BOS Process Global Workplace Solutionselearnresources.cbre.com/TrainingandDevelopment/GWS/GWS...Refer to GWS DoA Matrix BOS 1400.500A.GWS • Conflict of Interest •Tax or VAT ID

©Copyright CBRE 2016 Page 1 of 18

BOS Process

Global Workplace Solutions Printed copies are uncontrolled

Title: Vendor and Third Party Administration Number: 13-29.207.GWS.GLB

Author: Global Director Sourcing Governance Effective Date: 1 May 2016

Owner: Global Director Sourcing Governance Revision: 3

1.0 PURPOSE

This process describes the requirements for approving/adding and changing a Supplier or Third Party

in a GWS Enterprise Resource Planning (ERP) system.

2.0 SCOPE

APAC EMEA Americas

Compliance

expected as

written

Can be tailored to

local needs Specific Applicability / Variance / Exceptions

GWS X X X X

3.0 INPUTS

•Requester’s need to procure from a Supplier.

4.0 MEASUREMENTS

• Compliant Vendor Master Records in Enterprise Resource Planning (ERP) system for personnel to

procure from.

5.0 OUTPUTS

• Approved Vendor Master Records in an ERP system.

6.0 RESPONSIBILITES

6.1. Approver – Provides the appropriate approvals, ensures the Supplier is capable of meeting GWS

expectations, and accountable that ethical Suppliers are being approved.

6.2. Business Requester – Completes the Supplier Add/Change Form, ensures Due Diligence

and Delegation of Authority requirements are met, and responsible that the documentation is stored

for approving/adding Suppliers.

6.1.1 The Business Requester is responsible that all Suppliers be made aware of the CBRE

Global Terms and Conditions (or regional legally approved alternative), the CBRE Standard

of Business Conduct and applicable Supplier Manuals. Documented evidence is not

required for the Supplier Add Process.

6.1.2 The Business Requester must provide to the Supplier the External Indirect Supplier

Standards Manual Standard (BOS 13-29.400.GWS.GLB).

BOS Process Vendor and Third Party Administration Process BOS 13-29.102.GWS.GLB


6.3. Business Requester’s Supervisor - Ensures the Supplier is capable of meeting CBRE

expectations (example - Due Diligence), reviews the previous approvals (example - Delegation

of Authority), accountable that ethical Suppliers are being approved, completed the conflict of

interest questions on the regional Supplier Add Change Form and approves Supplier.

6.4. Legal Compliance Director – Provides the appropriate approvals or guidance on any compliance

concern or issues for certain situations outlined in this process.

6.5. Vendor Master Administrator – Responsible for data entry to GWS Enterprise Resource Planning

(ERP) system for vendor master files/records.

7.0 SUPPLIER ADD PROCESS

Supplier Add

7.1 CAN AN ALTERNATIVE ACTIVE/APPROVED SUPPLIER BE USED?

The Business Requester will investigate if an alternative approved/qualified Supplier could be used.

Regions or business units may have Preferred Suppliers that should be utilized to support GWS

goals.

A. Yes, an alternative Supplier can be used. The Supplier Add Process

is not required. Process ends.



B. No, a new Supplier needs to be added to an ERP system. Proceed to

Step 7.2.

7.2 DOES THE SUPPLIER HAVE A DO NOT USE / DO NOT PAY (DNU/DNP) STATUS?

The Business Requester is responsible to confirm that the Supplier is not on the DNU/DNP register located on the GWS Sourcing Portal. https://my.jci.com/sites/GWS/Sourcing/Pages/Supplier-Management.aspx

Yes, the status is DNU/DNP, the Supplier should not be used. Refer to the Do Not Use / Do Not Pay (DNU/DNP) Guidelines (BOS 13-29.807.GWS.GLB).

No, the new Supplier is not on the DNU/DNP list. Move to the next step.

7.3 IS THE SUPPLIER TYPE A HIGH RISK VENDOR (HRV)?

The Business Requester determines if the Supplier Type is a HRV Supplier Type. The Supplier Types are listed in Table 2. Supplier type definitions can be found at the end of the document.

Yes, the Business Requester has identified the Supplier as a HRV Supplier Type. Refer to the High Risk Supplier Accreditation Guidelines (13-29.806.GWS.GLB) Upon completion of

process, the business requester will be notified by Legal Compliance if request is approved or rejected.

No, the Business Requester has identified the Supplier Type to not be a HRV Supplier

7.4 FOLLOW THE STANDARD DUE DILIGENCE REQUIREMENTS TABLE

The Business Requester identifies the Supplier Type (SECTION 9.3) and follows the Standard

Due Diligence Table in SECTION 8.0 for investigating and evaluating the Supplier. Supplier Types

are listed in Table 3. Supplier Type definitions can be found in SECTION 13.0.

7.5 ARE ALL THE STANDARD DUE DILIGENCE (DD) REQUIREMENTS MET?

The Business Requester is responsible for collecting all Standard Due Diligence documentation

except for High Risk Vendor Supplier types. An Approver may request additional due diligence

documentation to ensure Supplier capacity and/or ethical behaviour.

A. Yes, The Business Requester acquires all Standard Due Diligence. Proceed

to Step 7.8.

B. No, The Business Requester does not acquire all the Standard Due

Diligence documentation. Supplier cannot be added. Process ends.

7.6 OBTAIN APPROVALS AS PER THE DELEGATION OF AUTHORITY (DOA)

The Business Requester must review the Delegation of Authority Matrix for any required approvals

refer to the GWS DoA Matrix (BOS 14-00-500A.GWS) for approval requirements

7.7 COMPLETE THE SUPPLIER ADD/CHANGE FORM

7.7.1 The Business Requester completes the Supplier Add Change Form. Refer to SECTION

9.0 for minimum content required.

https://my.jci.com/sites/GWS/Sourcing/Pages/Supplier-Management.aspx



7.7.2 The Business Requester sends all documentation to the Business Requester’s Supervisor

for review and approval for non-High Risk Vendor Supplier Types.

7.7.3 The Business Requester’s Supervisor reviews the documentation and works with the

Business Requester to approve the regional Supplier Add Change Form for non-High

Risk Vendor Supplier Types. The Business Requester’s Supervisor may request

additional documentation to ensure Supplier capability and/or ethical behavior. A

Business Requester’s Supervisor can reject the request to add a Supplier (process ends).

7.7.4 The Business Requester submits the Supplier Add Change Form to the appropriate ERP

Vendor Master Administrator (VMA).

7.8 SUPPLIER IS ADDED TO THE ENTERPRISE RESOURCE PLANNING (ERP) SYSTEM

7.8.1 Vendor Master Administrator (VMA) works with the Business Requester to ensure all

mandatory Enterprise Resource Planning (ERP) information is provided. Missing or

incomplete data/documentation will be returned to the requester. Refer to SECTION 9.0

for minimum content required.

7.8.2 VMA adds Supplier to ERP system.

7.8.3 VMA advises the Business Requester of the ERP system Supplier number.

7.9 STORE ALL DOCUMENTATION

7.9.1 Business Requester is responsible to ensure that all Due Diligence, Delegation of

Authority and regional Suppler Add Change Form is stored per the Supplier Records

Storage Work Instruction or locally per the regional process/work instruction. For

High Risk Vendor document storage, refer to Storing High Risk Vendor Purchasing

Due Diligence Files Work Instruction

In some regions, the VMA may assist with storing the documentation.



8.0 STANDARD DUE DILIGENCE REQUIREMENTS TABLE

Table 1

Supplier Type Annual Spend Approves

Evaluation Required Evaluation Re-Evaluation

Custom Broker / Freight Forwarder

> USD $0 Refer to GWS DoA Matrix BOS 1400.500A.GWS.

Refer to: • High Risk Vendor Due Diligence

Global custom broker and freight forwarder

suppliers due diligence will be conducted

globally and include all the controlled

subsidiaries that are included in the scope

of the global bid/contract. Global Regions

are not required to perform due diligence

for their controlled subsidiaries.

Refer to High Risk

Accreditation

Guidelines BOS 13-29.806.GWS.GLB

Government Facing Business Consultant

> USD $0 Refer to GWS DoA Matrix BOS 1400.500A.GWS

Refer to: • High Risk Vendor Due Diligence

Refer to High Risk

Accreditation

Guidelines BOS 13-29.806.GWS.GLB

Business Consultant / Professional Fees

< USD $1M Refer to GWS DoA Matrix BOS 1400.500A.GWS

• Conflict of Interest • Tax or VAT ID or equivalent identifier for

tax purposes • Verification of Name and Address

N/A

USD $1M -

USD $5M Refer to GWS DoA Matrix BOS 1400.500A.GWS


tax purposes • Verification of Name and Address • Indirect Supplier Assessment

N/A

> USD $5M Refer to GWS DoA Matrix BOS 1400.500A.GWS


tax purposes • Verification of Name and Address • Indirect Supplier Assessment • Financial Assessment

N/A

Direct < USD $1M Refer to GWS DoA Matrix BOS 1400.500A.GWS



N/A





tax purposes • Verification of Name and Address • Direct Supplier Assessment • Financial Assessment

N/A

Subcontractor / Service

Indirect

Freight

< USD $1M Refer to GWS DoA Matrix BOS 1400.500A.GWS



N/A

USD $1M - USD $15M

Refer to GWS

DoA Matrix BOS 1400.500A.GWS


tax purposes • Verification of Name and Address • Indirect Supplier Assessment

N/A



tax purposes • Verification of Name and Address • Indirect Supplier Assessment • Financial Assessment

N/A

Charity

Sponsorship




N/A

Landlord Financial / Leasing / Insurance


• Tax or VAT ID or equivalent identifier for tax purposes

• Verification of Name and Address

N/A

NOTE: The following Supplier Types in Table 2 are not required to follow the Standard Due

Diligence Table above. There are no mandatory Standard Due Diligence requirements for these

Supplier types. The Delegation of Authority Matrix (DOA) approvals must be followed and a completed

Supplier Add Change Form is required. Reference 8.0.c.

Table 2

Customer Inter-Company

Employee Union/Court Ordered

Government Agency/Municipality Utility



NOTE: On a case by case basis, requirements for Supplier Standard Due Diligence may be modified,

when authorized by Regional Sourcing Leads. High Risk Vendor Supplier Types Due Diligence

requirements cannot be modified. Reference 8.0.d.

9.0 MINIMUM CONTENT REQUIRED ON A REGIONAL SUPPLIER ADD CHANGE FORM TO BE COMPLETED

BY THE BUSINESS REQUESTER FOR SUPPLIER ADD PROCESS

Business Requester must complete:

9.1 CONFLICT OF INTEREST SECTION: These questions must be answered and signed by both the

Business Requester and the Business Requester’s Supervisor.

9.1.1 The questions on the regional Supplier Add Change Form must match the following:

9.1.1.1 Is the Supplier owned by or managed by a friend or relative of yours or are you aware

of this relationship with anyone at your branch or within your department?

9.1.1.2 Are you aware of any CBRE employee with a financial stake (ownership or

investment) in this company, or have knowledge of any other conflict of interest?

9.1.1.3 Do you understand that providing false information regarding this Supplier or your

relationship to this Supplier may result in disciplinary action from CBRE?

9.2 SUPPLIER NAME AND ADDRESS

9.3 SUPPLIER TYPE

Table 3

Agent/Sales Consultant Government Facing Business Consultant

Business Consultant/Professional Fees Indirect

Charity Inter-Company

Customer Landlord

Customs Broker/Freight Forwarder Ship Owner Commission

Direct Sub-contractor/Service

Employee Sponsorship

Financial/Leasing/Insurance Union/Court Ordered

Freight Utility

Government Agency/Municipality

NOTE: A Supplier may match more than one Supplier Type. When this occurs, the Supplier Type

that has the highest risk level will be chosen, refer to SECTION 10.0 for risk hierarchy. (Supplier

Type Definitions can be found in SECTION 13.0.) Reference 9.3.a.

9.4 SUPPLIER TAX IDENTIFICATION (OR EQUIVALENT)



9.5 SUPPLIER BANKING INFORMATION AND CURRENCY

9.6 DESCRIBE ITEM OR SERVICE PROVIDED BY THE SUPPLIER

9.6.1 Business Requester to provide a brief description of item/service provided.

9.6.1.1 Some ERP systems (such as SAP, Oracle, and I Scala) store a commodity code at

the vendor master record data level. If the requester knows the commodity code, please

provide on the Supplier Add Change Form.

9.7 Health & Safety Requirement - The Business Requester must complete the health and safety

questionnaire, in conjunction with the Supplier. If there are any queries or issues with the

information provided by the Supplier this should immediately be forwarded to a member of the

Environmental Health and Safety (EHS) team. The supplier must not be set up until approval

has been received from the EHS team.

9.8 Some Enterprise Resource Planning (ERP) systems default to the standard GWS payment terms.

All regions require payment terms to be mandatory information on the Supplier Add Change Form.

NOTE: A Due Diligence Checklist is available to assist the Business Requester (optional) if the Due

Diligence Documentation Checklist is utilized, the form must be in English for central oversight

purposes. The Checklist may additionally be in the local language. (English and local language versions)

All Due Diligence must be performed per Table 1 in SECTION 9.0.

NOTE: GWS Vendor master records are audited; the compliance fields monitored are Supplier Name, Supplier Number, Contact Details, Tax Reference, Payment Terms, Supplier Type, Supplier Status and Bank details.

10.0 SUPPLIER TYPE RISK HIERARCHY

A Supplier may fall into more than one Supplier type. Suppliers should be coded with the highest risk

Supplier Type for all Global Workplace Solutions (GWS). Table 4 is the risk hierarchy of Supplier Types

(listed highest risk 10.1 to lowest risk 10.8):

Table 4



10.1

High Risk Vendors (HRV) Including:

Customs Broker/Freight Forwarder

Government Facing Business Consultant

Agent/Sales Consultant

10.2

Business Consultant/Professional Fees

Financial/Leasing/Insurance

Ship Owner Commission

10.3 Direct

10.4 Landlord

10.5

Sub-contractor/Service

Indirect

Freight

10.6 Charity

Sponsorship

10.7

Customer

Government Agency/Municipality

Utility

Union/Court Ordered

10.8 Employee

Inter-Company

11.0 SUPPLIER CHANGE PROCESS

Supplier Record Change Process

Figure 2



11.1 DOES THE SUPPLIER HAVE A DO NOT USE / DO NOT PAY (DNU/DNP) STATUS? The

Business Requester verifies the Enterprise Resource Planning (ERP) vendor master record

Supplier Status.

A. Yes, the ERP vendor master record has a Supplier Status of DNU/DNP.

Proceed to Step 11.2.

B. No, the ERP vendor master record does not have a Supplier Status of

DNU/DNP. Proceed to Step 11.3.

11.2 FOLLOW THE DO NOT USE / DO NOT PAY (DNU/DNP) PROCESS

A Supplier can only be reinstated by the Legal Compliance Department from DNU/DNP to

Active/Approved Supplier Status without a complete Due Diligence re-evaluation if the Supplier

has previously approved Due Diligence documentation conducted within the past twelve (12)

months. Requester must complete a Supplier Add Change Form and receive approval by a

Legal Compliance Director.

The Business Requester must follow the Do Not Use / Do Not Pay (DNU/DNP) Guidelines

(BOS 13-29.807.GWS.GLB) When complete proceed to Step 11.8.

11.3 IS SUPPLIER TYPE A HIGH RISK VENDOR (HRV)?

The Business Requester determines if the ERP vendor master record’s Supplier Type is a HRV

Supplier Type.



A. Yes, the ERP Supplier vendor master record is a HRV Supplier Type.

Follow the High Risk Supplier Accreditation Guidelines (13-

29.806.GWS.GLB)

B. No, the ERP Supplier vendor master record is not a HRV Supplier Type.


11.4 IS SUPPLIER ACTIVE?

The Business Requester verifies the Enterprise Resource Planning (ERP) vendor master

record has a Supplier Status of Active/Approved.

A. Yes, the ERP Supplier vendor master record is Active/Approved. Proceed

to Step 11.6.

B. No, the ERP Supplier vendor master record is not Active/Approved. To

reactivate a Supplier, the Business Requester must manage the Supplier

as a new Supplier request. Proceed to Step 11.5.

11.5 FOLLOW THE SUPPLIER ADD PROCESS

The Business Requester must manage this Supplier as if they are adding a new Supplier.

Refer to the Supplier Add Process, proceed to SECTION 7.0.

11.6 IDENTIFY TYPE OF CHANGE

11.6.1 A regional Supplier Add Change Form is required for all changes. Refer to SECTION

12.0 for the minimum content required.

11.6.2 For any High Risk Vendor Supplier Type changes proceed to SECTION 11.8.

11.6.3 Supplier’s Payment Terms change to an existing Supplier’s ERP vendor master

record (for non-High Risk Vendor Supplier Types). Refer to Supplier Payment

Terms Policy (13-29-103.GWS.GLB).

When the terms requested are less favorable than the standard CBRE terms use the Request to Change Supplier Payment Terms Form (13-29-607.GWS.GLB) and obtain relevant approvals. 11.6.4 Supplier’s bank changes for non HRV Supplier Types to an existing Supplier’s ERP

vendor master record (for non-High Risk Vendor Supplier Types).

11.6.5. All regions require regional Supplier Add Change Form with Business

Requester’s Supervisor and Sourcing approval.

11.6.6 All regions require Supplier letterhead (or equivalent) documentation.



11.7.6 Supplier’s payment remit to address changes to an existing Supplier’s ERP vendor

master record (for non-High Risk Vendor Supplier types) requires documentation on

the Supplier letterhead (or equivalent) or the regional Supplier Add Change Form

with Business Requester’s Supervisor approval. Both methods not required.

11.7.7 Supplier’s legal name changes to an existing Supplier’s ERP vendor master record (for

non-High Risk Vendor Supplier Types) require documentation on the Supplier

letterhead (or equivalent). Tax identification (or equivalent) and remit to address must

match. No Business Requester’s Supervisor approvals are required. All suppliers must

provide legal confirmation documentation

11.7.8 Supplier Tax Identification (or equivalent) to an existing Supplier’s ERP vendor master

record (for non-High Risk Vendor Supplier Types) require documentation on Supplier

letterhead (or equivalent). No Business Requester’s Supervisor approvals are

needed.

11.7.8.1 North America region (excluding Canada) requires a W9 form from the

Supplier for tax identification number.

11.7.8.2 EMEA and LATAM regions will manage this request as a Supplier Add

Process refer to SECTION 8.0.

11.7.9 Add Supplier’s location (ship from address, site code) to an existing ERP vendor

master record, a regional Supplier Add Change Form required. Supplier tax

identification (or equivalent) must match. No Business Requester’s Supervisor

approvals are required. If the Supplier location does not match existing vendor master

record, manage the request as a Supplier Add SECTION 8.0.

11.7.10 All other changes do not require approval (except ASIA region requires sourcing

approval). Business Requester submission of a regional Supplier Add Change Form

is preferred for clarification.

11.7.11 Payment to a Supplier with a Supplier Status of Retired/Inactive.

11.7.11.1 If payment is due to a non-High Risk Vendor Supplier Type with a

Supplier Status of Inactive/Retired, each region can work with the

Finance teams to obtain payment and ensure the ERP vendor master

record status is Inactive/Retired status when the payment is completed.

11.7.11.2 If payment is due to a High Risk Supplier Type. Reference the High Risk Supplier Accreditation Guidelines (13-29.806.GWS.GLB).

11.8 DETERMINE IF APPROVALS ARE NEEDED

11.8.1 All High Risk Vendor Supplier Type changes require approvals, refer to SECTION

11.3.



11.8.2 For Supplier Type changes, The Business Requester must review the Standard Due

Diligence requirement for additional investigation and evaluations that are required.

11.8.3 The Business Requester must review the Delegation of Authority Matrix refer to GWS

DoA Matrix (14-00-500A.GWS) for approval requirements

11.8.3.1 ASIA region requires a Sourcing member approval for all changes.

11.8.4 The Business Requester needs to review SECTION 11.7 for additional requirements.

11.8.5 Approvers may require additional documentation to ensure ethical behavior.

11.9 ARE APPROVALS PROVIDED, IF NEEDED

A. Yes, all approvals are provided or no approvals are required. Proceed to

SECTION 11.10.

B. No, all approvals are not provided. Supplier record cannot be changes. Process

ends.

11.10 SUBMIT DOCUMENTATION TO THE VENDOR MASTER ADMINISTRATOR (VMA)

11.10.1 The Business Requester submits all documentation to the appropriate ERP VMA.


11.11 SUPPLIER ENTERPRISE RESOURCE PLANNING (EPR) VENDOR MASTER RECORD IS

UPDATED

11.11.1 The VMA works with the Business Requester to ensure all approvals and mandatory

ERP information is provided. The Business requester should refer to SECTION 12.0

for minimum content required on regional Supplier Add Change Form for Supplier ERP

vendor master record changes to be completed.

11.11.2 The Vendor Master Administrator updates the appropriate ERP system. Proceed to

Step

11.12.

11.12 NOTIFY REQUESTER OF COMPLETION

11.12.1 The VMA notifies the Business requester that the ERP vendor master record has been

updated. Proceed to Step 11.13.

11.13 STORE DOCUMENTATION

11.13.1 The Vendor Master Administrator (or Business Requester) will store all the

documentation in WebTop/Documentum system or locally per the regional work

instruction.



12.0 MINIMUM CONTENT REQUIRED ON A REGIONAL SUPPLIER ADD CHANGE FORM TO BE

COMPLETED BY THE BUSINESS REQUESTER FOR SUPPLIER ERP VENDOR MASTER RECORD

CHANGES

Business Requester must provide the following:

12.1 Enterprise Resource Planning (ERP) system in which the Supplier exists. Some regions

will only have one ERP system, refer to regional Supplier Add Change Form and work

instructions for clarification.

12.2 Supplier name.

12.3 Supplier number.

12.4 Specific information which is being added or changed within the ERP system.

12.5 Business Requester and all required Approvers names, global id and e-mail addresses

must be provided.

12.6 Payment Terms

NOTE: ASIA region requires the Tax Identification number (or equivalent). Reference 12.0.a.

13.0 DEFINITIONS

13.1 Active Approved - Supplier Status assigned to a Supplier which is active or approved for use,

within CBRE Enterprise Resource Planning (ERP) systems.

13.2 Agent/Sales Consultant – Supplier Type assigned to a Supplier representing CBRE products or services to customers regarding sales/marketing. (Includes Sales Facilitators and Distribution Facilitators.)

13.3 Approver – Persons responsible, depending on Supplier Type, for ensuring that the Due

Diligence evaluation, Delegation of Authority and/or Supplier Add Change Form is complete

and approved/unapproved as defined in this process.

13.4 Business Consultant/Professional Fees – Supplier Type assigned to a Supplier that

performs consulting and/or professional services such as, legal, accounting, real estate or

architectural design services, etc. Supplier does not interact with government authorities.

Usually selling, general and administration (SG&A) spend.

NOTE 13.4.a: The CBRE Legal Department has the responsibility to conduct Due Diligence

evaluation of law firms.

13.5 Charity – Supplier Type assigned to a non-profit organization receiving donations or

nonreimbursable fees.

13.6 Commodity Code - The classification of products and services that describe in sufficient detail

“WHAT” is being purchased. Global Purchasing and Supply Chain Management (GPSCM)

needs commodity codes to effectively source, track, and manage spend by category. The

Commodity Code set is a hierarchical classification with five levels. Each level has its own

unique letter and number, creating a unique 9-digit alpha numeric code.

13.7 Conflict of Interest – Due Diligence and Supplier Add Change Form criteria which require the

Requester and Approver to verify that they have no financial or beneficial interest in the

Supplier.



13.8 Controlled Subsidiary – Child business of a Supplier where the Supplier has the majority

ownership of the child.

13.9 Customer – Supplier Type assigned to a purchaser of CBRE goods or services where no other

Supplier type is applicable. If the core Supplier business is to sell goods or services to CBRE,

do not use this Supplier Type. For EMEA region, purchase orders are required and will have a

record within the vendor master file to receive a payment from CBRE (accounts payable).

13.10 Customs Broker/Freight Forwarder – Supplier Type assigned to Supplier performing

customs related services for CBRE or responsible for moving CBRE freight internationally.

13.12 Delegation Of Authority (DOA) Approval – The minimum level of CBRE functional

personnel approvals required to move forward with a transaction.

13.13 Direct – Supplier Type assigned to a Supplier that provides goods included on the bill of

material for repetitive production at CBRE manufacturing facilities.

13.14 Direct Supplier Assessment Survey – Due Diligence criteria which require the Supplier to

complete a survey that examines a variety of performance categories. At CBRE discretion, an

on-site assessment may be required.

13.15 Do Not Use/Do Not Pay (DNU/DNP) – Supplier Status assigned to a Supplier which exists

within a CBRE Enterprise Resource Planning (ERP) system and is believed to engage in

corruption or other unethical or illegal behavior that is in violation of the CBRE Standard of

Business Conduct or relevant anti-bribery, anti-corruption, or other laws or pertinent

regulations.

13.16 Due Diligence – A formal process of investigating and evaluating a proposed new Supplier.

13.17 Employee – Supplier Type assigned to a CBRE employee.

13.18 Filebound Data – A file created and approved by the Accounts Payable department for

Supplier’s payment remit to address.

13.19 Enterprise Resource Planning (ERP) System – A business system that serves as a

database containing the vendor master files. Typically used for many functions, such as: storing

vendor master records, issuing purchase orders to Active/Approved vendor master records, or

issuing payments for invoices against approved purchase orders. Examples of such business

systems include Oracle, SAP, MAPICS, or Iscala.

13.20 Financial Assessment – Due Diligence criteria which requires an evaluation of the Supplier’s

general economic health. The Financial Disclosure

Confidentiality Agreement must be completed by the Supplier prior to gathering the

information if the information is not publicly available. Financial reports from third party

databases such as Dun and Bradstreet may also be used to determine a Supplier’s financial

stability.

13.21 Financial/Leasing/Insurance – Supplier Type assigned to a business, company and/or a

financial institution that lease or rent items such as machinery, factory, and office equipment,

etc., or provides financial and insurance related products and services to CBRE.

13.22 Freight – Supplier Type assigned to a Supplier which moves material within national

boundaries on behalf of CBRE. Modes include rail, truck, air and ship. These are also known as

a common carrier.

13.23 Goods – Materials, either as raw materials or finished components or products.

13.24 Government Agency/Municipality – Supplier Type assigned to a government Supplier,

government agent or municipality; typically a taxing or licensing authority. In some regions,

governments may assign this role to third parties as their agent.

13.25 Government Facing Business Consultant – Supplier Type assigned to a Supplier that

interacts with government authorities for CBRE to perform a variety of consulting or

professional services such as obtaining permits/licenses, tax consulting, lobbying, legal,



accounting, real estate or architectural design services. These Suppliers are considered a High

Risk Vendor Supplier Type.

NOTE 13.25.a: The Legal Department has the responsibility to conduct Due Diligence

evaluation of law firms and lobbyists. Exceptions maybe documented in (LBOS). NOTE

13.25.b: In North America region, these will include Public Sector Consultants or Government

Relations Consultants that may represent (a) CBRE’S business in legislative, regulatory or

administrative action or rule making relevant to its commercial interests; or (b) provide advice,

consultation and representation with respect to sales and marketing efforts in public sector

vertical markets, also known as a Lobbyist.

13.26 High Risk Vendor – Supplier category that requires legal Due Diligence evaluation prior to

being added in a CBRE Enterprise Resource Planning (ERP) system.

These High Risk Vendor Supplier types include Custom Brokers / Freight Forwarders,

Government Facing Business Consultants, and Agents/Sales Consultants

13.27 High Risk Vendor Due Diligence Evaluation – Due Diligence investigation used to

determine whether the Supplier uses only ethical business practices.

13.28 Inactive/Retired – Supplier Status assigned to a Supplier which exists within CBRE

Enterprise Resource Planning (ERP) systems, has no open purchase orders or invoices for a

period of at least eighteen months, or has otherwise been identified for non-use in regional

Enterprise Resource Planning (ERP) system.

13.29 Indirect – Supplier Type assigned to a Supplier which provides services and non-bill of

material items (selling, general and administration/SG&A) in the support of requirements

defined by field offices or factories. Use Indirect Supplier Type for Suppliers that provide

products and services such as office supplies, hotels, travel agencies, dues/membership,

education, entertainment, meetings, and equipment/tools/parts for job sites.

13.30 Indirect Supplier Assessment Survey – Due Diligence criteria which requires the Supplier

to complete a survey that examines a variety of performance categories. At CBRE discretion,

an onsite assessment may be required.

13.31 Inter-company – Supplier Type assigned to a CBRE Supplier selling to another CBRE

Supplier, where CBRE retains operating control – 50% or greater ownership and consolidated

sales – of both entities.

13.32 Landlord – Supplier Type assigned to a person, business, or organization renting or leasing

property such as land, buildings, etc.

13.33 Legal Professional Service Firm – A Supplier required by CBREs Legal Department to

perform legal services; usually assigned a Supplier type of Business Consultant/Professional

Fees.

13.34 Majority Ownership – Supplier relationship where a parent company holds a greater than

50% ownership with the child company.

13.35 Preferred Supplier – A Supplier that offers greater value to CBRE. The spend is usually for

goods and services of commonly CBRE used items or categories of product. The Supplier is

included on a Preferred Supplier list.

13.36 Requester – Person responsible for initiating and completing Due Diligence, Delegation of

Authority and/or Supplier Add Change Form actions to any CBRE Enterprise Resource

Planning (ERP) system. This can be a member of any department of Global Workplace

Solutions (GWS).

13.37 Sensitive Suppliers – Business partners identified by CBRE Finance which require additional

review prior to receiving payments from CBRE.

13.38 Services – Activities with a high labor content generally performed by licensed trades or firms

that specialize in repair, installation, or maintenance functions.



13.39 Ship Owner Commission – Supplier Type assigned to a Supplier that facilitates a

commission payment to a person or company that owns a ship/ocean vessel.

13.40 Sponsorship – Supplier Type assigned to an individual or agency receiving donations,

pledges, educational grants, or contributions for both charitable and non-charitable business

purposes.

13.41 Subcontractor/Service – Supplier Type assigned to a Supplier that performs a specific task

in support of requirements defined by Global Workplace Solutions field offices or factories.

Usually job chargeable (cost of goods sold) including a building trade, i.e. plumbing, electrical,

construction. This may also include professions such as Architects or Engineers for

clients/customers.

13.42 Supplier or Vendor – Either the word “Supplier” or “Vendor” may be used to describe any

Supplier from which CBRE purchases goods or services.

13.43 Supplier Evaluation – The Due Diligence minimum set of measurements, standards, and

surveys to be used depending on Supplier type.

13.44 Supplier Made Aware of the CBRE Standards of Business Conduct– CBRE’s Standards

of Business Conduct, which includes compliance to anti-bribery laws. The CBRE Standards of

Business Conduct can be located at www.cbre.com/codeofconduct. This URL must be

referenced on every purchase order issued in GWS.

13.45 Supplier Made Aware of Terms and Conditions – CBRE Global Terms and Conditions of

Purchase as applicable to the service or product provided. CBRE Terms and Conditions exist

in a variety of country/language variants located at www.cbre.com/suppliertermsandconditions

This URL must be referenced on every purchase order issued in GWS.

13.46 Supplier Risk – Defines a Supplier’s potential for improper or illegal behavior. The highest

risk Suppliers require the most extensive Due Diligence evaluations and the lower risk

Suppliers require the least.

13.47 Tax or VAT ID – Due Diligence criteria which requires the Supplier’s valid tax identification

number, government registration number, business number, or equivalent. This is part of the

Supplier Add/Change Form.

13.48 Third Party – A Supplier which is not a direct party to goods, contract or agreement, but may

transact (i.e., receive purchase order, submit invoice, etc.) with CBRE. Examples of Third Party

Supplier types can be Agent/Sales Consultants, Ship Owner Commission, Customer, Charity,

Sponsorship and Employee.

13.49 Union/Court Ordered – Supplier Type assigned to a Supplier for payments that are required as a result of Court ordered judgment, law suit settlement, or union/collective bargaining fees or dues.

13.50 Utility – Supplier Type assigned to a Supplier that provides services such as energy, water,

sewage treatment, or telecommunications, etc.

13.51 Vendor Master Administrator (VMA) – Person performing data entry into local CBRE

Enterprise Resource Planning (ERP) system. This person should be a member of the

Purchasing Department if separation of duty requirements can be met.

13.52 Verification of Name and Address – Due Diligence criteria which requires the Supplier’s

name and address to be verified through a third party database such as Dun and Bradstreet,

website, telephone directory, etc. Screen shots, formal reports or other evidence from these

sources are acceptable.

13.53 Vendor Master Record – Specific Supplier data record in an Enterprise Resource Planning

(ERP) system.

13.54 WebTop/Documentum – An application supported by the CBRE Information Technology

team used to store various documents electronically.

http://www.cbre.com/codeofconducthttp://www.cbre.com/suppliertermsandconditions



14.0 SUMMARY OF CHANGES

Rebranding

Removal of North America EFT requirement

Rebranding to CBRE

15.0 REFERENCES

15.1 Purchasing Policy BOS 13-29.105.GWS.GLB

15.2 High Risk Supplier Accreditation Guidelines BOS 13-29.806.GWS.GLB

15.3 Do Not Use/Do Not Pay Guidelines BOS 13-29.807.GWS.GLB

15.4 Supplier Payment Change Requests Policy

BOS 13-29-103.GWS.GLB

15.5 Request to Change Supplier Payment Terms

Form

BOS 13-29-607.GWS.GLB

15.6 Supplier Payment Terms Policy BOS 13-29.103.GWS.GLB

15.7 CBRE Standards of Business Conduct www.cbre.com/codeofconduct

15.8 Global Terms and Conditions of Purchase www.cbre.com/suppliertermsandconditions

15.9 Indirect Supplier Assessment Survey BOS 13-29-609.GWS.GLB

15.10 External Indirect Supplier Standards Manual BOS 13-29.400.GWS.GLB
http://www.cbre.com/codeofconducthttp://www.cbre.com/suppliertermsandconditions

Documents

BOS Process Global Workplace Solutionselearnresources.cbre.com/TrainingandDevelopment/GWS/GWS...Refer to GWS DoA Matrix BOS 1400.500A.GWS • Conflict of Interest •Tax or VAT ID