COMPLIANCE & RIGHT · TREATY
A compliance check answers a defined question for a specific range and period of time. It can examine whether a concept is coherent, whether measures are adequately established or work in everyday life. These levels must not be confused.
Set mission and scale
At the beginning, subject matter, period, legal requirements and desired significance are determined. A legal examination shall be distinguished from an examination according to a specific test standard or accredited certification. The order shall not promise any further security than the chosen examination can perform.
Concept and adequacy
The audit considers risks, responsibilities, rules and existing resources. It is examined whether the measures envisaged cover the relevant requirements in a meaningful manner and whether they have actually been established. Lack of access, unclear representations or non-agreed directives can be significant gaps.
Efficacy on the basis of processes
For a defined period, appropriate evidence and samples shall be evaluated. A signed directive alone does not prove that controls have been applied. Limits of the sample and remaining uncertainties are described in a transparent manner as a result.
Report and action plan
The report separates findings, legal evaluation and recommendations. Major gaps are prioritised and given specific tasks. If necessary, a review of the implementation will follow. An audit does not generally exclude subsequent infringements or liability risks.
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 · Examination of the concept
A company has developed a new set of rules. The assessment assesses whether risks, responsibilities and measures fit together in a coherent manner; it does not yet demonstrate that they are effective.
02 · Examination of implementation
Existing policies are compared with actual releases. Missing resources or uncreated accesses are identified as implementation gaps.
03 · Efficacy assessment
A sample examines processes from a defined period. Selection, proofs and limits are documented in such a way that the expressiveness remains recognizable.
04 · Customer-side verification requirement
A customer requires a certificate. The purpose, scope and required standard are clarified; a legal review is not issued as an accredited certification.
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.