COMPLIANCE & RIGHT · TREATY
A compliance system must grow with the company and its risk situation. Regular checks show whether measures are in place and actually work. The lessons learned will be translated into concrete improvements and their implementation will be followed up.
Set Control Subject
Audits should focus on key risks and real processes. A sample may, for example, examine whether partner audits have been carried out prior to commissioning or whether exceptions have been duly released. Period, selection and criteria are documented.
Categorising findings
Not every deviation has the same meaning. Lack of evidence, inappropriate rule and deliberate circumvention require different reactions. The cause, scope and possible consequences will be clarified before measures are determined.
Remedy with those responsible
A statement will only be editable when a specific task, a responsible person and a date are established. Required resources and dependencies will be taken into account. Overdue or particularly important measures are escalated to the responsible management.
Check effectiveness
The report that a directive has been amended is not always sufficient. A later check will examine whether the change has arrived at the employees concerned and is effective in the course of work. This can lead to further adaptation or training needs.
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 · Control without supporting documents
A form is checked regularly, documents are missing. A sample checks the actual test step and leads to a concrete adjustment.
02 · Recurring exception
An exception release becomes the usual practice. Causes and limits will be investigated and the regulatory procedure revised.
03 · New legal situation
A rule changes product requirements. The affected products and responsible persons are identified and implementation dates monitored.
04 · Completed action
An audit point is deemed to have been completed. A check shall examine whether the change is actually effective during operation.
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.