@ Protecting digital rust ° ° Certification ° of LEl Mapping Internal Controls Checklist GLEIF ACCREDITED
Contents 2 AContactDetails ........coiiiiiiiiii ittt iiiieetneeenes. 3 BENtity Structure. ........... ittt iiiiiitnnnrnnnnnannanaaa. lt C Financial Data, Audits and General Governance.. . . .. ............5 D Records Management. .. ...........c ittt 6 E Software Development . .......... ittt nrennnnnnnnaasld F Operations Assessment ... ..........ci ittt ireneeneeneennennan. .8 Checklist Instructions
» Please complete Sections A, B and C after completion
« of the Non-Disclosure Agreement when requested
-
by Business Operations.
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Please ensure that supporting documentation is provided
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wherever noted.
» Please focus your responses ONLY on the systems, tools,
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applications, practices and procedures which directly
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relate to the development and production environment
« for the mapping application(s).
» Please be as specific and limited as possible.
» You will be asked to complete Sections D-F of the Checklist
» after signing the Cooperation Agreement.
GLEIF 2020/02
General Information for Certification of Mapping Documentation Submission 3
Required Documentation to be Submitted with Checklist Responses A Contact Details Legal Name of Mapping Partner VAT No. if applicable LEI (20 Alphanumeric Characters) Submission Date (YYYY-MM-DD) URL of Mapping Partner Parent/Grandparent/Owner/Governing Organization if applicable Checklist A-C attached LEI of Parent/Grandparent/Governing Organization if applicable Checklist D-F attached Internal Project Manager Authorized Representative Name Name Title Title Email Email Phone Phone Key Contact Operations Key Contact Finance Name Name Title Title Email Email Phone Phone Are you including any Yes If Yes, please list the following: third-party assurance Type of report Date of report reports as part of this No yp P P application? To be obtained Report expiry date Service provider Certificate attached? Yes No In submitting this document, | confirm that, to the best of my knowledge, my organization is in compliance with or is able to become compliant with the requirements of GLEIF reflected in the Cooperation Agreement as of the date of this document unless otherwise noted. Authorizing Representative Signature* E-Signature Date (YYYY-MM-DD) Name Title Email Phone *Please note: the Authorized Representative may sign this form physically or electronically. GLEIF 2020|02
General Information for Certification of Mapping Documentation Submission L Required Documentation to be Submitted with Checklist Responses B Entity Structure Legal Name of Mapping Partner Please provide your most recent Annual Report/Financial Statements
Statement of Beneficial Ownership
Please list all Entities which have >20 % LEI# %
ownership stake in your organization
GLEIF 2020|02
General Information for Certification of Mapping Documentation Submission 5
Required Documentation to be Submitted with Checklist Responses C Financial Data, Audits and General Governance Legal Name of Mapping Partner Financial Data, Audits and General Governance Type of Document Xrefto Docs Provided Yes No N/A Additional Documentation Requested Please cite document Please check one and page # 1. General Questions - Going Concern 11 Do youhave a formal budget for this project? > Please provide budgets and explain financial assumptions, volume estimations, operating budget, expenses, etc. 1.2 Do you fully expect your organization to fund > Please briefly explain your long-range this activity for the foreseeable future? business objectives. 2. General Questions - Specific Mapping Service Operations 21 Are you currently involved with any litigation matters > Provide a summary of all relevant litigation, arbitration, which could effect your mapping services? claims and proceedings. 2.2 reyou subject to regulatory compliance requirements > Please list all relevant governmental regulatory agencies which could affect your mapping services? and the applicable regulations with respect of LEI activities. GLEIF 202002
General Information for Certification of Mapping Documentation Submission 6
Required Documentation to be Submitted with Checklist Responses D Records Management Legal Name of Mapping Partner Records Management Type of Document Xrefto Docs Provided Yes No N/A Please provide a brief narrative Please cite document Please check one and page # 1. Isaparticular function responsible for all aspects of record retention as per your established internal policies? What s your testing process and periodicity? 2. Isperiodic training provided to all relevant personnel (including employees, contractors and temporary staff) to make them aware of your Records Management procedures? 3. Do youmaintain the following: 31 Allsoftware including program logic and algorithms and supporting systems/software and utilities? 3.2 Doyou know where all items in 3.1 are physically located and who and how secure custody is maintained? 3.3 Do you utilize test, demo or guest accounts and/or data? 4. Do youensure access to relevant records is restricted to only those employees who are appropriately authorized and need access to perform their duties? 5. Do you ensure control proceduresrelating to the physical and environmental protection of relevant records, including archived dataisin place and functioning properly? 6. Do youensurerelevant records are only destroyed in compliance with your procedures and any contractual, local or legal requirements? GLEIF 202002
General Information for Certification of Mapping Documentation Submission 7
Required Documentation to be Submitted with Checklist Responses E Software Development Legal Name of Mapping Partner Software Development Type of Document Xrefto Docs Provided Yes No N/A Please provide a brief narrative Please cite document Please check one and page # 1. Do youhave a document which describes the software development tools and environment in place for the mapping application and supporting applications as applicable? 2. Do youhave aformal process for developing and approving new software? And software changes? 3. Do youhave aformal process in place for identifying, tracking and correcting software errors / bugs? 4. Do youhave standard IT service management processes in place? This would include a patching process and upgrade/update policies and procedures. GLEIF 202002
General Information for Certification of Mapping Documentation Submission 8
Required Documentation to be Submitted with Checklist Responses F Operations Assessment Legal Name of Mapping Partner Type of Document Xrefto Docs Provided Yes No N/A Additional Documentation Requested Please cite document Please check one and page # 1. Doyouhaveinplace procedures to review possible matches given: a. therelevantreference data associated with the LEI > Please provide supporting documentation, or your record changes (for example, address or legal such as policies or procedure manual sections. name, etc.)? b. theregistration status of the LEI changes to merged, > Please provide supporting documentation, retired, annulled or duplicate? such as policies or procedure manual sections. c. youridentifier record changes to an equivalent > Please provide supporting documentation, status of merged, retired, annulled or duplicate (as such as policies or procedure manual sections. applicable)? d. Do you check for such events frequently? Please > Please provide supporting documentation, specify your frequency. such as policies or procedure manual sections. GLEIF 202002
: > Enabling global identity G L E I F Protecting digital trust Global Legal Entity Identifier Foundation (GLEIF) St. Alban-Vorstadt 5, PO Box 4002 Basel Switzerland gleif.org Chairman of the Board: Gerard Hartsink Chief Executive Officer: Stephan Wolf LEI of GLEIF: 506700GE1G29325QX363 © 2020 All rights reserved