Not every compliance question requires a comprehensive project. Sometimes a single clause needs to be examined; in other cases it is about the organisation of a business unit or an acute suspicion. The following types of mandates describe possible audit missions. Subject matter, scope, dates and remuneration are agreed prior to commissioning.
Reviewing a directive or contract
Starting point: A new specification is to be introduced, a customer requires a compliance statement or an existing contract no longer fits the business model.
We first clarify purpose, addressees, relevant legal systems and actual processes. The text will then be examined in law and agreed with the responsible persons. The agreed outcome may include an commented version, a revised final version and instructions for introduction. Questions relating to co-determination, technical implementation or other contracts shall be identified insofar as they are clearly relevant for the contract.
The current text, existing attachments and a short description of its use are required. An examination of individual clauses is expressly demarcated from a comprehensive audit of the contract. Additional specialists may be required for foreign law or technical tests.
Compliance inventory for a business area
Starting point: The company would like to know where purchasing, sales, personnel or any other demarcated area of legal action is required.
The order begins with a risk-related selection of documents and discussions with the responsible persons. Existing rules are compared with the described and sampled procedures. The depth of the examination is agreed beforehand; a document inspection must be distinguished from a comprehensive investigation of actual behaviour.
As a result, an overview of the findings, a legal evaluation and an action plan with priorities and responsibilities can be agreed. Open questions of facts and unexamined areas remain recognizable. A legal inventory is not a technical certification and no guarantee that there are no violations in the company.
Legalise a suspected case
Starting point: There is a concrete message, conspicuous payments, a data outflow or an official request.
First, urgency, current deadlines, jurisdiction and possible conflicts of interest will be clarified. An appropriate investigation or processing plan will then be agreed. Protection of evidence, data protection, employee rights and external reporting obligations are taken into account from the outset. The contract may include advice on individual steps or further legal supervision.
Possible work results are a chronology, a study plan, a reasoned assessment of the findings and recommendations for further measures. Whether reports are sent to institutions, authorities or other recipients will be examined separately. The representation of the company does not automatically include the personal representation of affected employees or organ members.
Training and ongoing monitoring
Training on specific tasks can be useful for the implementation, for example for purchasing, sales, reporting or management. The Training programme describes topics and formats. On-going advice may be agreed upon for recurring audits; Accessibility, processing scope and response times must be specified.
Settlement and existing forms of advice
Depending on the subject matter, a Initial advice, a Demarcated flat rateThe Settlement by time spent or a Ongoing advice This is not the case. Information on: Online advice and a Individual offer you will find on the linked pages. The specific remuneration agreement will be established for the contract.
What will be clarified before launch
- Which company issues the order and who is the contact person?
- What questions and documents are included?
- Which dates or legal deadlines exist?
- In what form are results needed and who may receive them?
- What remuneration, travel costs and external services are agreed?
A question alone does not justify a commitment to take over the mandate. In the case of urgent operations, specify the deadline and have the task confirmed. For the preparation you can use the Document checklist use. Request advice.
Further reading: Chancery · Compliance self-check: twelve questions for companies · Checklists