Compliance Desktop Technology Platform Admin User Guide

Compliance Desktop Technology Platform Admin User Guide

Table of Contents 1. Logging into ComplianceDesktop... 4 1.1 ComplianceDesktop Landing Page... 4 1.2 Requesting a New Password... 4 1.3 Requesting a New Login ID... 5 2. Compliance Desktop Core... 5 2.1 User Management... 5 2.2 Settings... 15 3 Due Diligence Manager... 56 3.1 Settings... 56 3.2 Search... 69 3.3 Dashboard and Reporting... 70 4 Questionnaire... 72 4.1 Settings... 72 4.1.1 Templates.... 73 4.1.2 Approvers... 86 4.1.3 Emails.... 88 4.2 Analysis.... 93 4.3 Search... 95 4.4 Dashboard and Reporting... 97 5 Remediation... 98 5.1 Settings... 98 5.3 Search... 112 5.4 Dashboard and Reporting... 113 6 Gifts, Travel and Entertainment (GTE)... 115 6.1 Settings... 115 6.3 Search... 144 6.4 Dashboard and Reporting... 145 7 Certifications... 147 7.1 Settings... 147 7.1.1. Certifications... 148 7.1.2 Approvers... 152 7.3 Search... 157 7.4 Dashboard and Reporting... 158 8 Conflicts of Interest... 160 8.1 Settings... 160 Page 2 of 196

8.1.1 Templates... 161 8.1.2 Approvers... 170 8.1.3 Emails.... 171 8.2 Analysis.... 176 8.3 Search... 177 8.4 Dashboard and Reporting... 179 9 Third Party... 180 9.1 Settings... 180 9.2 Location of Third Parties (Distribution Map)... 191 9.3 Search... 192 9.4 Dashboard and Reporting... 194 Your Red Flag Group Contacts... 196 Page 3 of 196

1. Logging into ComplianceDesktop 1.1 ComplianceDesktop Landing Page To begin using ComplianceDesktop site, open your web browser and go to: https://companyname.compliancedesktop.com/ 1.2 Requesting a New Password A new password may be requested by clicking on the Forgot Password? link on the homepage. Then, enter your email address and authorisation code. An automated email will be sent to a user with new password reset instructions. Page 4 of 196

1.3 Requesting a New Login ID A new login id may be requested by clicking on the Forgot Password? link on the homepage. Then enter your email address and authorisation code. 2. Compliance Desktop Core By clicking on the platform settings highlighted below, you can manage/add user accounts and change the settings of your ComplianceDesktop platform for all users. 2.1 User Management: By clicking on the settings highlighted below, you can manage/add user accounts and change the settings and create reports on your ComplianceDesktop platform for all users. User Information Fields This is the list of all fields that you will find when working with user creation or editing. Field (Mandatory fields are marked with an asterisk) Login ID* Description Cannot be changed after creation Assigned by the administrator (who has the ComplianceDesktop administrator role) Will not accept duplicates Email address convention is preferred Page 5 of 196

Email Address* Should be unique First Name Middle Name Last Name Employee ID Each user can have more than one ID Title User Category* Organization* Organization Type Supervisor CD Tools Role(s)* CD Group(s)* Internal within same company group External third party member Name of organization Will not accept duplicates System will pick from existing organization If a new organization is being entered, system will create a new organization based on the information entered Automatic field based on the information saved in the system for that organization User Name of the supervisor Each user can have more than one supervisors The User Name needs to match a current user within the system Administrators and Super Users will be able to assign user roles Cannot be changed by user Assign special user groups to the user Every user should be assigned to ComplianceDesktop User group Region Country The country list will be based on the region you specify State (US Only) Only available when the country chosen is United States City Department The city list will be based on the country you specify The list will be based on the departments defined on the system Page 6 of 196

Address Zip Code Tel / Fax Preferred Display Language* English by default Time Zone* Adding New Users to ComplianceDesktop Step 1: On the side-bar of your ComplianceDesktop screen, you will find a set of menu options. Please highlight and click Platform Settings, as shown below: Step 2: Next, click on User Management. Page 7 of 196

Step 3: Then, highlight and select Add User. Step 4: Finally, complete the mandatory user details (these are highlighted with a red asterisk (*) and assign your new user to an existing organisation (or Add New Organization). Also remember to add your new user s contact information, region, country, division, and department. Step 5: It is important to select the most appropriate user account access right settings for each user. Here you select which access rights the user will have. Only User, Super User and Admin are applicable. All users (including third parties) must have a minimum of user access rights to ComplianceDesktop to access the tool. Page 8 of 196

Step 6: Next you select which rights users should have to each module. You are not required to designate all Applications to a user, only apply those that are applicable. CD Groups: These groups adjust the privileges to the user roles in accordance with your user role matrix. These should be selected in addition to the user roles for each module. NB. The user role for each module must correspond to the matrix for the CD Group to function. There are 4 specific roles for ComplianceDesktop, these are: Admin o Super user User o o Guest Enables users to view, edit and add organizations, users, and grant/restrict privileges etc. Admin user privileges can access and edit any part of the company s workflow structure. This type of access is recommended for an organization s compliance teams/compliance champions. Enables users to also view and add organisations at the same as them, send and approve questionnaires. However, this dependant on the workflow set up in the system. Super Users do not have access to any of the admin functions within ComplianceDesktop. This type of access is recommended for most other functions within a business e.g. Business Development. Enables users to fill in and sign questionnaires that have been assigned to them by a company. This type of access is recommended for a company s third-party suppliers, distributor, agents etc. Delete Users in ComplianceDesktop In certain situations, you may want to completely remove a user. Therefore, in addition to the existing Inactive user feature, you can now completely delete a user from the platform. Once deleted, the application will automatically mark the user as inactive and their name will no longer be visible Page 9 of 196

Step 1: Search for the user that you want to delete. Step 2: Click on the Delete icon to remove the user from ComplianceDesktop. Using Batch Upload to add new users ComplianceDesktop In addition to adding individual users, to ComplianceDesktop also offers the functionality to allow you to upload several users at once by using the batch upload function to add users. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Upload Users, as shown below: Page 10 of 196

Step 1: Download the template and save it to your computer. N.B. All mandatory fields are noted accordingly within the excel template. Only complete the Upload User Tab but please note that when adding division, department, region, country, organization, they must correspond exactly to the spelling text on the other tabs. NB. When uploading users, you cannot select CD Group(s) through the template. These would have to be adjusted once the user is created, or go to Add user to upload one at a time. Therefore, it is recommended to only use this upload functionality for the IntegraWatch user role. Step 2: After completing the template, choose the file to upload to ComplianceDesktop. Page 11 of 196

If successful, a notification will appear under the Select Files button. If you have selected the incorrect file simply press the (x) button on the right -hand side of your notification to remove the file. Grant Privilege User Management > Grant Privilege enables an admin to edit the access privileges of user roles within ComplianceDesktop. By selecting the edit action next to each of the desired roles the admin can add or remove access to certain privileges. For example, the below shows the editing of the role Questionnaire Super User Then press the X button as shown below, to remove privileges for this user role. Finally, press the Update button to accept the changes or Cancel button to discard them. Please note: These change wills apply to ALL users in this role. Adjusting these settings should be done with caution. Search users User Management > search users on ComplianceDesktop enables an admin to search and edit access privileges of individual user roles previously added to the platform. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Page 12 of 196

Step 2: please enter your search criteria in any of the search fields as shown in the example highlighted below: Step 3: By following the previous step, ComplianceDesktop show a list of users according to your search criteria. To access your user s credentials, next press the edit icon. Step 4: Now you should be able to access a user s credentials. By scrolling further down the page, you will be able to edit a user s details, and/or user account access rights. Page 13 of 196

From the search user results screen, you can also export your user list to PDF/excel format, or activate and deactivate selected users. This is shown below: ComplianceDesktop functionality enables admin users to filter their results according to region, user category etc. Admins can further filter these fields according to the search criteria that they require. ComplianceDesktop also offer s admins further search functionality by using fields such as contains, equals to etc. These features are especially useful to an admin who would need to search through a lot of users within the platform. Page 14 of 196

User Reports ComplianceDesktop Dashboard reporting functionality offer s admins the opportunity to create and view reports based date range, time last update and region and country. Admins can further customise your user reports by clicking on the Reporting button. From this page you can further filter, sort and group etc. your user reports. ComplianceDesktop user report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. 2.2 Settings The settings function of ComplianceDesktop enables admin users to configure the platform according to the requirements of their businesses. ComplianceDesktop admin s can use the settings feature to set up and manage their organisations within the platform, manage countries, regions, set passwords and much more. Organization Management ComplianceDesktop Organization Management function enables admins to add, edit, search and bulk upload organisations, countries, departments and divisions into the platform. With Organization Management, admins can also activate/inactivate organisations, export lists of their data to PDF and excel to save for their own records. Field (Mandatory fields are marked with an asterisk) Organization* Category Type Description Name of the company Internal: indication of own company External: Partner or other outside company Type of company, e.g. Supplier, Distributor etc. Division Indicating what divisions are present within the company Page 15 of 196

Region Region of the company Country Country where the company resides City City where the company resides Address Zip Code Name (Local Language) Organization name in its local language Short Name Registration No. Tax ID Tel Fax Website Page 16 of 196

Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Step 2: Then highlight and click on Organization Management. a. Adding a New Organization to ComplianceDesktop Step 1: To add a new organization, follow steps 1 and 2 of the instructions to access Organization Management, then scroll to the bottom of the page. Page 17 of 196

Step 2: Fill in the fields marked with the red asterisk (*). NB: when using the pulldown menu for to specify category for your organizations, using the Internal dropdown is recommended for organisations which are part of a plc group but may operate under a different name. Using the External dropdown is recommended for all third-party suppliers/partners etc. Step 2: Scroll down to the Additional Details field and click on the arrow to open. Next fill in the fields marked with the red asterisk (*). Page 18 of 196

If you wish to add additional details to your organisation details press the small arrow button on the right-hand screen for of the fields and tick the boxes as shown in the graphic below. Step 3: When you have filled in the organization details to your requirements, press the SaveOrganzationDetails button to save your changes. Pressing the Cancel button will discard your changes. b. Uploading Organizations into ComplianceDesktop Step 1: To add a new organization, follow steps 1 and 2 of the instructions to access Organization Management, then click on the Upload Organization button. Page 19 of 196

Step 2: Download the template and save it to your computer. Only complete the Upload Organizations Tab but please note that when adding division, department, region, country, organization, they must correspond exactly to the spelling text on the other tabs. Step 3: After completing the template, choose the file to upload to ComplianceDesktop. Page 20 of 196

If successful, a notification will appear under the Select Files button. If you have selected the incorrect file simply press the (x) button on the right -hand side of your notification to remove the file. c. Searching and filtering organizations on Uploading Organizations into ComplianceDesktop Step 1: To search an organization, follow steps 1 and 2 of the instructions to access Organization Management, then click on the Search Organization button. Step 2: please enter your search criteria in any of the search fields as shown in the example highlighted below: Page 21 of 196

You can also use the dropdown fields to add additional search criteria such as region and country, city, record status etc. Step 3: Press the Search button. From the organization results screen, you can also export your user list to PDF/excel format, delete, or activate and deactivate selected organisations. This is shown below: ComplianceDesktop functionality enables admin users to filter their results according to region, user category etc. Admins can further filter these fields according to the search criteria that they require. ComplianceDesktop also offer s admins further search functionality by using fields such as contains, equals to etc. These features are especially useful to an admin who would need to search through a lot of Organizations within the platform. Field Management ComplianceDesktop Field Management function enables Admins to create, edit and search fields in the platform that pertain to organisations and individuals. This function enables admin users to personalise ComplianceDesktop according to their company s requirements. There are two major types of system settings: Geographical level Organization level Page 22 of 196

Geographical Structure There are four levels of settings for the geographical area Region North America Country USA Canada State California British Columbia City Los Angeles Vancouver Organisational Structure Organisation Type E.g. Customer, Distributor, Government, Joint Venture Partner, Logistics Partner, Reseller etc. Organisation The Red Flag Group Division Legal & Compliance Technology Department Legal Compliance Technical Support IT Operations Page 23 of 196

Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Step 2: Then highlight and click on Field Management. a. Adding a New Field to ComplianceDesktop Step 1: To add a new field (i.e. need to add a new region, a new department or a new organisation type), follow steps 1 and 2 of the instructions to access Field Management, then scroll to the bottom of the page. Then press for example the Add Region button. Page 24 of 196

Step 2: Add the name of the region required within the Region* field and press the Add button to save your changes. b. Batch adding a new field in ComplianceDesktop If you have more than one field (country, department or division) to add or edit it is easier to perform this task using the Batch Upload. For countries the +Add Country not only allows you to add new countries, but also to easily rename a country and move it to another region. Step 1: Click +Upload Country, Department or Division Step 2: Complete the upload template and save Page 25 of 196

Step 3: Upload save file c. Business Role, Custom Fields and Help Text These three fields are a bit different from the rest in Field Management, so here s an overview of each: Business Role - Look at the following scenario. When staff declare a gift to a third party, a member from the compliance team would need to approve the declaration. In most cases there will be more than one staff member being assigned to act upon the compliance role. ComplianceDesktop allows administrators to define Business Role(s) and assign which User(s) belongs to each role. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 26 of 196

Step 2: Then highlight and click on Field Management. Step 3: Click on Business Role. Step 4: Click the Add Business Role Button Step 4: Enter a name for the role type (i.e. Compliance Team) Page 27 of 196

Step 5: Type the User Name of the member you want to perform this role. Step 6: Click the PLUS icon to add more members to the list. Step 7: To make this role available to a certain module, tick the check box next to it. Step 8: Click [Add]. Custom Fields ComplianceDesktop lets you add custom fields to hold and capture unique information that you will need to record in the ComplianceDesktop. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 28 of 196

Step 2: Then highlight and click on Field Management. Step 3: Click on Custom Field. Step 4: Click the New Custom Field Button Step 5: Type the Custom Field Name and select the Field Type, Applied to which module and Status. There are two modules where you can add custom fields, either in organization s profile or third-party profile. Page 29 of 196

Step 6: Click [OK] button to create the field. Help text This feature allows you to add details on the purpose and function of any system field under the organization and user profiles. You can define help text for your organization s fields to provide users with a helpful description for any field on all detail and edit pages where that field displays. Users can view the field-level help text by hovering over the Info icon next to the field. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 30 of 196

Step 2: Then highlight and click on Field Management. Step 3: Click on Help Text. Step 4: Under the Update Help Text section, select the module you wish to change for the help text, then select the Field Name. In the Help Text field, you can type the help text you want to add for the selected field, the maximum characters allowed is 255. Page 31 of 196

Step 5: Click the [Update] button to add the help text. d. Searching, Exporting and Filtering in Field Management ComplianceDesktop functionality enables admin users to filter their results. Admins can further filter these fields according to the search criteria that they require. ComplianceDesktop also offer s admins further search functionality by using fields such as contains, equals to etc. To add, edit, search, import of filter the remaining fields within the Field Management function - simply repeat the steps as previously mentioned above. System Settings ComplianceDesktop System Settings function houses several sub-functions within this function. These include enabling Admin users to configure the platform s branding and basic platform configurations, such as setting the password resets, setting email templates and editing user controls. Sub-functions within System Settings include: a. Configurations b. Applications Page 32 of 196

c. System Logs d. Email Template e. My System Page f. Data Extract g. Email Logs While discussing how each sub-function within ComplianceDesktop works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access System Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Step 2: Then highlight and click on System Settings. a. Using Settings >> System Settings>> Configurations Sub-Menu Page 33 of 196

There are several third level sub-functions housed within the configurations sub menu of ComplianceDesktop, these include: (i) (ii) (iii) (iv) (v) (vi) (vii) Access Organisation Edit Control User Edit Control Default Controls Announcement Message Self- Registration Theme settings Step 1: To access the Configurations menu, follow steps 1 and 2 of the instructions to access Organization Management, then highlight and click on the Configurations button. (i) Using Settings>>System Settings>> Configurations>>Access menu This function enables admins to set the number of password attempts, etc. on ComplianceDesktop. Name Number of Password Attempts Password Attempt Period Idle Period Logout Time Lock Account Period After Fail Attempts Password Expired Set Password Iteration Re-use Description How many times a user can enter a wrong password before the account will be locked The elapsed time for the system to recognize the preset number of wrong password attempts The duration of time before the system will logout automatically when it detects no activity from the user The period of time an account will be locked after user exceeds the number of wrong password attempts How frequent a user will be prompted to change the password If set to 3, when users change the password, they cannot re-use the last 3 passwords. Step 1: Follow the steps 1 and 2 to access the System Settings menu. Then highlight and click on Configurations. The Access menu screen should be the first screen option that you see. Page 34 of 196

To change the number of Password Attempts. Step 1: While in the Access screen, click on the pencil symbol of the right-hand side of the Number of password attempts option. Step 2: Using the up and down arrow keys, edit the number of password attempts desired. Step 3: Press the Update button to save your changes, or press the Cancel button to discard them. To make changes to the following functions in the Access menu, simply repeat steps 1-3: Password attempt period (minutes) Page 35 of 196

Idle period logout time (minutes) Lock account period after fail attempts (minutes) Password expired (days) Set password iteration re-use (ii) Using Settings>>System Settings>> Configurations>>Organization Edit Control. Using this function enables admins to add additional mandatory fields, when a user adds a new organization to ComplianceDesktop. Step 1: Follow the steps 1 and 2 to access the System Settings menu. Then highlight and click on Configurations. The Organization Edit Control menu screen should be the second screen option that you see. To make changes to Organization Edit Control Step 2: go to the right-hand side of the screen and click on the box(es) required. If successful you will see a blue tick in the box as shown in the diagram below: NB: Some of the fields within this function are already pre-selected as mandatory fields for ComplianceDesktop. These cannot be changed with any user account and is pre-set by the Red Flag Group. Step 3: Once you have selecting your mandatory fields, scroll to the bottom of the page and press the Update button. Page 36 of 196

(iii) Using Settings>>System Settings>> Configurations>> User Edit Control The User Edit control function enables admins to select the fields that new users of ComplianceDesktop are required to fill in once they are registered to the platform. To make changes to User Edit Control Step 1: Follow the steps 1 and 2 to access the System Settings menu. Then highlight and click on Configurations. The Organization Edit Control menu screen should be the third screen option that you see. Step 2: go to the right-hand side of the screen and click on the box(es) required for your mandatory user account fields. You can also uncheck the editable fields if you wish. These are in the row on the far right of the screen. If successful, you will see a blue tick in the box as shown in the diagram below: Page 37 of 196

NB: Some of the fields within this function are already pre-selected as mandatory fields for ComplianceDesktop. These cannot be changed with any user account and is pre-set by the Red Flag Group. (iv) Using Settings>>System Settings>> Configurations>>Default Controls The Default Controls of ComplianceDesktop enables admins control what external users can see on a base level. This function also enables admins to choose if they would like external users of ComplianceDesktop adding to the platform. Step 1: Follow the steps 1 and 2 to access the System Settings menu. Then highlight and click on Configurations. The Default Controls menu screen should be the fourth screen option that you see. Step 2: Select the options required for your default controls. Then press the Update Button to save your changes. Page 38 of 196

(v) Using Settings>>System Settings>> Configurations>>Announcement Message ComplianceDesktop Announcement Message function enables admins to create and edit announcements to users of the platform. Admins can also choose to create announcements to internal or external users only. Step 1: Follow the steps 1 and 2 to access the System Settings menu. Then highlight and click on Configurations. The Announcement Message menu screen should be the fifth screen option that you see. To add an announcement message Step 2: Click on + Add Announcement Message. Page 39 of 196

Step 3: Next tick the boxes for which modules you wish the announcement to appear, add the announcement title (if required), then set the visibility. If you wish to set an immediate announcement on ComplianceDesktop simply set the status to Active. To deactivate an announcement or deactivate visibility Step 1: whilst in the Announcement message menu please select the announcement required and press the edit button as shown on the diagram below. Step 2: Then Select the status to inactive. To delete an announcement, please press the X button on right-hand side of the screen. To search and filter announcements: Go to the fields Announcement title, Apply to Modules etc. and filter by the field desired. b. Using Settings >> System Settings>> Applications sub-menu The applications sub-menu enables admin users to control which applications are available to other users of ComplianceDesktop. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 40 of 196

Step 2: Then highlight and click on System Settings. Step 3: Then go to Applications to access this menu. Page 41 of 196

Step 3: Then go to System Logs to access this menu. Step 4: To select which module to activate/deactivate in ComplianceDesktop please use the slider controls at the right-hand side of the page to turn an application on/off. c. Using Settings >> System Settings>> System Logs The system Logs menu enables Compliance Desktop admin users to look up and search user activities, such as when users have conducted searches, added new organisations etc. Admin users can also use the system logs function to search and track internal and external user logins. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 42 of 196

Step 2: Then highlight and click on System Settings. Step 3: Highlight and select System Logs. To search for a login or event on ComplianceDesktop Step 1: Enter the type of logs that you wish to look at using the drop-down menu. Step 2: Then add a name of the user you would wish to look at and enter the date range if required. You can leave this blank if you want wish to look at all user records. NB: A start date and end date is required to run the report. This function can only operate within a 30-day date range. Page 43 of 196

Step 3: Click the View button to run the report. d. Using Settings >> System Settings>> Email Template The email settings function in ComplianceDesktop enables admin users to control which automatic email notifications are sent to users and third-party users. Admin users can also use this function to edit the auto email templates, select a different language and add relevant users in CC and BCC to the email notifications. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 44 of 196

Step 2: Then highlight and click on System Settings. Step 3: Then highlight and click on Email Template to access this menu. To activate/de-activate email notifications in Email Templates Step 1: select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. To edit an Email template Step 1: To select the languages required, tick the boxes selected Page 45 of 196

Step 2: Scroll down the page and input your sender, CC and Bcc fields as required. Step 3: Edit the Subject line and text as required. Step 4: Press the Update button to save your changes. Page 46 of 196

d. Using Settings >> System Settings>> My System Page The My System Page function enables admin users to view the start and expiry dates of ComplianceDesktop platform and module licenses. Admins can also upload new license keys once their new license has been approved and sent by Red flag group. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 47 of 196

Step 2: Then highlight and click on System Settings. Step 3: Then go to My System Page to access this menu. To Reactivate your ComplianceDesktop License Step 1: Select your saved ComplianceDesktop Product license key from your saved files. NB: You need to have received a new Product License Key from Red Flag Group to use this function. Page 48 of 196

Step 2: Press the Update button. To view your product License Start Date/End Date Step 1: Follow steps 1 and 2 to access My System Page. Then scroll down the page to see an overview of your product license status and your modules on ComplianceDesktop. e. Using Settings >> System Settings>> Data Extract The data extract function enables admin users to export data from ComplianceDesktop modules and/or user/organization data. Once data is extracted, ComplianceDesktop sends an email notification to admin users once the extract is complete. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Page 49 of 196

Step 2: Then highlight and click on System Settings. Step 3: Then highlight and click on Data Extract to access this menu. Page 50 of 196

To create a Data Extract Step 1: From the Data Extract page select the information required in the drop-down menu screen and select the date range required. Step 2: Press the DataExtract button. You will then be redirected to a System message page telling you that you will be sent an email once the data extract is complete Page 51 of 196

a. Using Settings >> System Settings>> Email Logs The Email Logs function enables admin users to access, view and download all automatic email notifications sent out by ComplianceDesktop. Admin users can search logs by location, tools, user and organisation. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Platform Settings. Step 2: Then highlight and click on System Settings. Step 3: Then highlight and click on Email Logs to access this menu. To search email logs Step 1: Fill in the search criteria required Page 52 of 196

Step 2: Next, select the dates required. Step 3: Press Search From the results screen you can filter your results by Region, Category, ID and much more. Page 53 of 196

Languages ComplianceDesktop is available in 18 different languages. The Languages setting enables admin users to change the language that they see on ComplianceDesktop Step 1: On the bottom of your ComplianceDesktop screen, please click on English. Page 54 of 196

Step 2: Next, highlight the language required and click to activate. Compliance Desktop Technology Platform Page 55 of 196

3 Due Diligence Manager Due Diligence Manager manages a programme of enhanced due diligence cases simply and efficiently. It enables for cases to be requested, their progress to be tracked, stored and accessed. It is best used with the Questionnaire Tool to request essential information from partners allowing you to then assess risk and manage the priority and depth of each individual case. Step 1: Once logged in, click on Due Diligence button. 3.1 Settings ComplianceDesktop Due Diligence Manager Settings function houses several sub-functions within this module. These include enabling Admin users to configure the case approvers and reviewers, notifications and case auto-renewals. Sub-functions within Settings include: a. Approver b. Reviewer c. Regional View d. Notification of Renewals e. Scopes f. General Configuration g. Email Settings h. Auto-Renewal While discussing how each sub-function within Due Diligence Manager works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Due Diligence. Page 56 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. a. Due Diligence >> Settings >> Approver All Enhanced Due Diligence case requests should go through an approver before the case shall be passed to The Red Flag Group to conduct the work needed to produce the case. The Approver Page 57 of 196

function enables Admin users to setup rules so that different request can be passed to different approvers for action. If a new request does not match any rule created, the request will be passed to the Default Approver for action. Rules can be setup based upon the requestor, department, division, country, region of either the requestor of the subject of the case and the scope of the case. To add or edit a Default Approver Step 1: Access the Approver function. NB. You should have at the very least a Default Approver. Step 2: Click the Edit icon next to Default Approver Step 3: Click Add People, then start typing in the name of the Default Approver and click Update. NB. Throughout the Due Diligence Manager module when you are asked to enter in an individual s name if you start typing in their name your options to choose from will appear. Page 58 of 196

To add or edit an Approver Step 1: Access the Approver function. Step 2: Click +Add Rule Step 3: Select your criteria (everything with a red * is required) for each rule and click Add. NB. Multiple approvers are allowed and you can decide if ANY or ALL or NONE are required to take action before the case will be approved. Step 4: To delete any existing rule, click the red X next to the corresponding rule and then click Ok at the prompt. Page 59 of 196

b. Due Diligence >> Settings >> Reviewer The Reviewer function allows for the Admin user to set up comprehensive review workflows for users to review completed due diligence reports. This will ensure a report will not be forgotten and not reviewed especially if red flags are found. Ensure that the Enable Report Review Workflow is turned on underneath the General Settings. Once the above has been setup, the report reviewer will be notified as soon as the case has been completed and will have to submit the Review Completed action. To add or edit a Due Diligence case reviewer Step 1: Access the Reviewer function. Step 2: Select your criteria (everything with a red * is required) and click Save. NB. Multiple approvers are allowed and you can decide if ANY or ALL are required to take action before the case will be approved. Page 60 of 196

Step 3: To delete any existing rule, click the Delete button underneath the corresponding rule and then click Ok at the prompt. c. Due Diligence >> Settings >> Regional View Due Diligence Users can only view his/her own cases, or browse other records if he/she is the approver/reviewer. Admin users may set up Regional Views to enable someone to oversee other records based on certain criteria. That criteria can be based on the requestor s or subject s country or region. To add or edit Regional View Step 1: Access the Regional View function. Step 2: Enter the name of the user, then select the criteria (everything with a red * is required) and click Create. Page 61 of 196

NB. You can select all users of the Due Diligence Manager can see vs. just one single user(s). Step 3: To Edit or Delete any existing rules click on either the Edit or Delete icons. d. Due Diligence >> Settings >> Notification of Renewals Notification emails can be setup to notify a group of users about a certain status, e.g. they are notified when the case is completed or a case renewal is coming up. Notifications can be setup for users who are not originally part of the case workflow. To add or edit Notifications Step 1: Access the Notification function. Step 2: Click Add to enter the name of the user, then select the criteria (everything with a red * is required) and click Add. Page 62 of 196

NB. In some cases, you will have the option to apply additional conditions by checking the Apply Conditions checkbox. Step 3: To delete any existing rules click on the Delete icons. Page 63 of 196

e. Due Diligence >> Settings >> Scopes The contractual agreement for the scope of work and the agreed prices are stored here for the Admin s record. The Admin user can also modify what additional mandatory fields are required for each scope level case request. To modify scopes mandatory fields Step 1: Access the Scopes function. Step 2: Click on the Edit icon to add additional mandatory fields and click Save. f. Due Diligence >> Settings >> General Configuration The Due Diligence Manager will come with some pre-set configurations, but there may come a time where the Admin user must make some basic changes to the Due Diligence Manager. E.g. allow for requesting on behalf, enabling report review workflow, checking for duplicate case requests and changing the red flag status. Page 64 of 196

To edit the General Configurations Step 1: Access the General Configuration function. Step 2: Scroll down to find the configuration setting you need to turn on or off. g. Due Diligence >> Settings >> Email Settings The Admin user can define when the platform will send out email notification messages to declarers and approvers. The Admin user can also modify the text of the email notification. To activate/de-activate email notifications Step 1: Access the Email Settings function. Page 65 of 196

Step 2: Select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. To edit an Email template Step 1: To select the languages required, tick the boxes selected Step 2: Scroll down the page and input your sender, CC and Bcc fields as required. Page 66 of 196

Step 3: Edit the Subject line and text as required. Step 4: Press the Update button to save your changes. h. Due Diligence >> Settings >> Auto-Renewal The Admin user can define if there is a need to enable the auto-renewal rules based on a region, country of the requestor or subject, scope level or red flag status. The rules can just trigger an email notification message or the actual re-ordering of that case. To Add an Auto-Renewal Rule Step 1: Access the Auto-Renewal function. Step 2: Choose either the Auto-Renewal or Renewal Notification option. Page 67 of 196

Step 3: Complete the criteria (everything with the red * is required). Compliance Desktop Technology Platform Step 4: Click Add Rule. To Edit or Delete an Auto-Renewal Rule Step 1: Access the Auto-Renewal function. Step 2: Find your rule and click either the Edit or Delete icon. Page 68 of 196

3.2 Search Compliance Desktop Technology Platform Enables an admin to search and see all due diligences cases ever submitted and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Step 3: Click Search. Page 69 of 196

Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a case click on the View icon. 3.3 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Page 70 of 196

Admins can further customise reports by clicking on the Reporting tab. From this page you can further filter, sort and group etc. your reports. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 71 of 196

4 Questionnaire Compliance Desktop Technology Platform Questionnaire Tool is used to manage complex data collection activities. It is relatively simple for interactions with internal users or external partners, suppliers, or other third parties. It can be used to track multiple questionnaires and helps with the analysis of the results to assess potential risk and the proper compliance protocol. It can be linked up with other modules inside of ComplianceDesktop. Step 1: Once logged in, click on Questionnaires button. 4.1 Settings ComplianceDesktop Questionnaire Settings function houses several sub-functions within this module. These include enabling Admin users to configure individual questionnaire templates, regional view and general configurations. Sub-functions within Settings include: a. Templates b. Regional View c. Category Approval d. General Configurations While discussing how each sub-function within Questionnaires works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Questionnaires. Page 72 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. a. Questionnaires >> Settings >> Templates 4.1.1 Templates. Only Admin users have the right to add, edit, copy and delete a questionnaire. Before starting you are encouraged to define the following for each questionnaire template: 1) Overview Language options. How many tabs (or pages) and whether each tab of questions will be seen by the responder or just the reviewer. Number of approvers to review the questionnaire after submission. Can internal users complete the questionnaire on behalf of third parties. Can first level approvers change subsequent approval workflow. Can approvers delegate their approval. Will a due diligence or IntegraWatch be raised automatically after the questionnaire response (only if you have subscribed to Due Diligence Manager and/or IntegraWatch). 2) Reminders Latest submission date (Submission Period). Latest date for an approver to review the questionnaire after submission (Review Period). Recurring period for reminder notification (Recurrent Period). Page 73 of 196

3) Questions Questionnaire layout question type (i.e. text entry, date picker, radio, upload, etc.), question numbering, question sequence, question score. Which questions are mandatory. Will there be questions for the approver after they have reviewed the submitted questionnaire. 4) Branching Determine the question flow of the entire questionnaire. 5) Exclude responders Determine if there are questions that are not appropriate or legal to be assigned to a particular country or region. 6) Approver workflow How the questionnaire will behave when an approver approves or declines the response. 7) Data mapping to other tools If the questionnaire asks the responder to provide personal or organisational information, Questionnaire Tool can update the master database record if there are any changes. 8) Email notification options Under what circumstances will a notification be sent. To edit or delete an already created questionnaire To edit an existing questionnaire, click on the Edit icon. To delete an existing questionnaire, click on the Delete icon. A deleted questionnaire can no longer be assigned out, but if one is currently being worked on the system does allow for that questionnaire to be completed. To add a new questionnaire Step 1: Access the Templates function. Page 74 of 196

Step 2: Click +Add Questionnaire. Step 3: Type in name of questionnaire and click Create. Step 4: You will be guided to the Overview page. Page 75 of 196

Step 5: Fill in all necessary fields (E.g. additional languages of the questionnaire, additional tabs for either the third party or approver, number of approvers, creating due diligence request trigger, etc.) and click Next. Step 6: Complete the reminder section if you plan to have reminders sent out and click Next. NB. Notify the Assignor only will only send out the Recurrent Reminder email to the original Assignor of the questionnaire alerting them that it has been x frequency since the last time the questionnaire was completed. While, the Notify and automatically assign out a new questionnaire will assign out a questionnaire and send the Recurrent Reminder email to the original Assignor. There is also an option to populate the new questionnaire with the previously submitted responses and these responses can be edited. Page 76 of 196

Creating Questions. ALL questions (even those that belong to different tabs) will be listed in this page. You can edit or delete questions here or add new ones. To add a question Step 1: To create a new question, click +Add Question. Step 2: Fill in the details and click Create to save the question. Continue this process if you have more questions to add. You can also manage your questionnaire translations from here or via the Manage Question(s) in Excel upload functionality. Page 77 of 196

NB. For questions that belong to the question type radio, checkbox or dropdown, you can assign a score to each of the answers. Then you can make use of the scores to identify if there are high risks to a company based on the answers provided by the responder. To edit a question Step 1: Click on the Edit icon next to the question. Page 78 of 196

Step 2: Make your changes and click Update. To delete a question Step 1: Click on the Delete icon next to the question and click OK to confirm. The details used to create each question can come from the following: Page 79 of 196

NB. In order to upload multiple answers to a question in one step, click on the Add Answer button. A text box popup appears for entering multiple answers simultaneously. All answers entered can be separated by pressing enter on the keyboard after each entry. This is useful if there are several answer choices, for example a Country question. Branching is a technique being used to build decision trees, you will be able to make decisions based on different answers provided by the responder. By structuring questions in a logical way, Questionnaire Tool can determine the next question to be presented to the responder. Step 1: To create a branched question click on + Add Branching, choose your source question (i.e. all your radio, checkbox and drop down), then choose where to redirect the responder based on the answer and click Create. Continue this process if you have more questions to branch. Page 80 of 196

Step 2: Click Next to proceed to the next section when ready. 4.5 Hide Questions by Country. As the questionnaire can be used as a template for all users around the globe, there may be some questions which are inappropriate, or even against local laws to be presented to the responders. In such cases, Admin users can use this option to hide certain question(s) from a chosen region or country. Step 1: Click +Add Rule, select the question to be hidden, select the country/countries (region) and click Create Rule. Page 81 of 196

Step 2: Click Next to proceed to the next section when ready. Scoring Scheme are for approvers to easily make use of the scores to identify if there are high risks to a company based on the answers provided by the responder. When the approver reviews a questionnaire, he/she can see the total score of the questionnaire. Step 1: To setup a scoring scheme, click the Scoring Scheme tab (you will only see this tab if one of your questions has a score associated with it). Step 2: Click +Add Scoring Scheme. Step 3: Enter in the score range you want to define, choose a colour, give it a label, provide additional instructions to the review, map to a recommended level of due diligence and lastly set the number of approvers that will need to review (or auto-approve is an option). Click Create to confirm and continue this process till all score ranges are defined. Step 4: Click Next to proceed to the next section when ready. Sorting allows you to rearrange questions within a questionnaire to list them in different order or move a question to a different tab. Page 82 of 196

Step 1: You can click on the Collapse/Expand to show all the question text vs. just the question numbers. Step 2. Order the questions by using the mouse to drag and drop the questions. Step 3: If you want to move a question to another tab, drag and drop it into that tab area and then set the order. Step 4: Click Next to proceed to the next section when ready. The Approver Workflow is to control how the questionnaire will behave when an approver approves or declines the submitted questionnaire. The number of levels appearing here depends on the Number of Approvers being set in the Overview page. Step 1: Enter the description for each level of approver (i.e. Business, Compliance, Finance, Legal, etc.). Page 83 of 196

Step 2: You can select if the questionnaire should be passed to the level 2 approver once it has been approved by changing the Approve (Next Level) to level 2. Step 3: When the level 1 approver declines the questionnaire, you can choose if the approval workflow stops right there or still be forwarded to the next level approver using the Decline (Next Level). Step 4: If you want to explicitly set a dedicated user to be an approver, you can check the Custom Approver List check box and add a user as the approver. Click the Plus icon to add more approvers. Step 5: If you want to allow a certain level of approval to be able to expand (or add more approvers to the workflow), you can check the box next to This approver can continue approval process. Step 6: Click Next to proceed to the next section when ready. Mapping. If you have chosen the option to populate questionnaire responses to other tools in the Overview section, you will need to select which fields will be corresponding to your questionnaire answers. For example, if Question 2 was Business Partner s name, then you can select Organisation Name in the field and map to question 2. Step 1: Click Add. Step 2: Choose your Question, then what field you want to map to and click OK. Continue this process till all mapping has been created. Page 84 of 196

Step 3: Click Next to proceed to the next section when ready. Variables are used to define rules with default values which can be inserted at the time of the question s creation. Step 1: Click +Add Rule. Step 2: Choose your variable from drop down, complete the details and click Create Rule. Page 85 of 196

Step 3: Click Finalise Questionnaire Template to complete the creation of the questionnaire. If this is your first time adding you will receive a pop message alerting you that you need an approver before the questionnaire can be finalised. To copy an existing questionnaire Admin users can copy an existing questionnaire for new setup or backup purpose etc. The copied questionnaire name will appear as Original Questionnaire Name Copy. Configuration changes made to Email Templates and Approver settings will also be copied over. Step 1: Click on the Copy icon. Step 2: Edit whatever content you need to and click Finalise Questionnaire Template to complete the creation of the questionnaire. 4.1.2 Approvers. After you have created a questionnaire, you will need to setup an approver. Every questionnaire must have at least the Default Approver. The approver s role is to review the submitted questionnaire and determine the next step of action. You can setup rules based on the following criteria, and the priority of approvers is from top (1st priority) to bottom (last priority): - Assigner Name - Assigner s Department - Assigner s Division - Assigner s City - Assigner s Country - Assigner s Region - Responder s Score - Responder Name Page 86 of 196

- Responder s Department - Responder r s Division - Responder s City - Responder Country - Responder s Region For example, if two approver rules have been setup as below: If Assigner s Name is User 1, then Approver is User 2 (1st priority) If Assigner s Department is HR, then Approver is User 3 (2nd priority) In a scenario where User 1 submits a case that the Assigner s Department is HR, then the Approver will be User 2, as Assignor s Name has a higher priority than Assigner s Department. Step 1: Locate the questionnaire you want to use and click on the Approver icon. Step 2: Set your Default Approver, select your criteria in the drop-down box and click Update. Step 3: To add a new approver condition, select your criteria (everything with a red * is required, and choose the approver to complete the condition. Page 87 of 196

Step 4: Click Create. Continue this process till all conditions are created. Step 5: If you were not able to finalise your questionnaire previously, go back in and click Finalize. 4.1.3 Emails. The Admin user can define when the platform will send out email notification messages to declarers and approvers. The Admin user can also modify the text of the email notification. To activate/de-activate email notifications Step 1: Locate the questionnaire you want to use and click on the Edit icon. Step 2: Select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. To edit an Email template Step 1: To select the languages required, tick the boxes selected Page 88 of 196

Step 2: Scroll down the page and input your sender, CC and Bcc fields as required. Step 3: Edit the Subject line and text as required. Step 4: Click Update. b. Questionnaire >> Settings >> Regional View Questionnaire Super Users can only view his/her own questionnaires, or browse other records if he/she is the approver. Admin users may set up Regional Views to enable someone to oversee other records based on certain criteria. That criteria can be based on the requestor s or subject s country, region, department, division or questionnaire template. To add or edit Regional View Step 1: Access the Regional View function. Page 89 of 196

Step 2: Click +Add Regional View. Step 3: Choose whether it will be all Super Users or a Specific user, then select the criteria and click Create. Step 4: To Edit or Delete any existing rules click on either the Edit or Delete icons. Page 90 of 196

c. Questionnaire >> Settings >> Categories for Questionnaire Approval Admin users can create categories for approvers to use while approving and/or declining a questionnaire to provide a justification for the action. Approvers are then able to select an approver or decline category as comments during questionnaire approval process. To add categories for approval and/or decline Step 1: Access the Categories for Questionnaire Approval function. Step 2: Click on Add Categories for Questionnaire Approval. Step 3: Type in your category name, choose the Approval Type and click OK. Page 91 of 196

Step 4: To Edit or Delete any existing rules click on either the Edit or Delete icons. d. Questionnaire >> Settings >> General Configuration The Questionnaire Tool will come with some pre-set configurations, but there may come a time where the Admin user must make some basic changes to the Questionnaire Tool. E.g. Generate Auto-Assign Questionnaire URL, Respondent s Details in the header of a questionnaire, etc. To edit the General Configurations Step 1: Access the General Configuration function. Step 2: Scroll down to find the configuration setting you need to turn on or off. Page 92 of 196

4.2 Analysis. Questionnaire Analysis is a report to show the distribution of the questionnaire answers. It also shows the average time taken for each of the questionnaire stages. The report only includes submitted responses. Step 1: Access the Analysis function. Step 2: Select a questionnaire name from the pull-down menu. You can also use additional fields to filter the information. Page 93 of 196

Step 3: Click View. Step 4: Click on the links to see the detailed questionnaire submissions. Page 94 of 196

Step 5: Click Export to PDF or Export to Excel to extract the table to the relevant format. To exit out click the X in the upper right-hand corner. 4.3 Search Enables an Admin user to search and see all questionnaires ever submitted and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Page 95 of 196

Step 3: Click Search. Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a questionnaire click on the View icon. Page 96 of 196

4.4 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Admins can further customise reports by clicking on the Reporting or Questionnaire Reporting tabs. From these pages you can further filter, sort and group etc. your reports or drill down to the exact data collected from a particular questionnaire. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 97 of 196

5 Remediation Compliance Desktop Technology Platform Remediation allows you to track any risks raised and your process to go about managing that risk. Remediation is integrated into all other ComplianceDesktop Tools (Questionnaires, Due Diligence, Conflicts, Certifications and Gifts Travel & Entertainment Tool) as well as from the Remediation tab to better assist you with managing your risk. Step 1: Once logged in, click on Remediation button. 5.1 Settings ComplianceDesktop Remediation Settings function houses several sub-functions within this module. Sub-functions within Settings include: a. Task Status b. Task Template c. Priorities d. Types e. Emails f. Reminder g. Regional View While discussing how each sub-function within Remediation works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Remediation. Page 98 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. a. Remediation >> Settings >> Task Status Tasks status (i.e. completed, started, etc.) enables the admin user to add new status, delete any current status, re-arrange the order and set the default status for all task created. Step 1: Access the Task Status function. Page 99 of 196

To add a new Task Step 1: Click on + Add Task Status. Step 2: Fill in the name, set the order the task will appear and click Create. Page 100 of 196

To set the order of statuses Step 1: Drag and drop to adjust the order of the tabs and click Save Order to set order. To delete a status Step 1: Select the status to delete and either click the Delete icon or the Delete Selected. To set the default task status Step 1: Choose which task you want the default to be from the drop-down menu and click Update. Page 101 of 196

b. Remediation >> Settings >> Task Templates Task templates allows your users to reuse saved task details thus saving them time and making them more efficient in dealing with the remediation records they create. Step 1: Access the Task Templates function. Add Task Template Step 1: Click on Add Task Template. Step 2: Fill in all required fields and click Add Task Template. Page 102 of 196

To edit or delete a Task Template Step 1: Select the template to edit or delete and either click the Edit or Delete icon. Page 103 of 196

c. Remediation >> Settings >> Priorities Priorities (i.e. high, etc.) enables the admin user to add new priorities, delete any current ones and re-arrange the order of the current priorities to be used when a remediation case is opened to highlight those that are critical to address. Step 1: Access the Priorities function. To add a new Priority Step 1: Click on + Add Priority Step 2: Fill in the name, set the order the task will appear and click Create. Page 104 of 196

To set the order of priorities Step 1: Drag and drop to adjust the order of the tabs and click Save Order to set order. To delete a priority Step 1: Select the priority to delete and either click the Delete icon or the Delete Selected. d. Remediation >> Settings >> Types Types of remediation action (i.e. annual certification, training, continuous monitoring, etc.) enables the admin user to add new types, delete any current ones and re-arrange the order of the current Page 105 of 196

types to be used when a remediation case is opened to categories what type of remediation action needs to take place. Step 1: Access the Types function. To add a new Type Step 1: Click on + Add Type Page 106 of 196

Step 2: Fill in the name, set the order the type will appear and click Create. Compliance Desktop Technology Platform To set the order of types Step 1: Drag and drop to adjust the order of the tabs and click Save Order to set order. To delete a type Step 1: Select the type to delete and either click the Delete icon or the Delete Selected. Page 107 of 196

e. Remediation >> Settings >> Emails The email settings function in Remediation enables admin users to control whether the automatic email notifications are sent to users and third-party users. Admin users can also use this function to edit the auto email templates, select a different language and add relevant users in CC and BCC to the email notifications. Step 1: Access the Email Templates function. To activate/de-activate email notifications in Email Templates Step 1: select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. Page 108 of 196

To edit an Email template Step 1: To select the languages required, tick the boxes selected Step 2: Scroll down the page and input your timeframe to send out, sender, Receiver, CC and Bcc fields as required. Page 109 of 196

Step 3: Edit the Subject line and text as required. Step 4: Press the Update button to save your changes. f. Remediation >> Settings >> Reminder Reminder enables admin users to control whether the Overdue Reminder automatic email notification is sent to users and third-party users. Step 1: Access the Reminder function. Step 2: Choose your frequency. Page 110 of 196

Step 3: Click Save. g. Remediation >> Settings >> Regional View Remediation Users can only view his/her own cases, or browse other records if he/she is the owner. Admin users may set up Regional Views to enable someone to oversee other records based on certain criteria. That criteria can be based on the requestor s or owners country or region. To add or edit Regional View Step 1: Access the Regional View function. Step 2: Enter the name of the user, then select the criteria (everything with a red * is required) and click Create. Step 3: To Edit or Delete any existing rules click on either the Edit or Delete icons. Page 111 of 196

5.3 Search Enables an Admin user to search and see all remediation s ever submitted and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Step 3: Click Search. Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. Page 112 of 196

NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a remediation click on the View icon. 5.4 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Page 113 of 196

Admins can further customise reports by clicking on the Reporting tab. From this page you can further filter, sort and group etc. your reports. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 114 of 196

6 Gifts, Travel and Entertainment (GTE) Compliance Desktop Technology Platform Gifts Travel & Entertainment Tool (GTET) is a powerful, web-based solution that manages the tracking of benefits requested from your organization or received from third parties. It allows you to record information, track and automate decision-making on declarations, and ensure that compliance guidelines are followed. Step 1: Once logged in, click on GTE button. 6.1 Settings ComplianceDesktop Remediation Settings function houses several sub-functions within this module. Sub-functions within Settings include: a. General Configuration b. Declaration Questions c. Benefit Category d. Benefit Templates e. Rules f. Business Relations g. Fiscal Periods h. Email Templates i. Regional View j. Event Registry k. External Party While discussing how each sub-function within GTE works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on GTE. Page 115 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. a. GTE >> Settings >> General Configuration The Gifts, Travel and Entertainment Tool (GTE) will come with some pre-set configurations, but there may come a time where the Admin user must make some basic changes to GTE. E.g. allow for declarer to be an option for request information, name of event mandatory field, allow for IntegraWatch screening and who can see the Rules section in all declarations To edit the General Configurations Step 1: Access the General Configuration function. Page 116 of 196

Step 2: Scroll down to find the configuration setting you need to turn on or off. b. GTE >> Settings >> Declaration Questions These questions will be added at the declaration level, so they will be visible no matter what benefit type your users choose. These questions should be very generic in nature, E.g. questions asking if the declarer has read your GTE policy, what is the business justification, etc. To edit or delete an already created declaration question To edit an existing question, click on the Edit icon. Page 117 of 196

To delete an existing question, click on the check box next to the question and click the Delete button. To add a new declaration question Step 1: Access the Declaration Question function. Step 2: Go to Add Question, choose your language, type of question (Text Entry, Radio, Upload, etc.) and enter in the details. Page 118 of 196

Step 3: Click Create. c. GTE >> Settings >> Benefit Category Categories are the fundamental nature of a benefit; GTE can generate reports by grouping the benefits under different categories. E.g. Meals, Travel and Gifts. You can only modify a category that has never been assigned to any Benefit Template. If you want to stop users using a particular category for new declarations; you will need to inactivate it. To edit an already created benefit categories Step 1: To edit an existing category, click on the Edit icon. Step 2: To change a category s name that has never been assigned to any Benefit Template, modify the name and click Update. Step 3: To inactivate a Benefit Category, change the Status to Inactive and click Update. Step 4: To change the category s group, change the Group and click Update. Page 119 of 196

NB. The term used to define the Group is what will be visible to the declarer in all interface languages, so if you adjust the English will need to adjust the other languages. To delete a category that has never been assigned to any Benefit Template, click the Delete icon. To add a new benefit category Step 1: Access the Benefit Category function. Page 120 of 196

Step 2: Click + Create. Step 3: Enter in the name and choose the Group. Step 4: Click Submit. d. GTE >> Settings >> Benefit Template Templates can be seen as forms to guide the declarer to record a benefit. Each declaration can consist of at most six Benefit Templates. E.g. Breakfast can be a template under the Meal category. You should be aware of the workflow and approval process before you create a benefit template. A well-designed template should consist of a list of structured questions to gather enough information to determine if a benefit entry, or claim is valid. It should then be routed to the appropriate approver for endorsement. To edit or delete an already created benefit template To edit an existing template, click on the Edit icon. Page 121 of 196

To delete an existing template that has never been used, click on the Delete icon. To inactive (hide it from use) a benefit template To inactive a template, edit the template, change the Status from Active to Inactive and click Save. To add a new benefit template Step 1: Access the Benefit Templates function. Step 2: Click Add Template Step 3: Type in name of template and click Create. Page 122 of 196

Step 4: You will be guided to the Overview page. Step 5: Fill in all necessary fields (E.g. additional languages of the template, type, category, status, description review process, question structure, etc.) and click Next. Page 123 of 196

NB. Only after you have completed the entire creation process, i.e. create the template, define questions, branching and define approvers you will be able to change the Status of the Benefit Template from New to Active. Creating Questions. ALL questions will be listed in this page. You can edit or delete questions here or add new ones. To add a question Step 1: To create a new question, click +Add Question. Step 2: Fill in the details and click Create to save the question. Continue this process if you have more questions to add. You can also manage your questionnaire translations from here. Page 124 of 196

To edit a question Step 1: Click on the Edit icon next to the question. Page 125 of 196

NB. Only a template that has been not touched by a declaration can be edited and that applies to questions as well. Step 2: Make your changes and click Update. To delete a question Step 1: Click on the Delete icon next to the question and click OK to confirm. The details used to create each question can come from the following: Page 126 of 196

NB. In order to upload multiple answers to a question in one step, click on the Add Answer button. A text box popup appears for entering multiple answers simultaneously. All answers entered can be separated by pressing enter on the keyboard after each entry. This is useful if there are several answer choices, for example a Country question. Sorting. You can rearrange questions within a template to list them in a different order. Step 1: Order the questions by using the mouse to drag and drop the questions. Page 127 of 196

Step 2: Click Next to proceed to the next section when ready. Branching is a technique being used to build decision trees, you will be able to make decisions based on different answers provided by the responder. By structuring questions in a logical way, GTE Tool can determine the next question to be presented to the responder or even determine the approval actions to take. Step 1: To create a branched question go to Add Branching. Step 2: choose your source question (i.e. all your radio, checkbox and drop down), then choose where to redirect the responder based on the answer: 1) Redirect the user to another question 2) End the process without any action taken 3) Auto Reject the claim and the process will end Page 128 of 196

Step 3: Click Create. Continue this process if you have more questions to branch. Step 4: Click Close to complete the creation of the template. To copy an existing questionnaire Admin users can copy an existing template for new setup or backup purpose etc. The copied template name will appear as Original Questionnaire Name Copy. Configuration changes made to Approver settings will also be copied over. Step 1: Click on the Copy icon. Step 2: Edit whatever content you need to and click Close to complete the creation of the template. Approvers. To complete a declaration process, at least one approver is required to review and approve the declaration. You are also recommended to define a Default Approver for each benefit template. Examples of an approver can be the declarer s supervisor, someone from the compliance team, regional management or someone preforming certain roles defined in the declaration process. To assign approvers (or approval conditions) to a template Step 1: Locate the template you want to use and click on the Approver icon. Step 2: Set your Default Approver, select your criteria in the drop-down box and click Update. Page 129 of 196

Step 3: To add a new approver condition, select your criteria (everything with a red * is required, and choose the approver to complete the condition. Page 130 of 196

Step 4: Click Add Statement or Add Approver(s). Continue this process till all conditions are created. Step 5: If you were not able to activate your template previously, go back in and change Status to Active. e. GTE >> Settings >> Rules Approval Rules are a set of guidelines for the system to validate each declaration. Once a rule has been activated, every new entry is required to meet its conditions(s). If a benefit entry cannot fulfil any active rule conditions, the system can reject the benefit claim automatically or flag it for the approval process depending on template Review process chosen. To edit or delete an already created benefit template To edit an existing rule, click on the Edit icon. Page 131 of 196

To delete an existing rule that has never been used, click on the Delete icon. To inactive a rule To inactive a rule, edit the template, change the Status from Active to Inactive and click Update. To add a new rule Step 1: Access the Rules function. Step 2: Enter the details under Add Rule section. A rule is composed of the following: Page 132 of 196

NB. If you want to add a condition while creating a new rule, tick the Apply Conditions checkbox. To add more click keep clicking Apply Condition, but conditions are handled by AND. Step 3: Click Add Rule. Continue this process till all rules are created. f. GTE >> Settings >> Business Relations To highlight the business relationship between a recipient(s) and an organization within each benefit record. GTE tool can also generate reports by grouping benefits under different business relationships (E.g. all benefits given to Government Officials). To edit or delete an already created business relation To edit an existing relation, click on the Edit icon. To delete an existing relation that has never been used, click on the Delete icon. Page 133 of 196

To inactive an existing relation To inactive a rule, edit the relation, change the Status from Active to Inactive and click Update. To add a new business relation Step 1: Access the Business Relations function. Step 2: Click +Create. Step 3: Enter in the name, set the order and click Submit. Page 134 of 196

g. GTE >> Settings >> Fiscal Period Fiscal period is the length of time covered by company financial statements, normally addressed by quarters or years. The admin user can define different fiscal periods according to your company s financial calendar. You are not allowed to edit any current or past fiscal periods. To edit or delete an already created fiscal period To edit an existing fiscal period, click on the Edit icon. To add a new fiscal period Step 1: Access the Fiscal Periods function. Step 2: Define the fiscal details under the Add New section and click Generate to complete. Page 135 of 196

h. GTE >> Settings >> Emails The email settings function in GTE enables admin users to control whether the automatic email notifications are sent to users. Admin users can also use this function to edit the auto email templates, select a different language and add relevant users in CC and BCC to the email notifications. Step 1: Access the Email Templates function. To activate/de-activate email notifications in Email Templates Step 1: select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. Page 136 of 196

To edit an Email template Step 1: To select the languages required, tick the boxes selected Step 2: Scroll down the page and input your sender, Receiver, CC and Bcc fields as required. Step 3: Edit the Subject line and text as required. Select if you would like the declaration attached to the email. Step 4: Press the Update button to save your changes. Page 137 of 196

l. GTE >> Settings >> Regional View GTE Users can only view his/her own declarations, or browse other records if he/she is the approver. Admin users may set up Regional Views to enable someone to oversee other records based on certain criteria. That criteria can be based on the declarer s country, region, department, division or benefit template. To add or edit Regional View Step 1: Access the Regional View function. Step 2: Choose the user, then select the criteria and click Create. Page 138 of 196

Step 3: To Edit or Delete any existing rules click on either the Edit or Delete icons. m. GTE >> Settings >> Event Registry Admin users can create a database to capture the names of events that maybe used in a benefit entry. This allows for better management of what is used as the Name of the Event. To add or edit Event Name Step 1: Access the Event Registry function. Page 139 of 196

Step 2: Click Create. Step 3: Enter in the event name, status and click Create. Step 4: To Edit or Delete any existing rules click on either the Edit or Delete icons. Page 140 of 196

n. GTE >> Settings >> External Party Every benefit record must be associated with an external party who either provides or receives the benefit. Admin users can pre-load a group of external parties into the system. For compliance purposes, every party associated with a benefit record will be stored in the system and cannot be deleted. If an external party will no longer have new associations with your company, you may inactivate the party in the system. Admin users can also create Custom Fields and set what fields are mandatory in the External Party box. To add or edit External Parties Step 1: Access the External Party function. Step 2: Type in the individuals email address in the Add New External Party and click Create. Page 141 of 196

Step 3: Complete the remaining details and click Add New External Party. Compliance Desktop Technology Platform Step 4: To edit any existing external party click on either the Edit icon. You may have to search using the email address to find the party. To add a custom field Step 1: Click New Custom Field. Step 2: Type in the name, choose the type and status and click OK. Page 142 of 196

Step 3: To Edit or Delete any existing rules click on either the Edit or Delete icons. To set mandatory fields Step 1: Check the fields you want set to be mandatory and visible. Step 2: Click Confirm. Page 143 of 196

6.3 Search Compliance Desktop Technology Platform Enables an Admin user to search and see all GTE declarations in ComplianceDesktop and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Step 3: Click Search. Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. Page 144 of 196

NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a GTE declaration click on the View icon. 6.4 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Page 145 of 196

Admins can further customise reports by clicking on the Reporting tab. From this page you can further filter, sort and group etc. your reports. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 146 of 196

7 Certifications Compliance Desktop Technology Platform The Certifications Tool (CERT) allows you to ensure that your staff and partners sign off on their compliance obligations. Furthermore, this tool allows you to create certifying statements and record certifications along with the means to track who certified what and when, and follow up on any issues to management then start the process again. It can be linked up with other modules inside of ComplianceDesktop. Step 1: Once logged in, click on Certifications button. 7.1 Settings ComplianceDesktop Certifications Settings function houses several sub-functions within this module. These include enabling Admin users to configure individual certification templates, certification types and regional view. Sub-functions within Settings include: a. Certifications b. Certification Type c. Regional View While discussing how each sub-function within Certification works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Certifications. Page 147 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. a. Certifications >> Settings >> Certification 7.1.1. Certifications Only admin users have the right to add, edit or delete a certification. Before starting you are encouraged to define the following for each template: 1) Overview Language options. Name and purpose of the certification. Which type of certification will be grouped under. Number of approvers to review the certification after submission. Will there be any related attachment(s). Page 148 of 196

Will there be a completion time frame (Completion Period) and if so what are the frequency of reminders (Reminder Period). Can internal users complete the certification on behalf of third parties. 2) Statement Language options. Certifying statement. Affirmative and Negative answer options. Will the responder be able to provide additional comment or file attachments when they select a negative answer. To edit or delete an already created certification To edit an existing certification, click on the Edit icon. To delete an existing certification, click on the Delete icon. A deleted certification can no longer be assigned out, but if one is currently being worked on the system does allow for that certification to be completed. To add a new certification Step 1: Access the Certification function. Step 2: Enter in certification name and click Create. Page 149 of 196

Step 4: You will be guided to the Overview page. Step 5: If you want remove certification contents in languages other than English uncheck the box next to the language to remove. Or If want to edit the certification content in another language click the name of the language along the left-hand side. NB. If you have not defined a certification in other languages, the English template will be used regardless of user s choice. If you do not want users to see the different language options, click the Delete icon to remove it from the template entirely Step 6: Complete the Content for Certification. Page 150 of 196

Step 7: Complete the remaining information on the Overview page. NB. The options for Certification Type will need to be created before you can select in the drop down. Step 8: Click Next. Step 9: Complete the Certifying Statement and Answers. Page 151 of 196

NB. If you want to provide the content in other languages, click on the corresponding language. Additional fields will be displayed Step 10: Select Yes or No to allowing a response to the negative answer and click Finalize. 7.1.2 Approvers. After you have created a certification, you will need to setup an approver for both the affirmative and the negative answer. Every cortication must have at least one Approver. The approver s role is to review the submitted certification and determine the next step of action. Step 1: Locate the certification you want to use and click on the Approver icon. Page 152 of 196

Step 2: Click Affirmative Answer underneath Rule Type. You can choose the system to Auto Approve certifications with an affirmative answer. Or you can define the approval workflow by specifying criteria with the given options. Step 3: Click Create. Step 4: Click Negative Answer next to Rule Type and define the approval workflow. Page 153 of 196

Step 5: Click Create. Step 6: You will see any existing approver rules (if any). You can delete the existing approval rules with Delete icon [X]. b. Certifications >> Settings >> Certification Type The admin user can categorise or group certifications by creating different certification types. The admin user can also make use of certification types in searching or producing reports for the same type. Step 1: Access Certification Type function. Page 154 of 196

To add new certification type Step 1: Enter in the type of certification. Step 2: Click Create. Page 155 of 196

To edit or delete an already created certification type To edit an existing certification type, click on the Edit icon. To delete an existing certification type, click on the Delete icon. c. Certifications >> Settings >> Regional View Certification Users can only view his/her own certifications, or browse other records if he/she is the owner/approver. Admin users may set up Regional Views to enable someone to oversee other certifications based on certain criteria. That criteria can be based on the declarer s country or region. To add or edit Regional View Step 1: Access the Regional View function. Step 2: Enter the name of the user, then select the criteria (everything with a red * is required) and click Create. Step 3: To Edit or Delete any existing rules click on either the Edit or Delete icons. Page 156 of 196

7.3 Search Enables an Admin user to search and see all certifications in ComplianceDesktop and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Step 3: Click Search. Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. Page 157 of 196

NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a certification click on the View icon. 7.4 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Page 158 of 196

Admins can further customise reports by clicking on the Reporting tab. From this page you can further filter, sort and group etc. your reports. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 159 of 196

8 Conflicts of Interest Compliance Desktop Technology Platform The Conflicts Tool manages the tracking of conflicts of interest within your organization. The tool allows you to ask questions and create a record about conflicts. It also provides a structured procedure for handling issues from approval and tracking, through to resolution. Step 1: Once logged in, click on Conflict of Interest button. 8.1 Settings ComplianceDesktop Conflict of Interest Settings function houses several sub-functions within this module. These include enabling Admin users to configure individual templates, regional view and general configuration. Sub-functions within Settings include: a. Templates b. Regional View c. Random User d. General Configuration While discussing how each sub-function within Conflict of Interest works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Conflict of Interest. Page 160 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. a. Conflict of Interest >> Settings >> Templates 8.1.1 Templates Only administrators have the right to add, edit or delete a disclosure. You are encouraged to define the following before you add a new disclosure to the system. 1) Overview If the disclosure is to be provided in another language option. Latest submission date (Completion Period). Latest date for an approver to review the disclosure after submission (Review Period). Period for reminder notification email to be sent (Reminder Period.) Page 161 of 196

If the disclosure is to be declared one-off or on an on-going basis (and the Recurrent Period). Number of person(s) to review the disclosure after submission. If it is mandatory to have the disclosure be reviewed by someone before a disclosure will be approved automatically (Auto-Approval). 2) Questions Layout of the disclosure how many tabs (or pages), numbering, sequence... or the questions. Whether all questions will be visible from the start or by sequence according to the answers provided. Which questions are mandatory. Templates can be configured for different geographical regions which have different laws around what data can be provided. Template content from the respective department, division of that declaration type. If an upload question will need a tag of the file type being uploaded (e.g. Business Registration Document) 3) Branching Determines the question flow of the entire questionnaire. Allows for questions to pop-up only if a previously selected answer is chosen. 4) Approver(s) and workflow Who will be the approver(s) How the questionnaire will behave when an approver approves or declines the response. 5) Default Answer You may choose to set a default answer for date, radio-button, checkbox and dropdown questions. 6) Email notification options (Email Templates) Under what circumstances will a notification be sent. To edit or delete an already created disclosure To edit an existing disclosure, click on the Edit icon. To delete an existing disclosure, click on the Delete icon. A deleted questionnaire can no longer be assigned out, but if one is currently being worked on the system does allow for that questionnaire to be completed. To add a new disclosure template Step 1: Access the Templates function. Page 162 of 196

Step 2: Click +Add Disclosure. Step 3: Type in name of disclosure and click Create. Step 4: You will be guided to the Overview page. Page 163 of 196

Step 5: Fill in the Basic Information in the Overview page and click Next. Type. Which disclosure type you want for this disclosure (Standard or Specific). Standard means that the disclosure must be assigned by an administrator and can be assigned to anyone, while Specific means that the disclosure can be self-assigned and can be assigned to a particular group, region, country, division or department. Step 6: Select your type, if Specific select your parameters and click Next. Page 164 of 196

Creating Questions. ALL questions (even those that belong to different tabs) will be listed in this page. You can edit or delete questions here or add new ones. To add a question Step 1: To create a new question, choose the type of question. Page 165 of 196

Step 2: Fill in the details and click Create to save the question. Continue this process if you have more questions to add. You can also manage your questionnaire translations from here. NB. In order to upload multiple answers to a question in one step, click on the Add Answer button. A text box popup appears for entering multiple answers simultaneously. All answers entered can be separated by pressing enter on the keyboard after each entry. This is useful if there are several answer choices, for example a Country question. Page 166 of 196

To edit a question Step 1: Click on the Edit icon next to the question. Step 2: Make your changes and click Update. To delete a question Step 1: Click on the Delete icon next to the question and click OK to confirm. Branching is a technique being used to build decision trees, you will be able to make decisions based on different answers provided by the responder. By structuring questions in a logical way, Conflicts of Interest Tool can determine the next question to be presented to the responder. Page 167 of 196

Step 1: To create a branched question click on + Add Branching, choose your source question (i.e. all your radio, checkbox and drop down), then choose where to redirect the responder based on the answer and click Create. Continue this process if you have more questions to branch. Step 2: Click Next to proceed to the next section when ready. Sorting allows you to rearrange questions within a disclosure template to list them in different order or move a question to a different tab. Step 1: You can click on the Collapse/Expand to show all the question text vs. just the question numbers. Step 2. Order the questions by using the mouse to drag and drop the questions. Step 3: If you want to move a question to another tab, drag and drop it into that tab area and then set the order. Step 4: Click Next to proceed to the next section when ready. Page 168 of 196

The Approver Workflow is to control how the disclosure will behave when an approver approves or declines the submitted disclosure. The number of levels appearing here depends on the Number of Approvers being set in the Overview page. Step 1: Enter the description for each level of approver (i.e. Business, Compliance, Finance, Legal, etc.). Step 2: You can select if the disclosure should be passed to the level 2 approver once it has been approved by changing the Approve (Next Level) to level 2. Step 3: When the level 1 approver declines the disclosure, you can choose if the approval workflow stops right there or still be forwarded to the next level approver using the Decline (Next Level). Step 4: If you want to explicitly set a dedicated user to be an approver, you can check the Custom Approver List check box and add a user as the approver. Click the Plus icon to add more approvers. Step 5: Click Create to save your changes. Step 6: Click Finalise to complete the creation of the disclosure. To copy an existing questionnaire Admin users can copy an existing disclosure for new setup or backup purpose etc. The copied disclosure name will appear as Original Disclosure Name Copy. Configuration changes made to Email Templates and Approver settings will also be copied over. Step 1: Click on the Copy icon. Step 2: Edit whatever content you need to and click Finalise Questionnaire Template to complete the creation of the questionnaire. Page 169 of 196

8.1.2 Approvers. Compliance Desktop Technology Platform After you have created a disclosure, you will need to setup an approver. Every disclosure must have at least the Default Approver. The approver s role is to review the submitted disclosure and determine the next step of action. You can setup rules based on the following criteria: 1) Declarer Name (1 st priority) 2) Declarer Country (2 nd priority) 3) Declarer Region (3 rd priority) For example, if two approver rules have been setup as below: If Declarer Name is User 1, then Approver is User 2 If Declarer Country is Australia, then Approver is User 3 (1 st priority) (2 nd priority) In a scenario where User 1 submits a disclosure that the Declarer Country is Australia, then the Approver will be User 2, as Declarer Name has a higher priority than Declarer Country. Additional rules can be setup using Declarer s Department and Division, or Assigner s Name, Department, Division, Country and Region. Step 1: Locate the disclosure you want to use and click on the Approver icon. Step 2: Set your Default Approver, select your criteria in the drop-down box and click Update. Step 3: To add a new approver condition, select your criteria (everything with a red * is required, and choose the approver to complete the condition. Page 170 of 196

Step 4: Click Create. Continue this process till all conditions are created. 8.1.3 Emails. The Admin user can define when the platform will send out email notification messages to declarers and approvers. The Admin user can also modify the text of the email notification. To activate/de-activate email notifications Step 1: Locate the questionnaire you want to use and click on the Edit icon. Step 2: Select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. To edit an Email template Step 1: To select the languages required, tick the boxes selected Page 171 of 196

Step 2: Scroll down the page and input your sender, CC and Bcc fields as required. Step 3: Edit the Subject line and text as required. Step 4: Click Update. b. Conflict of Interest >> Settings >> Regional View Conflict of Interest Super Users can only view his/her own disclosure, or browse other records if he/she is the approver. Admin users may set up Regional Views to enable someone to oversee other records based on certain criteria. That criteria can be based on the requestor s or subject s country, region, department, division or questionnaire template. Page 172 of 196

To add or edit Regional View Step 1: Access the Regional View function. Step 2: Fill in the name of the user, then select the criteria and click Create. Step 3: To Edit or Delete any existing rules click on either the Edit or Delete icons. c. Conflict of Interest >> Settings >> Random User There may be scenarios where the admin user has to assign a disclosure template to one or more users where their user information is not available for user account creation (for example, you don t know their email address). Under such situations, the admin user can create random user accounts, the system will send you the passwords to facilitate access for the users. Users can enter their user information such as their name, organization information etc. once they have access to the system. Page 173 of 196

Step 1: Access the Random User function. Step 2: Select the disclosure you want to assign, User Category and specify the number of user accounts to be generated. Step 4: Click Create. Step 5: You will receive an email with an attachment containing the login ID and password for the user accounts. Provide the login information to the users so that they can change their personal information in the system. Page 174 of 196

d. Conflict of Interest >> Settings >> General Configuration The Conflict of Interest Tool will come with some pre-set configurations, but there may come a time where the Admin user must make some basic changes to the Conflict of Interest Tool. E.g. Change Respondent s Details in the header of a questionnaire, etc. To edit the General Configurations Step 1: Access the General Configuration function. Step 2: Scroll down to find the configuration setting you need to turn on or off. Page 175 of 196

NB. If you plan on using Enable File Types for Upload Questions you must first enable it (i.e. turn it On). From there you will be able to add the labels of the types of files that may be selected when someone uploads a file. 8.2 Analysis. Conflict of Interest Analysis is a report to show the distribution of the disclosure answers. It also shows the average time taken for each of the disclosure stages. The report only includes submitted responses. Step 1: Access the Analysis function. Step 2: Select a disclosure name from the pull-down menu. You can also use additional fields to filter the information. Page 176 of 196

Step 3: Click View. Step 4: Click on the links to see the detailed disclosure submissions. Step 5: Click Export to PDF or Export to Excel to extract the table to the relevant format. To exit out click the X in the upper right-hand corner. 8.3 Search Enables an Admin user to search and see all disclosure ever submitted and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Page 177 of 196

Step 3: Click Search. Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a disclosure click on the View icon. Page 178 of 196

8.4 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Admins can further customise reports by clicking on the Reporting tab. From this page you can further filter, sort and group etc. your reports. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 179 of 196

9 Third Party Compliance Desktop Technology Platform Third Parties allows you to see across the whole spectrum of all your third parties and how they interact with your compliance programme. It also helps to identify risk areas and red flags amongst your company s global partners. If you have subscribed to other tools such as Questionnaires, Due Diligence, Conflicts, Certifications and Gifts Travel & Entertainment Tool, you can directly see the related records by clicking the respective tabs. Third Parties can: Provide an overview of all partners and statuses. Allow you to quickly assign tasks to the partners. Identify risk areas and red flags by seeing partner compliance globally. Enhance tracking process and easy to identify missing pieces in partner management level.. Provide map and reporting features to display data details of partners. Step 1: Once logged in, click on Third Party button. 9.1 Settings ComplianceDesktop Third Party Settings function houses several sub-functions within this module. Sub-functions within Settings include: i. General Setting j. Third Party Status k. Email Templates l. Organization Details m. Tab Management While discussing how each sub-function within Third Party works, the format will be as follows: Settings>> Function>> Sub-Function>3 rd Level Sub-Function To access Settings functions, please follow the below steps: Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click on Third Party. Page 180 of 196

Step 2: Then highlight and click on Settings. Step 3: Select which sub-function area you want to configure or edit from the left-hand side menu. Page 181 of 196

e. Third Party >> Settings >> General Configuration >> General Setting Compliance Desktop Technology Platform The Admin user can define when the platform will require certain fields in the partner s profile are required and need to be set to mandatory. To activate/de-activate field settings Step 1: Access the General Setting function. Step 2: Select which field setting you wish to activate/deactivate and press the slide button on or off as required. f. Third Party >> General Configuration >> Setting >> Third Party Status The Admin user can modify any of the default third party status to better suit the nomenclature used internally or new ones can be created. Also, the Admin can setup a default status that is used when a Third Party reaches their renewal or termination date. The option to delete a status is also possible, but the Pending status cannot be removed. For those that have the Gifts, Travel and Entertainment (GTE) tool you will also be able to set the default status for all Third Party organizations created in GTE. To add a new third-party status Step 1: Access the Third Party Status function. Page 182 of 196

Step 2: Click the +Create button. Step 3: Type in the name of the status, a description and click Create. To edit a third-party status Step 1: Click on the Edit icon to display the status name, description and status. Step 2: Make your changes and click Update. To delete a third-party status Step 1: Tick the corresponding check box and click Delete. Page 183 of 196

NB. Once a status has been used, you will not be able to delete that status. To automatically update third-party status Step 1: Select the status you want to use from the drop-down menu g. Third Party >> General Configuration >> Setting >> Email Templates The email settings function in Third Parties enables admin users to control whether the single contract renewal automatic email notification is sent to users and third-party users. Admin users can also use this function to edit the auto email templates, select a different language and add relevant users in CC and BCC to the email notifications. Step 1: Access the Email Templates function. Page 184 of 196

To activate/de-activate email notifications in Email Templates Step 1: select which auto email notification you wish to activate/deactivate and press the slide button on or off as required. If your changes have been saved you will see a notification pop up as shown in the diagram below. To edit an Email template Step 1: To select the languages required, tick the boxes selected Step 2: Scroll down the page and input your timeframe to send out, sender, Receiver, CC and Bcc fields as required. Page 185 of 196

Step 3: Edit the Subject line and text as required. Step 4: Press the Update button to save your changes. Page 186 of 196

h. Third Party >> General Configuration >> Setting >> Organization Details The organization details function in Third Parties enables admin users to select which fields will be displayed on the Key Partner Information page. Step 1: Access the Organization Details function. Step 2: Select All or individual check which boxes you want to be visible or not and click Update. Page 187 of 196

i. Third Party >> General Configuration >> Setting >> Tab Management Compliance Desktop Technology Platform The tab management function in Third Parties enables admin user to control the tabs that appear under the tool for each level of user access. Step 1: Access the Tab Management function. Step 2: Drag and drop to adjust the order of the tabs and click Confirm to set order. Step 3: Define the access right for Third Parties tool roles by unchecking the checkboxes, by default, Administrator/Super User/User can view all tabs. Click Confirm to set. Page 188 of 196

To create a new tab Step 1: Access the Tab Management function. Step 2: Click Create. Step 3: Enter in tab name and click Add. To edit a current tab s active/inactive status Step 1: Access the Tab Management function. Page 189 of 196

Step 2: Choose your tab and click the Edit icon. Step 3: Choose the correct status and click Update. To delete a tab Step 1: Access the Tab Management function. Page 190 of 196

Step 2: Click the Delete icon next to the tab you want to delete and click OK. Compliance Desktop Technology Platform 9.2 Location of Third Parties (Distribution Map) By default, any Third Parties tool admin user and super user can access the distributor map from Third Parties. The map is a graphical representation which allows further drilling down into the different countries for information on the external organizations. When the user clicks inside the world map it will display counts for all external organizations within ComplianceDesktop. The legend located at the bottom right of the page with the different colour patterns indicates the different number of organizations in the countries by percentage. Step 1: Access the Location of Third Parties function. Step 2: Click on Filter to search on fields that you would find in the Search Third Parties. Step 3: Select your search filters and click Search. Page 191 of 196

Step 4: By double-clicking into a country containing external organizations information on the map, a table with organization information based on the search criteria with be displayed. For example, if clicked inside China, the organizations from China will be displayed into a table with the format being the same as the Third Parties tool s search result table. Similarly, the results can be exported into PDF or CSV format. 9.3 Search Enables an Admin user to search and see all third parties (external organizations) in ComplianceDesktop and their current status. Step 1: On the left-hand side of your ComplianceDesktop screen, please highlight and click Search. Page 192 of 196

Step 2: Please enter your search criteria in any of the search fields as shown in the example highlighted below (or you may just leave all search criteria blank): Step 3: Click Search. Step 4: You can sort the results by clicking on the field names located at the menu bar, or click on = include additional columns of information to display. Page 193 of 196

NB. Be sure to click Save Column if you want to keep what you just configured. Step 5: To view a third party click on the View icon. 9.4 Dashboard and Reporting ComplianceDesktop reporting functionality offer s admins the opportunity to create and view dashboard reports based date range, time last update and region and country. Page 194 of 196

Admins can further customise reports by clicking on the Reporting tab. You can report on custom fields and pull in data fields from the Questionnaire and Due Diligence modules, so you have a single view to see all activities for each third party. From this page you can further filter, sort and group etc. your reports. ComplianceDesktop report functionality also enables admin users to save the report profile for future reference, create a PDF or download it as a CSV or excel document to save for their own personal records. Page 195 of 196