Due Diligence Questionnaire for
Potential Private Sector Partners
20 March 2012
Introduction
This questionnaire is part of the due diligence process that United Nations (“UN”)
entities undertake in considering companies and other private sector organizations for
potential partnerships. It is important to answer the questions as candidly as possible
and to the best of the company’s or organization’s ability. Answers will be taken into
account in deciding whether or not a partnership between the UN and the relevant
company or organization will commence, but will neither necessarily preclude nor
ensure a partnership between the UN and such company or organization, as the case
may be. However, failure to disclose material information, or discovery that information
disclosed herein is false or misleading, can lead to the unilateral termination by the UN
or applicable UN agency, fund, or programme of any resulting partnership. For ease of
reference, the relevant company or other private sector organization applying for a
partnership with the UN will be referred to as “the Applicant” throughout this
questionnaire.
This questionnaire covers five main sections:
1.
2.
3.
4.
5.
General Information;
Reasons for Partnership;
Financial Information;
Sustainability/Ethical Information; and
Other Disclosures.
Information disclosed in this questionnaire will be kept confidential by the UN and the
UN will use commercially reasonable efforts to ensure that such information will not be
disclosed to the public or other persons.
IMPORTANT: A partnership with the UN is not related to UN procurement activities. A
partnership with the UN does not grant the Applicant any special rights or preferred
status in connection with contract awards following competitive procurement
processes.
Page 2 of 14
1.
General Information
Please provide the following general information.
1.1
Full legal name of the Applicant:
1.2
Contact information for the Applicant’s headquarters.
1.3

Address:

Telephone:

Fax:

Email:

Website:
Contact information for the Applicant’s primary place of business or operations
(if different from the Applicant’s headquarters).

Address:

Telephone:

Fax:

Email:
1.4
Countries or regions in which the Applicant is registered, owns property, or is
qualified to conduct business (attach full list including type of business in each
place, if available):
1.5
Entity/Entities with which the Applicant must register and corresponding
registration numbers (e.g., company registration number):
1.6
Type of entity/legal status of the Applicant in place of registration (e.g., limited
liability company, proprietary company, limited liability partnership):
1.7
Exchange or exchanges, if any, on which the Applicant is publicly traded:
Page 3 of 14
1.8
Information on the Applicant’s parent company or companies, if any:
1.9
Chart detailing the relationships between the Applicant and its subsidiaries or
affiliates, if any. In addition, to the extent applicable, include a list of all entities
in which the Applicant owns more than a 10% equity interest:
1.10
Industry sector:
1.11
List of industrial and trade associations of which the Applicant is a member:
1.12
List of other associations of which the Applicant is a member (e.g. NGOs):
1.13
Main products/services offered (list only most important):
1.14
Classification of entity by annual revenue/turnover (i.e., the amount of money
received by the Applicant from its business activities). Please check the
appropriate box below.

Micro Enterprise (up to USD 2.5 million)

Small Enterprise (USD 2.5 million - 13 million)

Medium-sized Enterprise (USD 13 million - 65 million)

Large Enterprise (USD 65 million and over)
1.15
Year of the Applicant’s establishment:
1.16
Number of employees (including employees of subsidiaries, if known):
1.18
List of Directors (or equivalent members of Applicant’s highest governing body):
Page 4 of 14
1.17
List of senior executives (the Applicant’s most senior staff below Board of
Director level, including heads of departments and business units; attach
organizational chart, if available):
1.19
Indicate proportion of:
1.20

female Directors:

female senior executives:
Is the Applicant currently a vendor with the UN or has it been awarded any UN
contract in the past five years? Please check the appropriate box.
Yes
No
1.21
To the extent available, please attach certified copies of the Applicant’s
organizational documents, as currently in effect.
2.
Reasons for Partnership
Please explain why the Applicant wants to partner with the UN, including the
objectives of the potential partnership and what benefits the Applicant hopes to
gain from a partnership with the UN.
3.
Financial Information
For items 3.1 and 3.2 below, please provide all figures in U.S. dollars.
3.1
Gross revenue/turnover for the most recently completed fiscal year (i.e., the
amount of money received by the Applicant from its business activities).
USD $
3.2
Net income for the most recently completed fiscal year (i.e., gross
revenue/turnover minus expenses).
USD $
Page 5 of 14
3.3
Has the Applicant experienced any financial difficulties over the past three
years?
Yes
No
If yes, please explain the financial difficulties, whether such financial difficulties
have been remedied and what measures were, or are being, taken by
management to address such difficulties:
4.
Sustainability/Ethical Information
4.1
Is the Applicant a participant in the UN Global Compact?
Yes
No
If yes, please answer Questions 4.1.1, 4.1.2, and 4.1.3. If no, please continue to
Question 4.2.
4.1.1 Is the Applicant actively communicating its progress to the UN Global Compact?
Yes
No
What level of reporter is the Applicant?
--select from dropdown options--
Please provide a link to the latest COP (communication on progress) report, if
available:
4.1.2 Briefly describe the Applicant’s level of engagement with the UN Global
Compact. Does it participate in any major Global Compact initiatives or
platforms, including, for example, the Caring for Climate initiative
(http://www.unglobalcompact.org/Issues/Environment/Climate_Change/) or the
CEO Water Mandate (http://www.unglobalcompact.org/Issues/Environment/
CEO_Water_Mandate/))?
Page 6 of 14
Is the Applicant a signatory to the CEO Statement of Support for the Women‘s
Empowerment Principles?
(http://unglobalcompact.org/docs/issues_doc/human_rights/Resources/WEP_E
MB_Booklet.pdf)
Yes
No
4.1.3 Is the Applicant engaged in any UN Global Compact Local Network(s)?
Yes
No
If yes, please list which one(s):
4.2
Does the Applicant have a sustainability policy, ethics policy, and/or code of
conduct?
Yes
No
If yes, please answer Question 4.2.1 below and please attach copies of such
policies and/or codes, or provide the links to such policies and/or codes located
on the Applicant’s website:
4.2.1 Please indicate whether the Applicant’s sustainability policy, ethics policy,
and/or code of conduct address the following, by checking the appropriate
box(es):

Human rights

Non discrimination (including a gender equality policy)

Forced Labour

Child Labour

Employee health & safety

Freedom of association/collective bargaining

Environment

Anti-Corruption & Bribery

Tax Evasion
Page 7 of 14
4.3
Does the Applicant have a grievance mechanism for hearing, processing, and
settling grievances for internal stakeholders (e.g. employees) and/or external
stakeholders (e.g. local communities)?
Yes
No
If yes, please attach a copy of such policy or provide the link to such policy
located on the Applicant’s website:
4.4
Does the Applicant produce a sustainability or CSR report ?
Yes
No
If yes, please provide a copy of such report or a link to the most recent report
located on the Applicant’s website:
4.5
4.6
Please indicate at what level(s) corporate responsibility performance is reviewed
and evaluated by checking the appropriate box(es):

CEO or equivalent

Board of Directors (or equivalent highest governing body of Applicant)

Corporate Responsibility or Ethics officer

Senior management

Middle management

Subsidiaries

Other (specify)
Does the Applicant have any sustainability-related and/or labour-related
certifications? (e.g., SA8000 (http://www.sa-intl.org/_data/n_0001/resources/
live/2008StdEnglishFinal.pdf))?
Yes
No
If yes, please describe:
Page 8 of 14
4.7
Is the Applicant listed on any sustainability or environmental, social and
governance (ESG) indices? (e.g., FTSE4Good see: http://www.ftse4good.com/)
Yes
No
If yes, please describe:
4.8
Do the Applicant’s marketing and advertising practices abide by standards of
ethical conduct (e.g., as set forth in the ICC International Code on Advertising
Practices or the WHO Code on Marketing of Breast Milk Substitutes
(http://www.who.int/nutrition/publications/code_english.pdf)?
Yes
No
4.9
Comments:
If relevant, does the Applicant adhere to the Principles for Responsible
Investment (PRI) (www.unpri.org)?
Yes
No
Comments:
4.10
Does the Applicant abide by, adhere to, participate in, support, or has the
Applicant implemented or committed to, any other voluntary sustainability or
ethical-related principles or guidelines? (e.g. Voluntary Principles on Security and
Human Rights (http://www.voluntaryprinciples.org/principles/introduction) or
Equator Principles (http://equator-principles.com/index.php/about-ep/the-eps))
Yes
No
If yes, please describe:
4.11
List any major social investment or philanthropic initiatives the Applicant is
currently involved in or has been involved in over the past three years, including
the nature of such involvement (including human rights initiatives, trade/labour
issues, environmental causes, anti-corruption initiatives, etc.). If these are
described on the Applicant’s website, provide the link.
Page 9 of 14
4.12
Describe any other relevant corporate sustainability activities the Applicant has
been involved in over the past three years, as well as the nature of such
involvement (e.g., other examples of community involvement, major internal
initiatives not already described above, awards received for corporate
responsibility initiatives or performance, etc.). If these are described on the
Applicant’s website, provide the link.
4.13
Does the Applicant have a corporate foundation?
Yes
No
If yes, provide the name of the foundation and describe its main activities:
4.14
Has the Applicant been involved in any past partnerships or initiatives with the
UN or its agencies, funds and programmes in the past ten years?
Yes
No
If yes, please describe the nature of the project and name the initiative:
4.15
Has the Applicant had any major partnerships or collaboration with other
international, multilateral or civil society organizations in the past five years?
Yes
No
If yes, please briefly describe such partnerships:
4.16
In addition to the items listed in response to question 4.14 above, has the
Applicant approached any UN entity with an enquiry about or offer of
partnership within the past five years?
Yes
No
If so, please indicate when and which UN entity was approached by the
Applicant even if no partnership or other collaboration resulted therefrom:
Page 10 of 14
Other disclosures
5.
Please review the Guidelines on Cooperation between the United Nations and
the Business Sector (http://business.un.org/en/documents/guidelines) and, in
particular Section III thereof in regards to “Choosing a Partner.”
5.1
Is the Applicant (including any parent, subsidiary or affiliate thereof) or any
company or individual associated with the Applicant included on the UN Security
Council Committee’s “Al-Qaida Sanctions List” pursuant to resolution 1267
(http://www.un.org/sc/committees/1267/aq_sanctions_list.shtml)?
Yes
No
5.2
Is the Applicant (including any parent, subsidiary or affiliate thereof) or any
company or individual associated with the Applicant included on the IIC Oil for
Food List (http://www.iic-offp.org/documents/IIC%20Tables%2010-21-2004.pdf)?
Yes
No
5.3
Is the Applicant (including any parent, subsidiary or affiliate thereof) or any
company or individual associated with the Applicant currently, or within the past
five years has it been, under investigation or sanction by UN Headquarters, its
Field Missions or any other UN organizations (including the World Bank) or any
government of a UN Member State?
Yes
No
5.4
Does the Applicant have any pending bankruptcy, judgment or legal action that
could impair its ability to continue operating as a going concern?
Yes
No
5.5
At any time, has the Applicant or, to the Applicant’s actual knowledge, any of its
subsidiaries, affiliates or major suppliers been involved in:

Human rights abuses

Exposure to use of forced labour or compulsory labour

Use of child labour
Page 11 of 14

Sexual abuse, exploitation, discrimination or harassment

Sale or manufacture of anti-personnel landmines or cluster bombs
If you checked any of the above boxes, please provide information for all
applicable items and indicate whether such involvement has been resolved and
how.
5.6
At any time, has the Applicant or, to the Applicant’s actual knowledge, any of its
subsidiaries (or companies in which the Applicant holds any interest), affiliates or
major suppliers been involved in any of the following activities:

Manufacture, sale or distribution of any armaments, weapons, other military
equipment or related products, or non-dual use components for armaments ,
weapons, other military equipment or related products

Manufacture, sale or distribution of replica arms marketed to children

Marketing of breast milk substitutes contrary to the WHO Guidelines on
Marketing Breast Milk Substitutes (or the manufacture of breast milk substitutes
the marketing of which is contrary to the WHO Guidelines)

Manufacture, sale or distribution of tobacco or tobacco products

Programmes, initiatives, research or projects directly or indirectly endorsed,
funded or promoted by the tobacco industry or a subsidiary of a tobacco
company

Gambling (other than lotteries with charitable objectives)

Manufacture, sale or distribution of alcohol

Manufacture, sale or distribution of pornography

Exploration for or extraction of natural resources

Environmental
degradation
(including
pesticides/herbicides
subject
to
international bans or phase-outs, asbestos, ozone-depleting substances or other
activities that do not comply with local and/or international environmental
standards)
Page 12 of 14

Financing or promotion of terrorism or entities that are classified as terrorist or
paramilitary organizations
If you checked any of the above boxes, please describe the past and present
level of involvement in each item listed above.
5.7
List and describe each allegation or finding of bribery within the past five years
relating to the Applicant, its affiliates, or its respective officers, directors,
employees or agents and, if applicable, how the Applicant addressed such
allegation and/or finding.
5.8
At any time in the last ten years, has the Applicant or any of its subsidiaries,
parent companies or affiliates violated any United Nations sanction (see
http://www.un.org/sc/committees/)?
Yes
No
If yes, please describe:
5.9
List and describe each pending or threatened litigation, claim, arbitration
proceeding or investigation on an ethical issue relating to the Applicant, its
affiliates or its respective officers, directors, employees or agents, including
(a) litigation involving alleged violations of laws or regulations relating to abuse
of human rights, corruption, discrimination, the protection of the environment
or the health or safety of employees or others; and (b) governmental or
administrative proceedings.
5.11
During the last three years, has the Applicant been the subject of any major
campaign or criticism by a civil society organization, local community,
government or other entity?
Yes
No
Page 13 of 14
If yes, please explain, including measures taken by the Applicant to address such
campaign or criticism. Please also indicate if the Applicant has knowledge of any
major campaign or criticism that may be impending.
5.12
Are there any other conditions that might disrupt a partnership if one were to
result?
Yes
No
If yes, please describe:
5.13
Disclose any other information not otherwise requested above that, in the
Applicant’s judgment, could be material to a partnership with the UN or that the
Applicant believes should be considered and reviewed in commencing a
partnership with a prospective partner.
~End of Questionnaire~
Page 14 of 14