Due Diligence Information &

FAQ for SAP Partners

SAP Office of Ethics & Compliance and SAP Partner Ecosystem Success, SAP
Tara Mead,2023
September, SAP
April 28, 2022

INTERNAL – SAP and Partners Only

Your company must have a “Compliance Contact” to manage the due diligence process
with the SAP team.
This role is the ‘default’ contact of your Due Diligence Notification Group.
 Due Diligence Overview

• The SAP PartnerEdge program and associated partner types are designed to provide solution enablement, go to market
training and access to SAP software and platforms to help you drive innovation with your customers. The framework makes it
easy to engage with SAP, providing a unique foundation to recognize your company for your total business contribution; within
one or more engagement models.

• The SAP PartnerEdge program brand also needs to offer comfort to our joint customers and prospects of the quality and
integrity of our partners.

• SAP’s partner ecosystem is key to our mutual success. However, ecosystems may also pose a compliance risk, if not
governed properly. Therefore, SAP must take prudent actions to ensure compliant business practices across our ecosystem.

• To that end, the SAP Executive Board has directed all partners must have requisite due diligence checks, renewed at regular
intervals.

• SAP use ProcessUnity (PU) due diligence system offering partners transparency and extended timeframes between renewals.

• It is a partner’s responsibility to ensure they have a compliance contact maintained in SAP systems. The compliance contact
is the default user in the Due Diligence Notification Group. This information can be updated by the users in your organisation
that have ‘User and Communication Administration’ role.

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Due Diligence System

• SAP use ProcessUnity (PU), a leading provider of due diligence systems to enhance partner due diligence
experience and at the same time uphold our commitment to compliance.

• SAP have four levels of due diligence assessments, Level 1 to Level 4 depending on your partner type(s) and
country risk.

• With specific levels we adapted due diligence requirements, including the Partner Ethics & Compliance
Questionnaire (PECQ) to be more appropriate to your partner type(s). In addition, the expanded levels allow us
to extend the time between renewals from two years to three or five years depending on your partner type and
location.

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 Due Diligence Partner Information

• All net new partners to SAP in the SAP PartnerEdge program (Sell, Service, Run and Build), OEM, Education,
GSSP, GTP and Language Service partners will carry out a due diligence assessment at recruitment and every three
or five years thereafter depending on the prescribed due diligence level.

• All existing partners will have their due diligence renewed in the ProcessUnity system. Renewal terms will then be
three or five years depending on your partner type(s) and location.

• Due diligence is performed at partner entity level (same Partner ID) at the highest level based on your partner
type(s), you do not need separate due diligence records for each partner type. If a new partner type requires a higher
level of due diligence, SAP will work with you to achieve the higher level of due diligence.

• Due diligence is a mandatory requirement of partnership with SAP. Without a valid due diligence, your company will
not be able to transact with SAP, publish or be visible on the SAP Store or SAP Partner Finder.

• Important Action: The compliance contact is the default user in the Due Diligence Notification Group. This
information can be updated by the users in your organisation that have ‘User and Communication Administration’
role. If this role is not maintained, your due diligence assessment will be delayed and your partnership will
be suspended if your existing due diligence assessment expires before your next due diligence is approved.

INTERNAL – SAP and Partners Only 4

 Compliance Contact Information

• You MUST ensure your company has a valid compliance contact

(default user of Due Diligence Management Notification Group) and
that person is the correct contact in your company for the SAP Partner
Validation Team to send your due diligence assessment.

• Due diligence renewal assessments are automatically triggered in

SAP systems and your new assessment will not be able to start
without a compliance contact in place.

• Please have the contact in your company that manages your user
authorization to include the correct contact as the ‘default’ Due
Diligence Management user.

• The compliance role will be the partner representative that SAP will
liaise with for required documentation.

• Anyone in the Due Diligence notification group will receive an email

before your due diligence renewal is about to start to check we have
the correct information. If the information is not correct, please update
as soon as possible.

• If you need to change the compliance contact, please do this at before

your next due diligence assessment starts. You can do this by
updating the default contact of your Due Diligence Management
Group.

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Process Unity Due Diligence Levels Matrix
DD Requirements by Partner Type

Risk Factors Due Diligence Process/Requirements

ProcessUnity Due
Diligence Level Partner Type Country/Territory Risk* Renewal Period Partner Ethics & Compliance Questionnaire Type

PartnerEdge Service
Level 1 GSSP N/A 5 years Level 1 PECQ
Language Service Partners
PartnerEdge Sell
Level 2 PartnerEdge Run Low 5 years Level 2 PECQ
PartnerEdge Build
PartnerEdge Run (PMC)
Education Partners
Level 3 Global Technology Partners High 3 years Level 3 PECQ
OEM (ADS)

Level 4 OEM N/A 3 years Level 4 PECQ

* Allocation between Level 2 and Level 3 is determined by country of partner location/territory. Partners will be reviewed at the highest due diligence level based on their partner types for
a specific Partner ID. Any subsequent new partner type requests for partner types at the same or lower level do not require further due diligence assessments.
Key Information Collected in the PECQ
• Verification of partner organization, legitimacy of partner business, history of allegations, investigations, or prosecutions by law enforcements related to bribery and corruption
legislation
• Identification of affiliates/subsidiaries (potential red flags with any affiliated parties), Government ownership of the company or its affiliates
• Key Partner personnel in senior leadership roles (CEO etc), principal owners of Partner’s business
• Potential conflicts of interest

INTERNAL – SAP and Partners Only 6

 Due Diligence Process Stages

DD Requested and Partner Information Supplementary DD Review Additional Partner Decision (Approved,
DD Initiated Requested Information Information On Hold, Rejected)
Requested

• Initial steps of your • Your compliance • SAP carries out • SAP compliance • If SAP requires • DD Approved -
due diligence contact is sent a checks based on teams will review further clarification valid for three or
assessment - level notification to log partner type(s) and your PECQ based on five years.
is calculated and into the location which may submission and information • If compliance risks
compliance contact ProcessUnity include screenings, supplementary provided, your were identified, DD
checked. system to complete web searches and information related compliance contact On Hold for further
• If a compliance your compliance forensic reports. to your due will receive an investigation or ‘DD
contact is not questionnaire diligence email to provide Rejected’. Your
available, your (PECQ). assessment. further details to SAP contacts will
assessment will not • This status will SAP in the PU inform you.
be able to progress remain until your system. • If significant
past this stage. compliance contact compliance risks
submits the PECQ are found your DD
for SAP review and will be rejected.
the submission is
validated by SAP.

• Partner Ethics and Compliance Questionnaire (PECQ) is a key compliance document to help SAP comply with its zero-tolerance policy for bribery & corruption. It should be completed in
full with precise and accurate details and completed by an authorized signatory of your organization, ideally in a Legal or Compliance role. Please ensure this form is signed electronically.
• SAP employees cannot complete any compliance documents on your behalf.
• You can see how your due diligence is progressing in SAP for Me and Manage My Partnership.
• If you are applying for a higher level due diligence and it’s not approved, you will see DD Level Not Approved – this will not affect your current due diligence approval for the lower level.

INTERNAL – SAP and Partners Only 7

Due Diligence Information
Manage My Partnership
You can see your current and due diligence history information in Manage My Partnership in the Due Diligence tab.

The tab will show details of your due diligence projects for the last five years with the specific information outlined below. You can
also see top level information in SAP for Me (example below) .

SAP for Me

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 PU Partner Due Diligence Process

• The partner compliance contact at the partner will receive an email

requesting them to create a password to log into the ProcessUnity
(PU) system.

• Access to the PU system is only granted to the compliance contact

as the main co-ordinator of their company’s response.

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 Partner Ethics and Compliance Questionnaire

• The compliance contact will then see the

PECQ related to their requested or
existing partner type(s) and country,
showing the key sections and number of
questions in each section.

• The compliance contact can save their

answers before submitting the completed
document to SAP.

• Should your compliance contact have

any questions, they should contact the
SAP Partner Validation Team member
assigned to the assessment included in
due diligence emails.

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 Completing the Partner Ethics and Compliance Questionnaire

• When clicking into a section, the question details

will appear, the Compliance Contact can click
“next” to move through the sections or click back
to Summary.

• If the compliance contact attempts to submit the

document to SAP with incomplete/missing
responses, there will be an error message.

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 PECQ Completion

• The export feature will export the entire document

into Excel. This can be triggered by choosing
"Export".

• Once respective sections have been completed,

choose the “Import" button. The sections will appear
as separate tabs in the Excel.

• Once all questions are answered, the Compliance

Contact confirms the information provided and
chooses “Submit” to SAP for review.

• Please ensure that the PECQ is ‘submitted’

otherwise, it will not be sent back to SAP for review.

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 Frequently Asked PECQ Questions

Can I add more than one user (Compliance Contact) to access the Partner Ethics & Compliance Questionnaire (PECQ)?
Not at this time, only one Compliance Contact can have access to the ProcessUnity system. However, if you need to send specific sections of
the Partner Ethics and Compliance Questionnaire to other colleagues in your company your can export and re-import into the system.

Who within the company should be filling in the PECQ? The PECQ submission should be coordinated by your compliance contact as the
main point of contact for your company’s due diligence response to SAP. Other company employees can support in supplying the information
required for the PECQ, but the partner compliance contact should collate and submit to SAP via the ProcessUnity portal as an authorized
representative of the company.

What does SAP mean by an authorized representative? A senior company employee who can act on behalf of your company and confirm
the information supplied in the PECQ. Other employees can supply information required to complete the PECQ but the authorized
representative co-ordinates the response to SAP and is the main point of contact.

Can the PECQ be sent to more than one person? No, there is only one contact allowed at this time to access the ProcessUnity Portal. The
Partner Compliance Contact can co-ordinate the answers to the questionnaire with other employees of the company before submission.

What is a Global Ultimate?

The upper most/highest parent of a corporate family. If your company is the sole company in the corporate family or the highest-level company
within the corporate family, please include your company legal name here. Otherwise please include the name of the highest parent company
in your corporate family.

What is the Global Ultimate D-U-N-S Number?

If your company has a higher parent in your corporate family, please include their D-U-N-S number here. If your company is the highest-level
company, please include your D-U-N-S number here.

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Frequently Asked PECQ Questions

Am I notified once the review is completed? Yes. You will receive an email notification if your due diligence
assessment has been approved in SAP systems.

What is my current due diligence status? All existing partners can view their current due diligence status in
SAP for Me or Manage My Partnership. Prospective partners will be notified when their due diligence is
approved or if SAP compliance teams have any further questions during their due diligence assessment.

I submitted my due diligence assessment but there are additional documents I would like to submit?
How can I upload them? Please contact the assessment owner shown on your due diligence email if you
need upload more documents and we will send the assessment back to you for you to upload any additional
documents for you to submit back to SAP.

INTERNAL – SAP and Partners Only 14

 PECQ Follow Up

• There may be follow up questions related to the

PECQ responses. The compliance contact will
receive an email notification, and will be required to
re-visit the Partner DD Portal to review and address
the request.

• Sections containing the follow up questions are

identified under “Follow-Up Questions” Column.
Within the section, the particular question and
related follow up query are highlighted in yellow.

• Once response is provided, Compliance Contact

must choose “Submit” button to return to SAP for
review.

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 Additional Information Requests

• If there are any additional documents or questions during the DD Review, the partner compliance contact will
receive an email notification to log onto the Partner DD Portal to review and address the request. The due
diligence assessment status moves into “Additional Partner Information”

• Details of the information requested is provided under the “Information Requests” folder within the menu on the
left side of the screen. Once the compliance contact submits a response to SAP ‘Submit Response to SAP’, the
reviewer is notified and the assessment status reverts to “DD Review”.

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Further Information

If you have any questions, please reach out to your regular SAP contacts.

For specific questions related to your due diligence check, please contact the Partner Validation
Team at partnerdd@sap.com.

We are fully committed to collaborating with you, helping you succeed in maximizing value for
customers with compliant business practices.

Thank you for your continued partnership.

INTERNAL – SAP and Partners Only 17

Thank you.