BOS Process Global Workplace Solutions

Transcription

1 Printed copies are uncontrolled Process Global Workplace Solutions Title: Vendor and Third Party Administration Number: GWS.GLB Author: Global Director Sourcing Governance Effective Date: 1 May 2016 Owner: Global Director Sourcing Governance Revision: PURPOSE This process describes the requirements for approving/adding and changing a Supplier or Third Party in a GWS Enterprise Resource Planning (ERP) system. 2.0 SCOPE APAC EMEA Americas Compliance expected as written GWS X X X X Can be tailored to local needs Specific Applicability / Variance / Exceptions 3.0 INPUTS Requester s need to procure from a Supplier. 4.0 MEASUREMENTS Compliant Vendor Master Records in Enterprise Resource Planning (ERP) system for personnel to procure from. 5.0 OUTPUTS Approved Vendor Master Records in an ERP system. 6.0 RESPONSIBILITES 6.1. Approver Provides the appropriate approvals, ensures the Supplier is capable of meeting GWS expectations, and accountable that ethical Suppliers are being approved Business Requester Completes the Supplier Add/Change Form, ensures Due Diligence and Delegation of Authority requirements are met, and responsible that the documentation is stored for approving/adding Suppliers The Business Requester is responsible that all Suppliers be made aware of the CBRE Global Terms and Conditions (or regional legally approved alternative), the CBRE Standard of Business Conduct and applicable Supplier Manuals. Documented evidence is not required for the Supplier Add Process The Business Requester must provide to the Supplier the External Indirect Supplier Standards Manual Standard ( GWS.GLB). Page 1 of 18

2 6.3. Business Requester s Supervisor - Ensures the Supplier is capable of meeting CBRE expectations (example - Due Diligence), reviews the previous approvals (example - Delegation of Authority), accountable that ethical Suppliers are being approved, completed the conflict of interest questions on the regional Supplier Add Change Form and approves Supplier Legal Compliance Director Provides the appropriate approvals or guidance on any compliance concern or issues for certain situations outlined in this process Vendor Master Administrator Responsible for data entry to GWS Enterprise Resource Planning (ERP) system for vendor master files/records. 7.0 SUPPLIER ADD PROCESS Supplier Add 7.1 CAN AN ALTERNATIVE ACTIVE/APPROVED SUPPLIER BE USED? The Business Requester will investigate if an alternative approved/qualified Supplier could be used. Regions or business units may have Preferred Suppliers that should be utilized to support GWS goals. A. Yes, an alternative Supplier can be used. The Supplier Add Process is not required. Process ends. Page 2 of 18

3 B. No, a new Supplier needs to be added to an ERP system. Proceed to Step DOES THE SUPPLIER HAVE A DO NOT USE / DO NOT PAY (DNU/DNP) STATUS? The Business Requester is responsible to confirm that the Supplier is not on the DNU/DNP register located on the GWS Sourcing Portal. Yes, the status is DNU/DNP, the Supplier should not be used. Refer to the Do Not Use / Do Not Pay (DNU/DNP) Guidelines ( GWS.GLB). No, the new Supplier is not on the DNU/DNP list. Move to the next step. 7.3 IS THE SUPPLIER TYPE A HIGH RISK VENDOR (HRV)? The Business Requester determines if the Supplier Type is a HRV Supplier Type. The Supplier Types are listed in Table 2. Supplier type definitions can be found at the end of the document. Yes, the Business Requester has identified the Supplier as a HRV Supplier Type. Refer to the High Risk Supplier Accreditation Guidelines ( GWS.GLB) Upon completion of process, the business requester will be notified by Legal Compliance if request is approved or rejected. No, the Business Requester has identified the Supplier Type to not be a HRV Supplier 7.4 FOLLOW THE STANDARD DUE DILIGENCE REQUIREMENTS TABLE The Business Requester identifies the Supplier Type (SECTION 9.3) and follows the Standard Due Diligence Table in SECTION 8.0 for investigating and evaluating the Supplier. Supplier Types are listed in Table 3. Supplier Type definitions can be found in SECTION ARE ALL THE STANDARD DUE DILIGENCE (DD) REQUIREMENTS MET? The Business Requester is responsible for collecting all Standard Due Diligence documentation except for High Risk Vendor Supplier types. An Approver may request additional due diligence documentation to ensure Supplier capacity and/or ethical behaviour. A. Yes, The Business Requester acquires all Standard Due Diligence. Proceed to Step 7.8. B. No, The Business Requester does not acquire all the Standard Due Diligence documentation. Supplier cannot be added. Process ends. 7.6 OBTAIN APPROVALS AS PER THE DELEGATION OF AUTHORITY (DOA) The Business Requester must review the Delegation of Authority for any required approvals refer to the GWS DoA ( A.GWS) for approval requirements 7.7 COMPLETE THE SUPPLIER ADD/CHANGE FORM The Business Requester completes the Supplier Add Change Form. Refer to SECTION 9.0 for minimum content required. Page 3 of 18

4 7.7.2 The Business Requester sends all documentation to the Business Requester s Supervisor for review and approval for non-high Risk Vendor Supplier Types The Business Requester s Supervisor reviews the documentation and works with the Business Requester to approve the regional Supplier Add Change Form for non-high Risk Vendor Supplier Types. The Business Requester s Supervisor may request additional documentation to ensure Supplier capability and/or ethical behavior. A Business Requester s Supervisor can reject the request to add a Supplier (process ends) The Business Requester submits the Supplier Add Change Form to the appropriate ERP Vendor Master Administrator (VMA). 7.8 SUPPLIER IS ADDED TO THE ENTERPRISE RESOURCE PLANNING (ERP) SYSTEM Vendor Master Administrator (VMA) works with the Business Requester to ensure all mandatory Enterprise Resource Planning (ERP) information is provided. Missing or incomplete data/documentation will be returned to the requester. Refer to SECTION 9.0 for minimum content required VMA adds Supplier to ERP system VMA advises the Business Requester of the ERP system Supplier number. 7.9 STORE ALL DOCUMENTATION Business Requester is responsible to ensure that all Due Diligence, Delegation of Authority and regional Suppler Add Change Form is stored per the Supplier Records Storage Work Instruction or locally per the regional process/work instruction. For High Risk Vendor document storage, refer to Storing High Risk Vendor Purchasing Due Diligence Files Work Instruction In some regions, the VMA may assist with storing the documentation. Page 4 of 18

5 8.0 STANDARD DUE DILIGENCE REQUIREMENTS TABLE Table 1 Supplier Type Annual Spend Approves Evaluation Required Evaluation Re-Evaluation Custom Broker / Freight Forwarder > USD $0 Refer to GWS DoA. Refer to: High Risk Vendor Due Diligence Global custom broker and freight forwarder suppliers due diligence will be conducted globally and include all the controlled subsidiaries that are included in the scope of the global bid/contract. Global Regions are not required to perform due diligence for their controlled subsidiaries. Refer to High Risk Accreditation Guidelines GWS.GLB Government Facing Business Consultant > USD $0 Refer to GWS DoA Refer to: High Risk Vendor Due Diligence Refer to High Risk Accreditation Guidelines GWS.GLB Business Consultant / Professional Fees < USD $1M Refer to GWS DoA Conflict of Interest USD $1M - USD $5M Refer to GWS DoA Conflict of Interest Indirect Supplier Assessment > USD $5M Refer to GWS DoA Conflict of Interest Indirect Supplier Assessment Financial Assessment Direct < USD $1M Refer to GWS DoA Conflict of Interest Page 5 of 18

6 > USD $1M Refer to GWS DoA Conflict of Interest Direct Supplier Assessment Financial Assessment Subcontractor / Service Indirect < USD $1M Refer to GWS DoA Conflict of Interest Freight USD $1M - USD $15M Refer to GWS DoA Conflict of Interest Indirect Supplier Assessment > USD $15M Refer to GWS DoA Conflict of Interest Indirect Supplier Assessment Financial Assessment Charity Sponsorship Landlord Financial / Leasing / Insurance > USD $0 Refer to GWS DoA > USD $0 Refer to GWS DoA Conflict of Interest NOTE: The following Supplier Types in Table 2 are not required to follow the Standard Due Diligence Table above. There are no mandatory Standard Due Diligence requirements for these Supplier types. The Delegation of Authority (DOA) approvals must be followed and a completed Supplier Add Change Form is required. Reference 8.0.c. Table 2 Customer Employee Government Agency/Municipality Inter-Company Union/Court Ordered Utility Page 6 of 18

7 NOTE: On a case by case basis, requirements for Supplier Standard Due Diligence may be modified, when authorized by Regional Sourcing Leads. High Risk Vendor Supplier Types Due Diligence requirements cannot be modified. Reference 8.0.d. 9.0 MINIMUM CONTENT REQUIRED ON A REGIONAL SUPPLIER ADD CHANGE FORM TO BE COMPLETED BY THE BUSINESS REQUESTER FOR SUPPLIER ADD PROCESS Business Requester must complete: 9.1 CONFLICT OF INTEREST SECTION: These questions must be answered and signed by both the Business Requester and the Business Requester s Supervisor The questions on the regional Supplier Add Change Form must match the following: Is the Supplier owned by or managed by a friend or relative of yours or are you aware of this relationship with anyone at your branch or within your department? Are you aware of any CBRE employee with a financial stake (ownership or investment) in this company, or have knowledge of any other conflict of interest? Do you understand that providing false information regarding this Supplier or your relationship to this Supplier may result in disciplinary action from CBRE? 9.2 SUPPLIER NAME AND ADDRESS 9.3 SUPPLIER TYPE Table 3 Agent/Sales Consultant Business Consultant/Professional Fees Charity Customer Customs Broker/Freight Forwarder Direct Employee Financial/Leasing/Insurance Freight Government Facing Business Consultant Indirect Inter-Company Landlord Ship Owner Commission Sub-contractor/Service Sponsorship Union/Court Ordered Utility Government Agency/Municipality NOTE: A Supplier may match more than one Supplier Type. When this occurs, the Supplier Type that has the highest risk level will be chosen, refer to SECTION 10.0 for risk hierarchy. (Supplier Type Definitions can be found in SECTION 13.0.) Reference 9.3.a. 9.4 SUPPLIER TAX IDENTIFICATION (OR EQUIVALENT) Page 7 of 18

8 9.5 SUPPLIER BANKING INFORMATION AND CURRENCY 9.6 DESCRIBE ITEM OR SERVICE PROVIDED BY THE SUPPLIER Business Requester to provide a brief description of item/service provided Some ERP systems (such as SAP, Oracle, and I Scala) store a commodity code at the vendor master record data level. If the requester knows the commodity code, please provide on the Supplier Add Change Form. 9.7 Health & Safety Requirement - The Business Requester must complete the health and safety questionnaire, in conjunction with the Supplier. If there are any queries or issues with the information provided by the Supplier this should immediately be forwarded to a member of the Environmental Health and Safety (EHS) team. The supplier must not be set up until approval has been received from the EHS team. 9.8 Some Enterprise Resource Planning (ERP) systems default to the standard GWS payment terms. All regions require payment terms to be mandatory information on the Supplier Add Change Form. NOTE: A Due Diligence Checklist is available to assist the Business Requester (optional) if the Due Diligence Documentation Checklist is utilized, the form must be in English for central oversight purposes. The Checklist may additionally be in the local language. (English and local language versions) All Due Diligence must be performed per Table 1 in SECTION 9.0. NOTE: GWS Vendor master records are audited; the compliance fields monitored are Supplier Name, Supplier Number, Contact Details, Tax Reference, Payment Terms, Supplier Type, Supplier Status and Bank details SUPPLIER TYPE RISK HIERARCHY A Supplier may fall into more than one Supplier type. Suppliers should be coded with the highest risk Supplier Type for all Global Workplace Solutions (GWS). Table 4 is the risk hierarchy of Supplier Types (listed highest risk 10.1 to lowest risk 10.8): Table 4 Page 8 of 18

9 High Risk Vendors (HRV) Including: Customs Broker/Freight Forwarder Government Facing Business Consultant Agent/Sales Consultant Business Consultant/Professional Fees Financial/Leasing/Insurance Ship Owner Commission 10.3 Direct 10.4 Landlord Sub-contractor/Service Indirect Freight Charity Sponsorship Customer Government Agency/Municipality Utility Union/Court Ordered Employee Inter-Company 11.0 SUPPLIER CHANGE PROCESS Supplier Record Change Process Figure 2 Page 9 of 18

10 11.1 DOES THE SUPPLIER HAVE A DO NOT USE / DO NOT PAY (DNU/DNP) STATUS? The Business Requester verifies the Enterprise Resource Planning (ERP) vendor master record Supplier Status. A. Yes, the ERP vendor master record has a Supplier Status of DNU/DNP. Proceed to Step B. No, the ERP vendor master record does not have a Supplier Status of DNU/DNP. Proceed to Step FOLLOW THE DO NOT USE / DO NOT PAY (DNU/DNP) PROCESS A Supplier can only be reinstated by the Legal Compliance Department from DNU/DNP to Active/Approved Supplier Status without a complete Due Diligence re-evaluation if the Supplier has previously approved Due Diligence documentation conducted within the past twelve (12) months. Requester must complete a Supplier Add Change Form and receive approval by a Legal Compliance Director. The Business Requester must follow the Do Not Use / Do Not Pay (DNU/DNP) Guidelines ( GWS.GLB) When complete proceed to Step IS SUPPLIER TYPE A HIGH RISK VENDOR (HRV)? The Business Requester determines if the ERP vendor master record s Supplier Type is a HRV Supplier Type. Page 10 of 18

11 A. Yes, the ERP Supplier vendor master record is a HRV Supplier Type. Follow the High Risk Supplier Accreditation Guidelines ( GWS.GLB) B. No, the ERP Supplier vendor master record is not a HRV Supplier Type. Proceed to Step IS SUPPLIER ACTIVE? The Business Requester verifies the Enterprise Resource Planning (ERP) vendor master record has a Supplier Status of Active/Approved. A. Yes, the ERP Supplier vendor master record is Active/Approved. Proceed to Step B. No, the ERP Supplier vendor master record is not Active/Approved. To reactivate a Supplier, the Business Requester must manage the Supplier as a new Supplier request. Proceed to Step FOLLOW THE SUPPLIER ADD PROCESS The Business Requester must manage this Supplier as if they are adding a new Supplier. Refer to the Supplier Add Process, proceed to SECTION IDENTIFY TYPE OF CHANGE A regional Supplier Add Change Form is required for all changes. Refer to SECTION 12.0 for the minimum content required For any High Risk Vendor Supplier Type changes proceed to SECTION Supplier s Payment Terms change to an existing Supplier s ERP vendor master record (for non-high Risk Vendor Supplier Types). Refer to Supplier Payment Terms Policy ( GWS.GLB). When the terms requested are less favorable than the standard CBRE terms use the Request to Change Supplier Payment Terms Form ( GWS.GLB) and obtain relevant approvals Supplier s bank changes for non HRV Supplier Types to an existing Supplier s ERP vendor master record (for non-high Risk Vendor Supplier Types) All regions require regional Supplier Add Change Form with Business Requester s Supervisor and Sourcing approval All regions require Supplier letterhead (or equivalent) documentation. Page 11 of 18

12 Supplier s payment remit to address changes to an existing Supplier s ERP vendor master record (for non-high Risk Vendor Supplier types) requires documentation on the Supplier letterhead (or equivalent) or the regional Supplier Add Change Form with Business Requester s Supervisor approval. Both methods not required Supplier s legal name changes to an existing Supplier s ERP vendor master record (for non-high Risk Vendor Supplier Types) require documentation on the Supplier letterhead (or equivalent). Tax identification (or equivalent) and remit to address must match. No Business Requester s Supervisor approvals are required. All suppliers must provide legal confirmation documentation Supplier Tax Identification (or equivalent) to an existing Supplier s ERP vendor master record (for non-high Risk Vendor Supplier Types) require documentation on Supplier letterhead (or equivalent). No Business Requester s Supervisor approvals are needed North America region (excluding Canada) requires a W9 form from the Supplier for tax identification number EMEA and LATAM regions will manage this request as a Supplier Add Process refer to SECTION Add Supplier s location (ship from address, site code) to an existing ERP vendor master record, a regional Supplier Add Change Form required. Supplier tax identification (or equivalent) must match. No Business Requester s Supervisor approvals are required. If the Supplier location does not match existing vendor master record, manage the request as a Supplier Add SECTION All other changes do not require approval (except ASIA region requires sourcing approval). Business Requester submission of a regional Supplier Add Change Form is preferred for clarification Payment to a Supplier with a Supplier Status of Retired/Inactive If payment is due to a non-high Risk Vendor Supplier Type with a Supplier Status of Inactive/Retired, each region can work with the Finance teams to obtain payment and ensure the ERP vendor master record status is Inactive/Retired status when the payment is completed If payment is due to a High Risk Supplier Type. Reference the High Risk Supplier Accreditation Guidelines ( GWS.GLB) DETERMINE IF APPROVALS ARE NEEDED All High Risk Vendor Supplier Type changes require approvals, refer to SECTION Page 12 of 18

13 For Supplier Type changes, The Business Requester must review the Standard Due Diligence requirement for additional investigation and evaluations that are required The Business Requester must review the Delegation of Authority refer to GWS DoA ( A.GWS) for approval requirements ASIA region requires a Sourcing member approval for all changes The Business Requester needs to review SECTION 11.7 for additional requirements Approvers may require additional documentation to ensure ethical behavior ARE APPROVALS PROVIDED, IF NEEDED A. Yes, all approvals are provided or no approvals are required. Proceed to SECTION B. No, all approvals are not provided. Supplier record cannot be changes. Process ends SUBMIT DOCUMENTATION TO THE VENDOR MASTER ADMINISTRATOR (VMA) The Business Requester submits all documentation to the appropriate ERP VMA. Proceed to Step SUPPLIER ENTERPRISE RESOURCE PLANNING (EPR) VENDOR MASTER RECORD IS UPDATED The VMA works with the Business Requester to ensure all approvals and mandatory ERP information is provided. The Business requester should refer to SECTION 12.0 for minimum content required on regional Supplier Add Change Form for Supplier ERP vendor master record changes to be completed The Vendor Master Administrator updates the appropriate ERP system. Proceed to Step NOTIFY REQUESTER OF COMPLETION The VMA notifies the Business requester that the ERP vendor master record has been updated. Proceed to Step STORE DOCUMENTATION The Vendor Master Administrator (or Business Requester) will store all the documentation in WebTop/Documentum system or locally per the regional work instruction. Page 13 of 18

14 12.0 MINIMUM CONTENT REQUIRED ON A REGIONAL SUPPLIER ADD CHANGE FORM TO BE COMPLETED BY THE BUSINESS REQUESTER FOR SUPPLIER ERP VENDOR MASTER RECORD CHANGES Business Requester must provide the following: 12.1 Enterprise Resource Planning (ERP) system in which the Supplier exists. Some regions will only have one ERP system, refer to regional Supplier Add Change Form and work instructions for clarification Supplier name Supplier number Specific information which is being added or changed within the ERP system Business Requester and all required Approvers names, global id and addresses must be provided Payment Terms NOTE: ASIA region requires the Tax Identification number (or equivalent). Reference 12.0.a DEFINITIONS 13.1 Active Approved - Supplier Status assigned to a Supplier which is active or approved for use, within CBRE Enterprise Resource Planning (ERP) systems Agent/Sales Consultant Supplier Type assigned to a Supplier representing CBRE products or services to customers regarding sales/marketing. (Includes Sales Facilitators and Distribution Facilitators.) 13.3 Approver Persons responsible, depending on Supplier Type, for ensuring that the Due Diligence evaluation, Delegation of Authority and/or Supplier Add Change Form is complete and approved/unapproved as defined in this process Business Consultant/Professional Fees Supplier Type assigned to a Supplier that performs consulting and/or professional services such as, legal, accounting, real estate or architectural design services, etc. Supplier does not interact with government authorities. Usually selling, general and administration (SG&A) spend. NOTE 13.4.a: The CBRE Legal Department has the responsibility to conduct Due Diligence evaluation of law firms Charity Supplier Type assigned to a non-profit organization receiving donations or nonreimbursable fees Commodity Code - The classification of products and services that describe in sufficient detail WHAT is being purchased. Global Purchasing and Supply Chain Management (GPSCM) needs commodity codes to effectively source, track, and manage spend by category. The Commodity Code set is a hierarchical classification with five levels. Each level has its own unique letter and number, creating a unique 9-digit alpha numeric code Conflict of Interest Due Diligence and Supplier Add Change Form criteria which require the Requester and Approver to verify that they have no financial or beneficial interest in the Supplier. Page 14 of 18

15 13.8 Controlled Subsidiary Child business of a Supplier where the Supplier has the majority ownership of the child Customer Supplier Type assigned to a purchaser of CBRE goods or services where no other Supplier type is applicable. If the core Supplier business is to sell goods or services to CBRE, do not use this Supplier Type. For EMEA region, purchase orders are required and will have a record within the vendor master file to receive a payment from CBRE (accounts payable) Customs Broker/Freight Forwarder Supplier Type assigned to Supplier performing customs related services for CBRE or responsible for moving CBRE freight internationally Delegation Of Authority (DOA) Approval The minimum level of CBRE functional personnel approvals required to move forward with a transaction Direct Supplier Type assigned to a Supplier that provides goods included on the bill of material for repetitive production at CBRE manufacturing facilities Direct Supplier Assessment Survey Due Diligence criteria which require the Supplier to complete a survey that examines a variety of performance categories. At CBRE discretion, an on-site assessment may be required Do Not Use/Do Not Pay (DNU/DNP) Supplier Status assigned to a Supplier which exists within a CBRE Enterprise Resource Planning (ERP) system and is believed to engage in corruption or other unethical or illegal behavior that is in violation of the CBRE Standard of Business Conduct or relevant anti-bribery, anti-corruption, or other laws or pertinent regulations Due Diligence A formal process of investigating and evaluating a proposed new Supplier Employee Supplier Type assigned to a CBRE employee Filebound Data A file created and approved by the Accounts Payable department for Supplier s payment remit to address Enterprise Resource Planning (ERP) System A business system that serves as a database containing the vendor master files. Typically used for many functions, such as: storing vendor master records, issuing purchase orders to Active/Approved vendor master records, or issuing payments for invoices against approved purchase orders. Examples of such business systems include Oracle, SAP, MAPICS, or Iscala Financial Assessment Due Diligence criteria which requires an evaluation of the Supplier s general economic health. The Financial Disclosure Confidentiality Agreement must be completed by the Supplier prior to gathering the information if the information is not publicly available. Financial reports from third party databases such as Dun and Bradstreet may also be used to determine a Supplier s financial stability Financial/Leasing/Insurance Supplier Type assigned to a business, company and/or a financial institution that lease or rent items such as machinery, factory, and office equipment, etc., or provides financial and insurance related products and services to CBRE Freight Supplier Type assigned to a Supplier which moves material within national boundaries on behalf of CBRE. Modes include rail, truck, air and ship. These are also known as a common carrier Goods Materials, either as raw materials or finished components or products Government Agency/Municipality Supplier Type assigned to a government Supplier, government agent or municipality; typically a taxing or licensing authority. In some regions, governments may assign this role to third parties as their agent Government Facing Business Consultant Supplier Type assigned to a Supplier that interacts with government authorities for CBRE to perform a variety of consulting or professional services such as obtaining permits/licenses, tax consulting, lobbying, legal, Page 15 of 18

16 accounting, real estate or architectural design services. These Suppliers are considered a High Risk Vendor Supplier Type. NOTE a: The Legal Department has the responsibility to conduct Due Diligence evaluation of law firms and lobbyists. Exceptions maybe documented in (L). NOTE b: In North America region, these will include Public Sector Consultants or Government Relations Consultants that may represent (a) CBRE S business in legislative, regulatory or administrative action or rule making relevant to its commercial interests; or (b) provide advice, consultation and representation with respect to sales and marketing efforts in public sector vertical markets, also known as a Lobbyist High Risk Vendor Supplier category that requires legal Due Diligence evaluation prior to being added in a CBRE Enterprise Resource Planning (ERP) system. These High Risk Vendor Supplier types include Custom Brokers / Freight Forwarders, Government Facing Business Consultants, and Agents/Sales Consultants High Risk Vendor Due Diligence Evaluation Due Diligence investigation used to determine whether the Supplier uses only ethical business practices Inactive/Retired Supplier Status assigned to a Supplier which exists within CBRE Enterprise Resource Planning (ERP) systems, has no open purchase orders or invoices for a period of at least eighteen months, or has otherwise been identified for non-use in regional Enterprise Resource Planning (ERP) system Indirect Supplier Type assigned to a Supplier which provides services and non-bill of material items (selling, general and administration/sg&a) in the support of requirements defined by field offices or factories. Use Indirect Supplier Type for Suppliers that provide products and services such as office supplies, hotels, travel agencies, dues/membership, education, entertainment, meetings, and equipment/tools/parts for job sites Indirect Supplier Assessment Survey Due Diligence criteria which requires the Supplier to complete a survey that examines a variety of performance categories. At CBRE discretion, an onsite assessment may be required Inter-company Supplier Type assigned to a CBRE Supplier selling to another CBRE Supplier, where CBRE retains operating control 50% or greater ownership and consolidated sales of both entities Landlord Supplier Type assigned to a person, business, or organization renting or leasing property such as land, buildings, etc Legal Professional Service Firm A Supplier required by CBREs Legal Department to perform legal services; usually assigned a Supplier type of Business Consultant/Professional Fees Majority Ownership Supplier relationship where a parent company holds a greater than 50% ownership with the child company Preferred Supplier A Supplier that offers greater value to CBRE. The spend is usually for goods and services of commonly CBRE used items or categories of product. The Supplier is included on a Preferred Supplier list Requester Person responsible for initiating and completing Due Diligence, Delegation of Authority and/or Supplier Add Change Form actions to any CBRE Enterprise Resource Planning (ERP) system. This can be a member of any department of Global Workplace Solutions (GWS) Sensitive Suppliers Business partners identified by CBRE Finance which require additional review prior to receiving payments from CBRE Services Activities with a high labor content generally performed by licensed trades or firms that specialize in repair, installation, or maintenance functions. Page 16 of 18

17 13.39 Ship Owner Commission Supplier Type assigned to a Supplier that facilitates a commission payment to a person or company that owns a ship/ocean vessel Sponsorship Supplier Type assigned to an individual or agency receiving donations, pledges, educational grants, or contributions for both charitable and non-charitable business purposes Subcontractor/Service Supplier Type assigned to a Supplier that performs a specific task in support of requirements defined by Global Workplace Solutions field offices or factories. Usually job chargeable (cost of goods sold) including a building trade, i.e. plumbing, electrical, construction. This may also include professions such as Architects or Engineers for clients/customers Supplier or Vendor Either the word Supplier or Vendor may be used to describe any Supplier from which CBRE purchases goods or services Supplier Evaluation The Due Diligence minimum set of measurements, standards, and surveys to be used depending on Supplier type Supplier Made Aware of the CBRE Standards of Business Conduct CBRE s Standards of Business Conduct, which includes compliance to anti-bribery laws. The CBRE Standards of Business Conduct can be located at This URL must be referenced on every purchase order issued in GWS Supplier Made Aware of Terms and Conditions CBRE Global Terms and Conditions of Purchase as applicable to the service or product provided. CBRE Terms and Conditions exist in a variety of country/language variants located at This URL must be referenced on every purchase order issued in GWS Supplier Risk Defines a Supplier s potential for improper or illegal behavior. The highest risk Suppliers require the most extensive Due Diligence evaluations and the lower risk Suppliers require the least Tax or VAT ID Due Diligence criteria which requires the Supplier s valid tax identification number, government registration number, business number, or equivalent. This is part of the Supplier Add/Change Form Third Party A Supplier which is not a direct party to goods, contract or agreement, but may transact (i.e., receive purchase order, submit invoice, etc.) with CBRE. Examples of Third Party Supplier types can be Agent/Sales Consultants, Ship Owner Commission, Customer, Charity, Sponsorship and Employee Union/Court Ordered Supplier Type assigned to a Supplier for payments that are required as a result of Court ordered judgment, law suit settlement, or union/collective bargaining fees or dues Utility Supplier Type assigned to a Supplier that provides services such as energy, water, sewage treatment, or telecommunications, etc Vendor Master Administrator (VMA) Person performing data entry into local CBRE Enterprise Resource Planning (ERP) system. This person should be a member of the Purchasing Department if separation of duty requirements can be met Verification of Name and Address Due Diligence criteria which requires the Supplier s name and address to be verified through a third party database such as Dun and Bradstreet, website, telephone directory, etc. Screen shots, formal reports or other evidence from these sources are acceptable Vendor Master Record Specific Supplier data record in an Enterprise Resource Planning (ERP) system WebTop/Documentum An application supported by the CBRE Information Technology team used to store various documents electronically. Page 17 of 18

18 14.0 SUMMARY OF CHANGES Rebranding Removal of North America EFT requirement Rebranding to CBRE 15.0 REFERENCES 15.1 Purchasing Policy GWS.GLB 15.2 High Risk Supplier Accreditation Guidelines GWS.GLB 15.3 Do Not Use/Do Not Pay Guidelines GWS.GLB 15.4 Supplier Payment Change Requests Policy GWS.GLB 15.5 Request to Change Supplier Payment Terms Form GWS.GLB 15.6 Supplier Payment Terms Policy GWS.GLB 15.7 CBRE Standards of Business Conduct Global Terms and Conditions of Purchase Indirect Supplier Assessment Survey GWS.GLB External Indirect Supplier Standards Manual GWS.GLB Page 18 of 18