf of the company.know your position on bribery corruption.modern-day slavery what your stances on.facilitation payments and so forth so.again this section is also very.important in Section C 2 I then go on to.ask does any key person listed in c1 a B.or C hold or maintain additional.directorship ownership interest or.employment outside of the canons of.business if no okay if yes then I want.to know about it and that is primarily.because I'm looking for any potential.conflicts of interest so if we keep.going you then see that in Section B I.asked has any key person listed in c1 a.B or C ever held a government job or.been in the military if yes I want to.know about it my primary objective here.is really to determine if there should.be any sort of revolving door reviews.that need to be or need to take place if.we then go on to Section C does your.country impose laws rules regulations or.restrictions on individuals in your.comes.after they leave public service.including the military if yes I would.like them to explain this no that is.great I would just say that if the.entity or candidate answers yes you're.going to want to make sure that you flow.this through your in-house counsel again.to check for those revolving door.reviews in Section C 3 does any person.entity government or government agency.not listed in question C 1 have any.management right or financial interest.in the candidates business again if the.answer is yes I asked them to explain.and what I'm doing here is I'm really.looking for red flags or any potential.conflicts of interest that the candidate.may may pose to the organization in.Section C 3 a I then go on to ask will.any third-party intermediaries or other.persons or entities not previously.mentioned the involved in transactions.that will most likely provide services.to Kristin Frank Manufacturing.incorporated if the candidate says yes.what I'm looking to determine is to make.sure that the candidate is not acting as.a middleman and that these are simply.not pass-through cost so I want to make.sure that I'm contracting directly with.the entity that I need to be doing.business with so if there are third.parties that will be acting on behalf of.an intermediary that I'm going to be.hiring I certainly want full disclosure.of that relationship.so if we move on now to Section DS and.thank you I just want to pause and say.thank you all for hanging with me I hope.my voice is not putting you to sleep but.certainly these are all relevant.questions that you're going to want to.make sure that you have within your.questionnaire so in Section D you can.then see that my emphasis is going to be.on conflicts of interest here so for D 1.I go on to ask does the candidate or any.key person listed in C.have any service or other contracts.directly with the government or.government controlled entity if they.answer yes then certainly I want to know.about it if they answer no then that's.great but what I what I'm really looking.to determine here is is this candidate.working with the state an entity or are.they controlled by a state entity in.Section B 2 does any key person listed.in c1 currently hold any position with.or have any duties for any political.party or political campaign obviously if.the answer is yes.I've been going to request more.information and you'll see here that I.even asked the third party do you think.there is a potential conflict if the.answer is yes then hopefully they'll be.transparent if not then it's still.something that I'm going to want to look.into in d3 I then go on to ask is any.key person listed in c1 a candidate for.a political office yes or no if they.answer yes I want to know about it in.Section B 4 I then go on to ask are any.family members of any key person listed.in number C one of us so you'll see here.that within d4a employed or otherwise.engaged in any capacity by any.government entity including the military.and be employed by or have duties for.any political party or political.campaign and then C camp if they're a.candidate for political office if yes.please identify the person and provide.the relatives name relationship in.position below again this is really to.that out any potential conflicts of.interest in Section B 5 I then go on to.ask will the candidate market to a.government or government agency.including the military if they say yes I.definitely want to know about it because.this obviously.a red flag to the organization and it.poses a risk it does serve as an.indicator that there is some risk that's.going to be inherited there in Section.II I then go on to ask about compliance.information so does the kid that.currently have a written policy address.and addressing bribery if they say no.you know during any subsequent follow-up.phone calls or emails or interviews.you're going to you're going to want to.ask why they don't have a written policy.addressing bribery and if they say yes.that they do have a policy you're going.to want to request a copy of that policy.to see their stance on bribery and.corruption and more important more.importantly facilitation payments so for.those of you who do not know what a.facilitation payment is it is a.temporary to 'ti to secure or expedite a.routine or necessary service in a.nutshell it's a greased payment but to.kickback it can be perceived as a bribe.so that's why it's really important to.understand what their policy is on.bribery and what their policy is on.facilitation payments in Section II to I.then go on to ask if retained please.provide the primary banking information.so hopefully this isn't new to any of.you but this criteria and portion of the.questionnaire is also very important so.what I'm really looking to determine.here is if I have a candidate who is.domiciled within the US but they tell me.that they want to receive payment for.the at their primary bank and it's an.Olive man the Bahamas let's say Panama.is in in Dora it's in the Cayman Islands.if their primary banking relationship is.not within the US and that's where they.want to receive payment that is a.substantial red flag to me and something.that I will definitely want to ask.questions about and look into in section.III I then go on to ask please indicate.the method or met.by which the candidate wants to receive.payment so are they looking to be paid.via a check a wire transfer are they.looking to be paid in Bitcoin in gift.cards and cash is are they looking for.cash to be sent to a post office box in.Des Moines Iowa if the answer to any of.that is yest and certainly that is a red.flag for the organization so then in.Section II for I then go on to ask let's.see please respond to the following.questions on behalf of candidate and all.key people listed in c1 so these are.going to be the individuals Peoria their.shareholders owners directors and.management that are going to be.operating on behalf of the organization.I'm going to pause and I'm going to take.a drink of my coffee for just a second.and I will say that Kristen you are.sound afraid you are deserving thank you.thank you Mary.so you can see that within Section E 4.and this next portion of the.questionnaire is going to be very wordy.so just please hang in there with me.so in question a has the candidate or.any key person listed in c1 ever been.convicted of violating any rules or.regulations governing the purchase or.sale of goods or provided services to or.by any government if they answer yes.it's obviously a red flag so let's hope.that they answer now in question B I've.been going to ask has the candidate or.any key person less than c1 ever been.interviewed deposed or subpoenaed in.connection with any litigation or.investigation involving any procurement.regulations in Section C I then go on to.ask has the candidate or any key person.listed in c1 ever been found guilty of.violating any laws governing donations.contributions or any other form of.remuneration to any government official.so this is basically just a fancy word.for payment.so is the candidate have you ever been.found guilty for making payments to.government officials in Section D I've.been going to ask how's the candidate or.any key person listed in c1 ever been.interviewed deposed or subpoenaed in.connection with any litigation or.investigation involving any law.governing donations contributions or any.other form of payment to any government.official in Section II has the candidate.or any key person listed didn't see one.ever been interviewed subpoenaed or.asked to testify before any legislative.body concerning fraud or abuse with.regard to government for jurist yes or.no in Section F has the candidate or any.key person listed in c1 ever been found.guilty or settled outside of court of.any violation of securities or.commodities trading law yes or no in.Section G has the candidate or any key.person listed in c1 ever been.interviewed deposed or subpoenaed in.connection with any litigation or.investigation involving any violations.of securities or trading laws in H has.the candidate for any key person listed.in c1 ever been found guilty of any.violation of any laws governing the.regulation of antitrust or anti.competition practices again this is very.important and I has the candidate or any.key person listed in c1 ever been the.subject of or mentioned by name in any.newspaper or magazine article and an.adverse manner I'm going to pause right.here for just a second within section I.and I'm just going to say that this is.where it becomes very important to make.sure that you have a solution that can.screen for structured adverse media and.if you don't have a solution where you.can screen for that type of content feel.free to contact me after the.Bernard in Section J has the candidate.or any key person listed MC one ever.been charged interviewed or found guilty.concerning tax evasion so this is again.very important in Section K has the.candidate for any key person listed NC.one ever been convicted of a felony or.other criminal acts for any manner not.listed above this is really my.character-based question so I'm trying.to determine if the person that I'm.going to contract with has good morals.and is an upstanding citizen so that's.the importance to me the question K so.in section I excluding traffic charges.has any key person listed NC one ever.been arrested charged cited or held by.law enforcement authorities regardless.of whether the charge was dropped.dismissed or a verdict of not guilty was.entered again this is a character.question for me in Section M I then go.on to ask has the candidate of any.corporation partnership or other entity.in which the candidate owned more than a.five percent interest.ever been barred from competing for.World Bank contracts so for those of you.who do not know the World Bank's.objective is to alleviate poverty so if.there if you have an entity or an.individual that says that they have been.debarred by the World Bank you will not.only want to know but you will want to.ask and follow up on what have you done.to clean up your practices since that.debarment infection in Yul Dempsey has.two candidate or any key person listed.in C Warren ever had a security.clearance denied or revoked if they.answer yes that is a red flag and you'll.see and I forgot to put my yes or no.checkboxes they don't want to fix that.in your own.shanira in section o has the key person.listed in c1 ever been discharged from.any Armed Forces but other than an.honorable discharge again if you asked.you're going to want to know this is a.character question for me that I've.thrown in there in Section P has the.candidate or any corporation partnership.or other entity in which the candidate.has more than a five percent interest or.is an owner partner officer director or.key employing been the subject of any.voluntary or involuntary bankruptcy or.other similar proceedings it's saying.yes or yes I asked for an explanation I.want to know if they are miss managing.their finances so it's important to make.sure that you're asking if bankruptcy.has ever been declared okay so let's.move on so for section Q I'm just going.to go through these but the main.objective of section section Q is just.to make sure that if your candidate says.that they are a drug trafficker a.narcotics kingpin a cherished that.they're on the OPAC sanctions list or.that they've been debarred by the TPC.for any reason just know that's a hard.task don't pass go don't collect $200.this is going to be a major red flag for.you as any candidate answers yes so in.Section Q is the candidate or any key.person listed and c1 named on any other.following list so are they on an Espeon.list are they a specially designated.global terrorist list the specially.designated narcotics traffickers blessed.the specially designated narcotics.traffickers kingpins list the US.Department of Treasury on that list of.foreign terrorist organization the US.Department of Commerce deny parties list.the u.s. Department of State BTC.Department the barred parties list.and in any sort of oh fak listing now.these questions um a through h are not.exhausted so you you're going to want to.make sure that you tailor these.questions to your specific portfolio.within section ii v has any company or.any key person listed NC one ever.interacted with government or government.officials in connection with the.projected type of work if the answer is.yes i ask for an explanation.you're going to want to collect that.data in question ethics has your.organization or to your knowledge any of.its vendors made any payments of.official government fees or taxes in.connection with projected type of work.if yes please provide an explanation in.even and i just want to point out that.this is a very important question this.is my facilitations payment question.without actually stating facilitation.payments so has your organization or to.your knowledge any other vendors paid.tips for two teas or other unofficial.payments to government officials in.connection with a projected type of work.the answer is yes if they tell you that.they're making facilitation payments.that is a red flag so you're going to.want to follow up on them in section II.eight I then go on to ask please.describe your organization's gift and.entertainment practices concerning the.projected type of work this is also very.important because gifts and.entertainment can be seen as a form of.bribery so you're going to want to.understand what their policy is so in.Section F and thank you everyone for.hanging in there with me we're almost.done with the questionnaire so in.Section F I then go on to ask about.similar compliance reviews and questions.that they've gone through so an f-1 does.your organization work with other.customers similar to this entity in f2.in the past 12 months has your.organization gone through a.similar review process with other.customers so then I want to know and.this is a really good way to benchmark.you know what your competitors or other.organizations are doing so if the.candidate is willing to be transparent.and they say yes then you can you can go.and ask who have you gone through this.process with in section f3 if your.organization is domiciled in the US but.operates within the EU does it have a.privacy shield certification so this is.my question surrounding data privacy so.I'm looking for their stance on gdpr.and if they do have that privacy shield.certification in Section G I'm also.requesting all supporting documentation.so does your organization have any of.the following available select all that.apply.so organisations Charter and.registration information evidence from.an official government registry that the.organisation is English standing a code.of ethics and business conduct a written.anti-bribery C ni bribery policy or.guidelines a compliant certification or.any other respective compliance.documentation if we then go on to.Section H and this is really my my take.4 on on compliance for good measure it's.just something that I add into my.questionnaires to supplement the content.so acknowledgement of Kristen French.manufacturing incorporated standards of.business conduct so this is where I will.ask them have you previously received a.copy of our standards of Business.Conduct please answer the following.question I have received a copy of.Kristen Franks manufacturing.incorporated standards Business Conduct.I understand and agree to follow these.standards business conduct yes or no if.they answer no then obviously that's a.red flag you want to follow up on it and.then in h2i then go on to state my.position on the FCPA so I understand.the US Foreign Corrupt Practices Act.also known as the FTP a prohibits the.payment directly or indirectly of money.or anything of value to any government.official to obtain retain or maintain.business to secure an improper advantage.or to affect or influence any government.Act or decision and then I go under.state I agree to abide by the fcpa and.all local laws this is very important.relating to payments to government.officials so just know that if you.operate in jurisdictions outside of the.US you're going to want to make sure.that those candidates are complying with.local law then you'll see that the.person whose signature appears below is.authorized to certify on behalf of the.candidate that this foregoing is true.and correct the information provided.above is to the best of my knowledge and.belief current accurate and complete and.then I also like this last caveat I.agree to notify Kristen Franks.manufacturing promptly of any material.changes to the information provided here.in so in the event that the organization.has a change to any of the questions.notated above you definitely want to put.the responsibility on that candidate to.notify you of those changes I then go on.to ask for a signature date title the.day this is the questionnaire was.executed and then for this final page I.also for good measure just provide a.reminder please provide copies of your.business registrations all of your CVS.and resumes for the persons identified.in question c1 any company brochures and.from question a 14 and then I also go on.to remind them about any sort of.financial statements or financial.reference on as requested in question.beat you and when I tell them please.return this questionnaire to this.address attention to the compliance.officer and cuse and also send a PDF and.to this.good email address so I I realized that.I've just covered a lot of information.and that this is a fairly lengthy.questionnaire and so I just want to.state that it is up to you and your CCO.your chief compliance officer or your.in-house counsel to really tailor your.questionnaire to your specific portfolio.and so with that I'm going to pause for.just a second I'm gonna take a drink of.coffee and then what I'm going to do is.I'm I'm going to cover now our.certification of no improper payments to.government officials so give me just a.second and I will pull that up for all.of you so it's not time for the next.poll am i right about that Kristen that.is correct Mary we're going to cover the.next we'll cover the next poll question.after I go over this certification okay.okay so within the certification and you.can see that I've put this in.parenthesis really that you're going to.want to change this out to really match.what your organization's name is so for.purposes of this webinar Kristen French.manufacturing Incorporated has a policy.that prohibits its agent suppliers.vendors and all respective third parties.from making any improper payment to.government officials for the purpose of.this policy I then go on to define what.a foreign government official is a.foreign government official refers to.any employee of a government agency this.includes anyone who works for any.government body with particular.application to employees with influence.over buying decisions on behalf of their.government employer or those involved in.public policy decisions this includes.for example elected or appointed.officials heads of agencies or.departments doctors employed by state.hospitals customs officials or local tax.authorities professors employed by state.universities lawyers with public.agencies Public Library's school.superintendents principals or teachers.pursuant to this policy it is important.that no money.after anything of value including tips.gratuities or facilitation payments be.provided to an individual government.official that is not a bonafide.government fee and conduction for cert.within a service for which you're.providing goods or services in the next.paragraph you can see that as a result.christen francs manufacturing.incorporated ask that you can that you.confirm your company will not make any.improper payments and violation of this.policy by signing the certification you.hereby more and represent that your.company will abide by this policy you.can then say that I go on to ask for a.signature title company and date and.then I also go on to state that the.certification must be signed by either.the principal executive of the of the.principal up or the principal operating.officer of the company or in his or her.individual capacity if the services.rendered are done by a private person.and not the Hat on behalf of a company.so this certification I would typically.send out at the same time that I was.sending my questionnaire just so that.the third-party intermediary is very.aware of my stance on anti-bribery and.corruption and my code of conduct and.through the location team they interrupt.you here because we're not seeing the.certificate so if you don't mind could.you take the step of reloading it oh yes.ma'am thank you for notifying let me let.me hit share my screen again okay and.that way when it then we'll all know.what you were talking about I appreciate.her when you said that people can.customize what you're doing you're sort.of showing everything for everybody and.just to confirm this is for vendors.contractors employees even customers.this is these kinds of questionnaires.that is correct so hopefully can you.confirm that you can see my history no.matter it has arrived.okay wonderful so yes so so what I would.encourage you all to do is to really.tailor the certification that.or portfolio and really just what I'm.doing is I'm looking for the individual.and/or the entity that's going to be.working on behalf of this company.to acknowledge my stance on anti-bribery.and corruption and facilitation payments.and that they are absolutely not.acceptable so as I mentioned earlier.what I will usually do is I would send.out my questionnaire and my.certification at the same time along.with a code of conduct so from there I.think I'm going to transition back into.the slides and then Mary I think that.it's time for another poll question okay.great thank you all right this is a.question about your organization again.do you have the proper solutions in.place to verify the information provided.so your choices are about the same as.last time yes some solutions but not all.no and I'm just not sure so again the.question is does your organization have.the proper solutions in place to verify.the information that's been provided and.for filling out that that form or that.that pool yeah there's a question here.does does a questionnaire need to be.this lengthy if the third party is low.risk so Mary that's a great question the.answer to that question is no you really.need to tailor your questionnaire to the.type of relationship that is going to be.involved and it really needs to be based.on what type of relationship you're.going to have with that third party okay.great let's go ahead and take a look at.our results and the question is does.your organization have the proper.solutions in place and there's your.answers 35% say yes and over fifty.percent say some but not all oh wow okay.so those are very to me those are very.interesting results because I know that.within this webinar we have global.participants.so I would just encourage you that if.you if you today you do not have the.proper solutions in place please get in.touch with me at LexisNexis we have some.very comprehensive solutions that you.can implement to really mitigate risk so.just please feel free to reach out to us.and I also want to state just please.hang in there with me because we're.going to cover some additional content.that is relevant to questionnaires and.certifications and I'm in the interest.of time I want to go ahead and move on.to that content within the presentation.so bear with me while this populates.okay so let's assume that you have.created this comprehensive questionnaire.and certification you fill it out your.respective third parties you receive it.back so now what do you do so what what.you're going to do after you receive.that data as you are going to.meticulously comb through the.information that is provided within that.questionnaire to ensure that there are.not any red flags so with that again.we're going to cover these bullets.leverage the information received to try.and identify red flags screen the.organization's legal and DBA entity name.no surprise there I mentioned that.earlier Green all of the owners.directors and shareholders or.individuals who will be acting on behalf.of the company you're going to want to.review the business registrations.provided to ensure legitimacy and that.they are not expired you're also going.to verify the CDs and brochures and.financials provided and then depending.on the level of risk you are definitely.going to want to follow up with that.third party if they are high risk.especially I'm to conduct either an.in-person interview or a phone screening.and to verify the information that was.provided and to also take the time to.educate them on your internal policies.and procedures and your code of conduct.and stance on the fcpa and facilitation.payments the final thought here for now.what is you're also going to want to.utilize the.the data to follow up on sorry let me.restart that utilize the follow-ups.Creedy.um follow-up screening to also educate.the third-party on your ABC policy so.again you're just going to want to take.the time during that in-person interview.and phone screening to follow up with.them and educate them on your policy if.we then go on to considerations that you.should make whenever you're working.within international jurisdictions I.would just encourage you to really.ensure that your code of conduct is.available in multiple languages.to support the jurisdictions that you.work in so if you know you have a.presence in Mexico.make sure your code of conduct is in.Spanish same thing with China if you.operate in China you're going to want to.make sure that your code of conduct is.in Mandarin or Portuguese or prison I.really just make sure that that that.code of conduct is tailored to meet the.jurisdiction that you're operating in.the second thing is that you're you're.also going to want to make sure that the.questionnaire and certification you use.are available in the appropriate.language for that third party so not.everyone reads and speaks and writes in.English so sometimes questionnaires they.need to be made available in multiple.languages so I would just take that into.consideration the last thing is.

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