COMPLIANCE & RIGHT · TREATY
A compliance program combines rules, approvals, training and controls into a practical process. What is crucial is that employees in the concrete process know what is allowed, which examination is required and to whom they pass on open questions.
Specific Directives
Each directive should address a particular risk and identify its target group. Concepts, responsibilities and clearance limits must be understandable. Parallel rules are examined for contradictions, so that purchasing and sales do not work with different specifications for the same business partner.
Checks at the right place
An effective checkpoint is as far as possible before a decision which is difficult to reverse. Examples are the partner check before commissioning, the rights check before a software release or the evaluation of an advertising statement before printing release. Derogations shall be subject to jurisdiction, justification and follow-up.
Implementation and resources
New rules require responsible persons, suitable accesses and time for processing. Technical solutions support the organisation, but do not replace legal evaluation. The implementation plan takes into account existing systems and sets out which transitional arrangements apply until full implementation.
Evidence and improvement
A programme should show which examination has actually been carried out. Short, factual evidence is often sufficient for this; excessive documentation can conceal the crucial information. Targeted adjustments are derived from error messages and samples.
Legal classification and advice
Organizational and supervisory obligations are governed by legal form, activity and specific risk situation. An important point of reference is § 130 OWiG. The measures required can only be assessed on the basis of the company concerned. We examine the legal requirements, arrange responsibilities and develop feasible rules and control points.
Four practical examples
The following fictitious cases illustrate typical examination questions. The concrete solution depends on the circumstances of the individual case.
01 · Release for gifts
A directive always requires the approval of the management. A viable, risk-related process with clear escalations prevents both circumvention and unnecessary delays.
02 · Control in the course of payment
Remarkable recipient changes are detected only after payment. The program moves the checkpoint before the payment release.
03 · Measures without responsible persons
An audit report mentions many tasks. Each measure shall be accompanied by a competent person, a deadline and proof of completion.
04 · Pattern taken over
A code of conduct contains non-existent departments. Contact persons and processes are adapted to the actual company before introduction.
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.