Ordering an investigation

Adding a case in modernized Third Party Management

The order case Assigned to a third party profile related to a questionnaire sent for response, due diligence investigation, or other action. creation process is designed as a structured, step-by-step workflow A series of tasks generated based on an event or form submission. within a dedicated page. Each section guides you through entering required information systematically, while allowing flexibility to save progress and complete the case later.

• Use Next to navigate through each step of the workflow

• Save your progress at any time and return later to complete the case by selecting Save as draft and close

To add a case,

1. In the Create new case folder page, you must associate a third party to add a case. Select Change.

   This opens the Add/Select Third Party side panel, allowing you to update details without having to exit the view.

2. Search for an existing third party or create a new one, then select Save to create a third party record.

3. Enter the case folder identification details and provide case demographic details.

4. Select Next.

5. In the Key company information page, select the Relationship type and Legal form A form is a questionnaire to gather information. of the company from the dropdown menu

6. Define the Case type (Prospective or Current).

7. You can add or update principals directly within this workflow by selecting Manage principals. This opens a side panel where you can add or edit principal details, then select Update.

8. Select Next.

9. In the Information questionnaire page, enter the point of contact details and specify whether the contact is aware of the investigation.

10. Upload questionnaires as attachments and select the checkbox to indicate whether the case includes attachments. Select Manage attachments to upload or delete one or more files from the side panel.

11. Select Next to proceed with the case submission.

12. In the Investigation order page, review the detailed summary of the case before submission, including the cost estimation and expected turnaround time.

13. To complete the process, select the authorization checkbox and then select Submit to Investigator.

To add a Case for an existing record:

1. To create a case for an existing third-party record, navigate to the Third Party Management module from the navigation panel and select the required third party record.

2. Open the Due Diligence tab and select Review 3P Monitor. In the Third party monitor view, click Order Due Diligence to initiate or escalate further checks by creating a case.

3. This action opens the Create case folder page with the selected third party already linked and pre-populated. Review and update the details across all sections using Next, and then submit the case.

Adding a case in classic Third-Party Management

Follow your organizations recommended process to order a due diligence case for further investigation. The scope of due diligence is populated based on the risk rating The risk assessment history which changes over time based on the risk model assigned and other factors. Details include how the relationship is categorized, the services provided, the country risk, due diligence questionnaire responses, and custom fields. of the 3P Profile or, if enabled, the 3P Engagement A 3P Profile may have one or more 3P Engagements so different business units in your organization can apply differnt risk and compliance program configurations for the 3P Profile. Cases are assigned to 3P Engagements..

1. From Record Detail tab from the 3P Profile or 3P Engagement, select the Due Diligence tab.

2. Select the Add Case button on the upper right of the window. If you see a broken link symbol in the list, select the symbol to link the case to the third-party.

3. Enter or verify the Type The type of third party, for example, Channel Partner, Vendor, Supplier, or DO NOT ENGAGE. of Case. If you change the type of case, enter why in the Brief Note text box.

4. Complete the information then select Create Case | Enter Company Details.

5. Continue to select Continue | Enter Details, until the entries are complete. You can attach documents to the case for review by the investigator.

6. Review the INVESTIGATION ORDER and select the checkbox to attest that you reviewed the order.

7. select Submit to Investigator. A Case Number for the investigation is created.

You will get an email notification when the investigation is complete. The next action is to review the investigation report. See Reviewing an investigation report.

For more details about due diligence cases, see Working with case management.