Investigations

Third-Party Manager investigations can be initiated several ways.

• You can order an investigation on the third-party. See Ordering an investigation.

• You can escalate a third-party to be investigated upon reviewing the 3P Monitor GDC Global Database Check screens over 1,500 lists for sanctions, embargoes, watchlists, court lists, and politically exposed persons. When a third party is entered, it is immediately screened. Re-screening frequency can be scheduled. and media hits. See Reviewing, adjudicating, and remediating GDC and media hits.

• You can convert a questionnaire to a request for an investigation if there are flagged questions remaining after your review or if an investigation is merited by the risk. See Converting a questionnaire into an investigation.

Investigations type follow. If you open one type of investigation and decide a different level is required, you can open an additional case.

• Open Source Investigation (OSI Open Source Investigation OSI is a fee-based investigation with an analyst completing desk research.): A fee-based investigation with an analyst completing desk research. Turnaround time is three to five business days. The investigation can be expedited for an additional charge.

• Enhanced Due Diligence (EDD Enhanced Due Diligence is a fee-based, 'boots on the ground' investigation with an investigator in country.): A fee-based, 'boots on the ground' investigation with an investigator in a country. Costs and timelines vary by country, with a typical turnaround time of 14 business days.

• Additional Due Diligence (ADD): A fee-based custom investigation based on your request scope. Use this option if you have specific concerns that are not covered by an OSI or EDD.

• Open Source Investigation + IP (Identified Principals): A fee-based investigation with an analyst competing desk research. The persons or persons to investigate are identified by the investigator.

Investigation considerations

• If your third-party does business in multiple countries, you may want to order a separate investigation for each country. If information becomes available in other countries that is relevant, the information will be shared, but the investigation's primary focus not researching other countries.

• If a third-party submitted a DDQ Due Diligence Questionnaire which can be sent to third parties for response. Questions can be added to a risk model to use in determining the overall risk rating for a third party. and didn't list all the principals, you can do one of the following:

  • Reject the DDQ and request that the third-party add the principals.

  • If allowed by your system setup, add the principals prior to converting the case to an investigation. From the case, click the Edit button and continue to the Principles list then Add.

• You can expedite a DDI (Due Diligence Investigation) upon written request. Additional fees may apply. If you know that you need to expedite a case, do so before the Accepted by Investigator stage The stage the case is in, for example, DDQ Invite, Qualification, Budget Requested, Case Rejected, and so on., which results in an Expected Completion Date.

• There is no direct contact with the subject(s) of an investigation. However, the scope of an Additional Due Diligence (ADD) investigation can include contact with the third party to conduct interviews and directly validate information.

• Contact the investigator directly if you have a question about the investigation or want to cancel an investigation. Select to the case, Case Folder tab then Company tab to view the investigator's contact information.

• Research Analysts and investigators come from a wide range of backgrounds including journalism, intelligence, and federal law enforcement. All investigators are trained in ethical investigation practices, have a strong knowledge of Anti-Bribery and Corruption issues and local business practices, and follow a code of conduct.