COMPLIANCE QUESTIONNAIRE FOR BUSINESS PARTNERS



COMPLIANCE QUESTIONNAIRE FOR BUSINESS PARTNERS

This Questionnaire must be completed and signed by third parties or intermediaries who desire to perform services for or act on Anixter’s behalf (“Business Partners”).

Identification of Business Partner

1. Identify full legal name (including all names by which Business Partner is known) and address of Business Partner.

     

2. Identify country in which Business Partner operates.

     

3. Identify address of Business Partner.

     

4. Identify telephone number of Business Partner.

     

5. Identify telex of Business Partner.

     

6. Identify fax of Business Partner.

     

7. Identify tax payer Identification Number of Business Partner.

     

Background and Capacity of Business Partner

8. Identify date Business Partner was formed (if an entity), or if an individual, the number of years the Business Partner has been in business.

     

9. Identify what kind of entity the Business Partner is (i.e., corporation, partnership, sole proprietorship).

     

10. Identify the date and place of incorporation (if an incorporated entity).

     

11. If incorporated, provide copies of commercial registry or equivalent official filings evidencing Business Partner’s corporate formation.

12. Identify full name of managers and directors:

A. Chairman/President

     

B. Managing Director

     

C. Other Directors

     

D. Officers

     

13. Briefly describe experience and qualifications of the management personnel of Business Partner.

     

14. Identify name of owners/principals and beneficial owners (if different) of Business Partner and the % ownership of each owner/principal in the Business Partner.

     

15. Specify if any portion of Business Partner is owned by a “Public Official” as defined in Anixter’s Business Partner Anti-Corruption Policy.

     

16. Specify the parent company of Business Partner, if any.

     

17. Specify the full legal names and addresses of subsidiaries or affiliated legal entities including joint ventures in the countries in which Business Partner will perform services for or on behalf of Anixter. State type and percentage of Business Partner’s ownership and control in subsidiaries, affiliates and joint ventures, with details of other shareholders if less than 100%.

     

18. Identify other businesses in which officers or directors are engaged (identify name of officer or director and name of corresponding business).

     

19. Identify the territory in which the Business Partner has or will provide services to Anixter.

     

20. Identify in what capacity the Business Partner has or will do business with Anixter:

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21. Identify the type of goods or services the Business Partner has or will supply to Anixter.

     

22. Identify the full names and addresses of agents, consultants or representatives that Business Partner has or will use to provide services to Anixter. Identify whether a Public Official has any direct, indirect or beneficial interest in the agent, consultant or representative.

     

23. If the Business Partner sells to any government agencies, identify the agencies.

     

24. Provide copies of bank account information to which payments will be made, and country in which bank account is located.

     

25. Provide 2 legitimate business references of good standing who we can contact.

     

     

Conflict of Interest

26. Identify whether the Business Partner represents any other foreign entities or individuals that provide the same or similar services or sell the same or similar products as Anixter.

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If yes, please explain and list the individuals and entities. Include name and contact information.

     

27. Identify whether any of the Business Partner’s owners, directors, senior officers (including their immediate family members) are related to any current Anixter employee, agent or contractor?

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If yes, please list the individuals. Include name and contact information.

     

Involvement of Government Officials

28. Identify whether the Business Partner or any of the Business Partner’s owners, directors, officers or employees now, or have ever been (last 5 years), directly or indirectly, a Public Official.

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If yes, list the person, the position held and the government entity in which the person held his/her position.

     

29. If the Business Partner responded to question 22 in the affirmative, identify whether the agent or any of the agent’s owners, directors, officers or employees now, or have ever been (last 5 years), directly or indirectly, a Public Official.

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If yes, list the person, the position held and the government entity in which the person held his/her position.

     

30. Identify whether any member of the immediate family[1] of the Business Partner or the Business Partner’s owners, directors, officers or employees now, or have ever been (last 5 years) directly or indirectly:

- Employed by a government ministry, agency or department, local government body or public authority

- Employed by an entity owned or controlled by a government ministry, agency or department, local government body or public authority

- A holder of political office, a candidate for political office or an official of a political party

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31. If yes, list the person, the position held, the government entity in which the person held his/her position, and his/her relationship to the Business Partner’s owner, director or senior officer.

     

Compliance Program

32. Does the Business Partner have an Ethics Code or a Code of Conduct (“Code”)?

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If yes, provide a copy of the Code.

33. Identify whether the Business Partner has a Compliance Program?

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If yes, please describe the program.

     

34. Identify how often the Business Partner’s employees receive training in the Code and/or other compliance topics?

     

35. How is the training described in Question 34 administered?

     

36. Identify what mechanisms there are for reporting concerns/possible Code violations within the Business Partner’s organization? Please provide details.

     

37. Do the mechanisms identified in response for Question 36 allow for anonymous reporting?

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38. Identify whether the Business Partner or any of its owners, directors or senior officers, employees, have been:

(i) Accused and/or convicted of fraud, money laundering, tax evasion and/or any other financial-related or ethics-related crime; or

(ii) Accused or adjudicated for violating any anti-bribery/anti-corruption law (including the US Foreign Corrupt Practices Act, the UK Bribery Act, or applicable local anti-bribery/anti-corruption laws).

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39. If you answer Question 38, please provide full disclosure.

     

40. For any agents or representatives identified in question 22; describe the due diligence undertaken in selecting the agent. Identify any of the questions within this questionnaire that were not covered in your due diligence.

     

Declaration

Business Partner confirms that the information supplied above is correct and acknowledges and agrees to comply with Anixter’s Business Partner Anti-Corruption Policy attached to this document and as amended from time to time and notified to the Business Partner.

Signature [pic]

Name      

Title      

Date      

Appendix A

Anixter Business Partner Anti-Corruption Policy

For third-party Business Partners doing business on behalf of Anixter Inc., and its affiliates and subsidiaries

Anixter’s Policy

It is Anixter’s policy to conduct all of our business in an honest and ethical manner everywhere we do business. We take a ZERO tolerance approach to bribery and other forms of corruption and are committed to acting professionally, fairly and with integrity in all our business dealings and relationships wherever we operate. We also prohibit facilitation payments and the giving or receiving of gifts or hospitality to/from Public Officials (defined below) anywhere in the world. This policy applies to third parties or intermediaries who perform services for or act on Anixter’s behalf (“Business Partners”). Anixter is committed to complying with all applicable anti-corruption laws, and expect the same of all of our Business Partners.

Your Responsibilities

As an Anixter Business Partner, you represent and agree to the following:

Improper Payments. You will not promise, offer, give, authorize, request, agree to receive or receive “anything of value” (defined below), directly or indirectly, to or from anyone, including any Public Official or an employee of a commercial enterprise, to improperly influence the behavior of such person as to obtain or retain business or secure an improper advantage (e.g., obtaining a contract, getting taxes reduced, laws changed, imports cleared, telephone/electricity connected, or permits obtained to conduct business).

Facilitation Payments. You will not make facilitation payments on behalf of Anixter to secure or expedite routine government actions by Public Officials.

Gifts and Hospitality. You will not promise, offer, give, authorize, request, agree to receive or receive any gifts or hospitality to or from Public Officials anywhere in the world. You may promise, offer, give, authorize, agree to receive or receive gifts or hospitality to or from a person who is not a Public Official only if the following requirements are met:

It is not in the form of cash;

It is not requested by the recipient or by a third-party on behalf of the recipient;

it complies with local law;

it complies with the rules and policies on gifts and hospitality of the recipient’s organization;

it is authorized by Anixter; and

it complies with the other provisions of this Business Partner Anti-Corruption Policy.

Gifts or hospitality to or from a relative, friend, acquaintance, charity, political party or other organization designated by a person with whom you have a business relationship are considered gifts or hospitality given or received directly to or by the person with whom that business relationship exists.

Books & Records. You will keep books, records and accounts that accurately and fairly reflect the disposition of Anixter’s assets and all transactions that you conduct on behalf of Anixter.

5. No Affiliation with Public Officials. You are not a Public Official, and no officer, director, employee or agent of your business is a Public Official.

Definitions

“Anything of value” covers just about any form of benefit, which includes, but is not limited to, money, gifts, hospitality, entertainment, promotional expenditure, expenses, services or personal favors, loans, employment offers or promises of future employment, or political or charitable contributions.

“Public Official” is a broad term which includes:

1. An employee, officer, official of, or consultant to:

a. A government at national, state, regional, provincial or local level;

b. A government agency, public authority or other public body;

c. A state-owned or state-controlled enterprise;

d. Groups with special status such as Native American tribes or nations in the US; or

e. An international public organization (e.g, the United Nations or the European Union), and their agencies and other related bodies; or

2. A politician at any level of government, whether they hold political office or not, political candidates, political parties and anyone working for them; or

3. Members of royal or other ruling families.

Termination

Failure to follow this Policy can result in termination of your business relationship with Anixter.

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[1] ”Immediate family” includes parents, spouse, siblings, children, mother- & father-in-law, and brothers- and sisters-in-law.

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