B.
Existing Third Party Intermediaries Who Have Previously Completed the Due Diligence Process
Third Party Intermediaries who have previously completed the Due Diligence Process must, periodically, re-submit to the Due Diligence Process, regardless of whether they are seeking renewal to act as a Third Party Intermediary. It is the responsibility of attorneys in the Legal Services Division, in consultation with representatives of the relevant business unit, to determine whether a Third Party Intermediary is required to re-submit to the Due Diligence Process.
Under certain circumstances, existing Third Party Intermediaries must re-submit to the Due Diligence Process. These circumstances include, but are not limited to:
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Where the nature of the work to be completed by the existing Third Party Intermediary is substantially different than the work it has previously done on behalf of Caterpillar;
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When any key employee(s) of the existing Third Party Intermediary were either (i) not affiliated with the Third Party Intermediary during the prior engagement with Caterpillar; or (ii) not utilized by the Third Party Intermediary during the prior engagement with Caterpillar;
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Where a credible allegation of misconduct involving the Third Party Intermediary or any of its principals or key employees has been made since the completion of the prior due diligence;
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Where the organizational structure or ownership of existing Third Party Intermediary has changed in any material respect since the completion of the prior due diligence.
It is the responsibility of the relevant Caterpillar business personnel to notify the Legal Services Division any time such change in circumstance(s) exist.