COMPLIANCE & RIGHT · TREATY
The following checklists help to prepare an audit order and clarify operational responsibilities. They are intended as working documents: Existing evidence is assigned, open questions are recorded and responsible persons are appointed. The actual legal obligations must be examined for the specific company.
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Documents for the compliance inventory
For management and project managers. First put together existing documents; missing documents are noted as open points. Exchange confidential content only via an agreed route of transmission.
- Business and organization: In the case of a company, location, number of employees and main sales countries.
- Rules and lived procedures: Collect code of conduct, guidelines and release regulations with version status.
- Incidents and special obligations: Designate requests for authorities, ongoing procedures and binding deadlines.
- Prepare evaluation: order documents by date and scope; Separate drafts from valid versions.
A complete collection of documents does not yet demonstrate the effectiveness of the organisation. The depth of the test and the necessary clarification of the facts shall be agreed separately.
Preparing an internal investigation
For dealing with a concrete suspicion. The list supports the preparation of a legal vote. It shall not be released for specific surveillance or investigation measures.
- Ensure the initial situation: Document reporting or abnormality with input, source and known facts.
- Mission and independence: designate the contracting company and the competent independent body.
- Legally plan actions: examine the sources of data, purpose, legal basis and proportionality of each measure.
- Decisions and conclusion: Check external reporting, notification or information requirements separately.
Do not destroy evidence, do not influence witnesses and do not let go of private communication. to coordinate the necessary immediate measures and deadlines with legal assistance.
Official visits and searches
Organisational orientation for reception, management and IT. Powers and obligations of participation depend on authority and action. The specific order must be examined in law.
- Before a possible measure: Set internal contacts, representations and current contact paths.
- Upon receipt of the authority: Inform the responsible internal person immediately; remain calm and objective.
- During the action: To clarify the roles and specific information or participation obligations.
- Documentation and follow up: the scope of the measure, essential operations and objections.
No general statements on the matter without a clear role. Companies and individuals concerned may have different interests and need separate representation.
Counterparties risk-related
For purchasing, sales and release agents. Test depth and repetition are based on business, country, role and identifiable risks. The list does not replace any special examination required by law.
- Identity and business model: identify contractors, registers, addresses and persons acting.
- Business and abnormalities: In order to be able to meet the needs of the individual, it is necessary to provide information on the performance, remuneration and actual needs.
- Evidence and decision: specifically request required documents; Document and enlighten contradictions.
- After the start of cooperation: Check performance certificates and payees before release.
A registry extract or a penalty list query alone does not exclude risks. Distinctiveness is a reason for testing, not an automatic proof of an infringement.
Continue working with the results
Gather open points with a responsible person and an appointment. Urgent instructions, ongoing government measures and legal deadlines are a matter of priority. In addition, for a general location determination the Compliance self-assessment available. The possible scope of a legal review is explained by the page Advisory contracts.
Further reading: Compliance consulting: order, process and results · Compliance self-check: twelve questions for companies · Searches and regulatory authorities
Four practical examples
The following fictitious cases illustrate typical examination questions. The concrete solution depends on the circumstances of the individual case.
01 · A major customer requires a compliance manual
Instead of signing a foreign model unchanged, the company balances the required rules with its actual processes. Binding commitments will only be made after verification of responsibilities and evidence.
02 · Distinctive supplier invoices
Several invoices contain similar service descriptions without proof of performance. First, contracts, clearances and payment methods are secured; Interviews follow on the basis of concrete contradictions.
03 · Investigator at reception
Reception and management activate emergency contact. Identity, legal basis and scope are documented; the measure is not hindered.
04 · Different supplier risks
A regional office supplies supplier and a raw material-intensive foreign supplier are not schematically examined. Risk factors determine depth, evidence and updating rhythm.
Your next step
Do you want to transfer the requirements to your company or have a specific process checked? A brief description and a reference to existing deadlines are sufficient for the first contact. We shall vote on the scope of examination and compensation prior to commissioning.