Is an electronic PEP declaration legally valid?

Yes. Electronic declarations meet legal validity requirements when they demonstrate intent to sign, consent to electronic records, attribution to the signer, and reliable retention per the ESIGN Act (15 U.S.C. §7001) and applicable state UETA/ESRA provisions.

What if an employee refuses to sign?

If an employee refuses, follow internal policy. For positions with mandatory disclosures, refusal may trigger HR review, role reassignment, or additional compliance actions consistent with employment and privacy laws.

How should affirmative PEP answers be handled?

Route affirmative responses to compliance for documented enhanced due diligence, update monitoring rules, and record mitigation measures in the file so auditors can verify the decision trail.

Do PEP declarations require notarization?

Not typically. Notarization is not usually required for internal PEP declarations, but organizations may require it for high-risk cases or where legal or jurisdictional rules make notarization prudent.

How do you verify identity electronically?

Use verifiable identity-proofing such as government ID verification, single sign-on tied to HR systems, or multi-factor authentication to strengthen signer attribution and reduce fraud risk.

Who can access PEP declarations?

Access should be limited to HR, compliance, and legal personnel on a need-to-know basis. Implement role-based access controls, logging, and periodic access reviews to protect sensitive personal data.

Electronic Signature
Templates
HR
Employee PEP Declaration

Employee PEP Declaration

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

Employee PEP Declaration

Personal Information

Employee Name Employee ID

Date of Birth:

Home Address Phone Email

Position Information

Job Title Department

Reporting Manager:

Employment Start Date:

Employment History (Most Recent First)

Employer 1 — Company Name Title

Dates Employed: to

Primary Responsibilities Reason for Leaving Employer 2 — Company Name Title

Dates Employed: to

Primary Responsibilities Reason for Leaving

Education

Highest Degree Institution

Graduation Date:

References

Reference 1 Reference 2 Reference 3

Politically Exposed Person (PEP) Declaration

Definition: A Politically Exposed Person (PEP) is an individual who is or has been entrusted with a prominent public function in a country or international organization, including heads of state, senior politicians, senior government, judicial or military officials, senior executives of state-owned enterprises, and important political party officials. For the purposes of this declaration, the term also includes immediate family members and close associates who may present heightened risk requiring enhanced due diligence.

Please indicate your status by checking the applicable box(es) below and providing requested details if applicable.

I affirm that I am a Politically Exposed Person (PEP), or an immediate family member or close associate of a PEP.

I affirm that I am not a Politically Exposed Person (PEP), nor an immediate family member or close associate of a PEP.

If you checked "Yes", provide details below

If you are a close associate or family member of a PEP, describe the nature of the relationship and any public functions held by that person:

Legal Disclosures

At-Will Employment: Nothing in this declaration alters the at-will nature of employment. Employment may be terminated at any time by the employee or the employer, with or without cause or notice, unless otherwise provided in a written employment agreement signed by an authorized company representative.

Equal Opportunity: The Company is an equal opportunity employer. Decisions regarding employment and terms of employment will be made without unlawful discrimination.

Authorization and Certification

By signing below, I certify under penalty of perjury that the information provided in this Employee PEP Declaration is true, complete, and correct to the best of my knowledge. I understand that intentionally providing false or misleading information may result in disciplinary action, up to and including termination of employment, and may require reporting to appropriate regulatory authorities.

I authorize the Company to verify the information provided, to contact former employers and references, and to conduct such background, identity, and public-record checks as the Company deems necessary for compliance purposes. I further agree to promptly notify the Company in writing if my PEP status changes during my employment.

Consent to Processing: I consent to the collection, use, and retention of personal data provided in this form for the purposes of compliance and regulatory due diligence. The Company will handle such information in accordance with applicable privacy and data protection requirements.

Employee Acknowledgement: I have read and understand the definitions and requirements set forth above. I acknowledge that I am responsible for the accuracy of the information in this declaration and for timely updates should circumstances change.

I authorize the Company to contact my previous employers and the references listed in this form for employment verification and background screening.

I consent to enhanced due diligence measures if required due to PEP status, including additional identity verification and documentation requests.

Employee Name:

Signature:

Date:

What the Employee PEP Declaration Is and Why It Exists

An Employee PEP Declaration is a signed statement completed by an employee to disclose whether they are a politically exposed person (PEP) or have close associates who are PEPs. Organizations use the declaration to document due diligence for anti-money laundering (AML), Know Your Customer (KYC) and conflict-of-interest screening, and to trigger enhanced monitoring where required. The form usually collects identity data, job role, relationship details, and a dated signature or electronic signature. When collected electronically, the record should meet ESIGN Act (15 U.S.C. §7001) and applicable state UETA/ESRA rules and be protected under the organization’s data retention and privacy controls.

Why an Employee PEP Declaration Matters for Compliance

A clear PEP declaration reduces regulatory risk by creating an auditable disclosure trail that supports AML and internal control requirements, documents enhanced due diligence decisions, and centralizes information for HR, compliance, and auditors.

Who completes and reviews Employee PEP Declarations

HR, compliance, and risk teams use the Employee PEP Declaration to gather disclosures, assess monitoring needs, and escalate potential conflicts of interest.

HR administrators — collect disclosures at hire, role change, or periodically and file with personnel records.
Compliance officers — evaluate declared PEP status, document enhanced due diligence, and update monitoring rules.
Legal or privacy teams — review high-risk disclosures and advise on reporting or confidentiality obligations.

After collection, routing should follow internal policy: compliance assesses risk, HR files the record, and legal reviews any necessary remediation or reporting.

Essential elements to include in a professional Employee PEP Declaration

A complete declaration balances concise questions with fields that support identity verification, contextual details, and an auditable signature or attestations.

Identity

Full legal name, date of birth, and government ID reference to tie the declaration to an identifiable employee and support verification procedures.

Employment Role

Current job title, department, and reporting line so reviewers can determine if public functions increase exposure or monitoring needs.

PEP Status

Clear checkbox or statement: 'I am a PEP', 'I am a close associate of a PEP', or 'Neither' with space for details when affirmative.

Relationship Details

Describe the relationship, office held, dates of service, and jurisdiction to support risk scoring and screening against watchlists.

Attestation

A dated signature block where the employee attests to the accuracy of responses and acknowledges any consent disclosures required by policy.

Audit Data

Record creation timestamp, collector identity, and method (electronic or paper) to support later audits and regulatory review.

Step-by-step: Completing an Employee PEP Declaration

Follow these four steps to submit an accurate, auditable declaration that complies with internal controls.

01

Prepare: Gather government ID, job details, and any relationship information before starting.
02

Answer Questions: Complete identity, role, PEP status, and relationship fields fully and truthfully.
03

Sign: Sign electronically or on paper; ensure the date is correct and method is recorded.
04

Submit: Send to HR or upload per instructions; compliance will acknowledge receipt and start review.

Typical workflow for electronic PEP declaration collection

A standard eSubmission flow reduces friction and captures required metadata for an audit trail.

Upload Template: Admin uploads the PEP declaration template to the signing platform or HR system.
Place Fields: Add required fields for name, DOB, checkboxes, details, and signature blocks.
Send to Signer: Distribute via secure email link or in-portal task with consent information.
Capture Audit Trail: Platform records signer IP, timestamp, and authentication method for compliance review.

Recommended online configuration for the Employee PEP Declaration

When configuring an electronic workflow, map fields, authentication, and retention to your compliance requirements.

Field	Configuration
Name Field	Required; autofill from HR directory where available to reduce errors
Date Field	Use MM/DD/YYYY validation and auto-populate with current date when signing
PEP Checkbox	Make conditional: if 'Yes', expand relationship detail fields
Signature	Require eSignature with audit trail and timestamp

Technical considerations for eCollection and storage

Ensure the signing platform supports strong audit trails, secure storage, and required authentication for your risk profile.

Auth Options: Email, SMS code, or stronger multi-factor
Storage: AES-256 at rest with access controls
Audit Trail: Capture IP, timestamp, and signer attributes

Match technical settings to policy: stricter authentication and longer retention for high-risk disclosures, with role-based access and regular review.

Timing expectations and review cadence for PEP declarations

Set clear deadlines for initial submission, updates after status changes, and periodic reassessments to maintain an accurate program.

Initial Submission:

Provide declaration at hire or when role first requires disclosure, typically within 7–14 days.

Status Change Update:

Update declaration within 30 days of any new PEP relationship or appointment.

Annual Review:

Conduct a yearly reassessment of declared status and any new exposures.

Incident Reporting:

Escalate any discovered undisclosed PEP status immediately to compliance for review.

Retention Start:

Retention begins at the date of signature or electronic completion.

Common pitfalls when preparing or collecting PEP declarations

Incomplete identity data: missing middle names, date of birth, or inconsistent name formats prevent reliable screening and delay reviews.
Vague relationship descriptions: insufficient detail about the PEP connection makes risk scoring and due diligence ineffective or incorrect.
Weak authentication for eSignatures: allowing unauthenticated guest signing can undermine attribution and weaken the audit trail.
Poor retention and access controls: failing to retain records or restricting access improperly creates audit gaps and regulatory exposure.

Risks and potential consequences of incorrect or missing declarations

Regulatory enforcement: Potential scrutiny under AML rules and related regulations

Fines and sanctions: Monetary penalties or corrective action from regulators

Reputational harm: Public trust and stakeholder confidence can be damaged

Operational disruption: Investigations require time and resources for remediation

Compliance gaps: Missing declarations cause audit deficiencies and findings

Data exposure: Improper handling of sensitive disclosures risks privacy violations

Comparing eSignature platforms for collecting Employee PEP Declarations

Platform choice affects authentication, audit trails, HIPAA support, and per-user cost; signNow is listed first for comparison consistency.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies	Varies	Varies	Varies
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No
Envelope Cap	No cap	100 envelopes/user/year	Varies	Varies	Varies

Practical tips for accurate and efficient PEP declaration handling

Adopt consistent processes, keep audit data, and coordinate between HR, compliance, and legal to reduce friction and improve reliability.

Centralize records and versioning

Store declarations in a single secure repository with role-based access, unique file identifiers, and version control so reviewers always access the authoritative record.

Use conditional fields

Configure conditional fields so that affirmative PEP answers automatically expand to request jurisdiction, dates, and relationship details for complete disclosures.

Match identity to HR data

Auto-populate known employee fields from HR systems to reduce entry errors and ensure name, DOB, and employee ID align with payroll and background-screening records.

Document review and escalation

Define a clear escalation path for positive declarations: compliance assessment, enhanced due diligence steps, and documented final disposition.

Example scenarios where an Employee PEP Declaration is used

Two concise examples show how declarations support screening, onboarding, and ongoing monitoring in different settings.

Onboarding Compliance

A new hire completes the PEP declaration during onboarding to confirm no PEP ties

The compliance team runs automated screening against watchlists
The completed declaration, audit trail, and screen results are stored for year-end audit and regulatory review.

Role Change Review

An employee promoted to a public-affairs role updates their declaration to disclose a relative who is a public official

Compliance conducts enhanced due diligence and documents mitigations
The record supports future reviews and demonstrates timely escalation and resolution.

Frequently asked questions about Employee PEP Declarations

Answers to common questions on validity, required fields, electronic signatures, and next steps when a PEP status is disclosed.

Need help? Contact support

Is an electronic PEP declaration legally valid?
Yes. Electronic declarations meet legal validity requirements when they demonstrate intent to sign, consent to electronic records, attribution to the signer, and reliable retention per the ESIGN Act (15 U.S.C. §7001) and applicable state UETA/ESRA provisions.
What if an employee refuses to sign?
If an employee refuses, follow internal policy. For positions with mandatory disclosures, refusal may trigger HR review, role reassignment, or additional compliance actions consistent with employment and privacy laws.
How should affirmative PEP answers be handled?
Route affirmative responses to compliance for documented enhanced due diligence, update monitoring rules, and record mitigation measures in the file so auditors can verify the decision trail.
Do PEP declarations require notarization?
Not typically. Notarization is not usually required for internal PEP declarations, but organizations may require it for high-risk cases or where legal or jurisdictional rules make notarization prudent.
How do you verify identity electronically?
Use verifiable identity-proofing such as government ID verification, single sign-on tied to HR systems, or multi-factor authentication to strengthen signer attribution and reduce fraud risk.
Who can access PEP declarations?
Access should be limited to HR, compliance, and legal personnel on a need-to-know basis. Implement role-based access controls, logging, and periodic access reviews to protect sensitive personal data.

be ready to get more

Join over 28 million airSlate SignNow users

Sign Now