Questionnaire
Compliance Quick Check
The Compliance Quick Check (“CQC“) is a questionnaire enabling the
assessment of compliance risks and preventative measures. The CQC helps
identify quickly and reliably any need for action in the area of Compliance.
The CQC is comparable with a due diligence questionnaire. The evaluation of
the CQC allows for a calculation of the overall risk in the area of Compliance
as well as for concrete recommendations for further action to optimize the
existing structures and, hence, to minimize the overall risk. The CQC can be
used as an initial step in the preparation of a comprehensive Compliance
audit and a full improvement of the Compliance situation.
The findings gathered from the individual sections allow for an evaluation of
the overall risk in the area of Compliance. In addition, they can help identify
certain individual risks and the concrete need for action as well as improvement potential.
If you have any further questions, please feel free to contact:
DDr. Alexander Petsche
E-mail: alexander.petsche@bakermckenzie.com
Mag. Georg Krakow
E-mail: georg.krakow@bakermckenzie.com
Dr. Caroline Kindl
E-mail: caroline.kindl@bakermckenzie.com
RISK ANALYSIS:
Do compliance risks exist?
Yes
1.
Admission to trading on a stock market
1.1
Is the company listed on a stock exchange?
1.2
Is the company also listed on a U.S. stock exchange?
2.
Business activities
2.1
Do the company’s business activities include particularly
risk-entailing lines of business, such as plant construction,
defense industry, telecommunications, building industry,
transportation technologies or pharmaceutical industry?
2.2
Do the business activities involve unique risks,
such as environmental or product liability risks?
2.3
Does comprehensive regulation exist for the business
activities or any part of the business activities, such as
in the areas of telecommunications or energy supply?
2.4
Within the last five (5) years, has a cartel been disclosed
in the line of business in which the company does business?
3.
Geographic extent of the business activities
3.1
Does the company carry out business activities outside
the EU?
3.2
Does the company carry out business activities in more
than 20 and less than 50 countries?
3.3
Does the company carry out business activities in more
than 50 countries?
3.4
Does the company carry out business activities in one
or more countries showing a critical compliance track
record (TI index, copy enclosed below X)?
4. Customers / Sales
4.1
Does the company generate more than 50% of its sales
from less than 10% of its customers?
4.2
Does the company’s business comprise high-volume
projects (exceeding volumes of EUR 100 million)?
4.3
Does the company carry out “turn key” projects?
4.4
Do the company’s customers include public authorities
(including privatized, formerly state-owned enterprises)?
4.5
Does the company use consultants in support of their sales?
4.6
Does the company use commercial agents?
4.7
Does the company grant discounts (except for quantity
discounts or cash discounts) or kickbacks?
4.8
Does the company receive discounts (except for quantity
discounts or cash discounts) or kickbacks?
No
Notes
RISK ANALYSIS
Do compliance risks exist?
Yes
5. Purchasing
5.1
Does the company maintain a central purchasing
department?
5.2
Does the central purchasing department cover more
than 90% of the acquisition value?
5.3
Do individual relationships to suppliers exist for more
than 5 consecutive years?
5.4
Do individual relationships to suppliers involve purchasing
volumes in excess of EUR 100 million per annum?
6. Payments
6.1
Does the company make cash payments to suppliers/
consultants/ commercial agents?
6.2
Does the company receive cash payments?
6.3
Does the company hold available substantial cash
reserves (exceeding EUR 50,000)?
7.
Compliance behavior in the past
7.1
In the past five years, have there been any compliance
violations / investigations / court sentences within
the company?
7.2
In the past five years, have there been any investigations
by public prosecution targeted at employees of the
company in conjunction with their job activities?
7.3
Are the employees involved in the compliance violations
still employed with the company?
8.
Staff
8.1
Are there employees working with the company whose
income depends on successful purchasing / sales
activities at more than 10%?
8.2
Within the past 10 years, have retired employees been
rehired as consultants or free-lancers?
No
Notes
COMPLIANCE ANALYSIS:
What are the compliance arrangements in place?
Yes
1.
Compliance organization
1.1
Does the company maintain an independent compliance
organization with central accountabilities?
1.2
Do compliance organizations exist in all of the company’s
lines of business / regions?
1.3
Does the compliance organization report directly to
the management / board of directors?
1.4
Is there a clear separation between the compliance
organization and the auditing division?
1.5
Does the company regularly carry out preventative
compliance audits?
1.6
Does the company operate a whistle blowing hotline?
1.7
Does an “amnesty rule” for employees exist?
2.
Compliance documentation
2.1
Does the company have a code of conduct?
2.2
Compliance guidelines
2.2.1 Does the company provide for compliance guidelines
for specific transactions / business activities?
2.2.2 Does the company provide for a guideline dealing with
the presentation / acceptance of gifts / entertainment etc.
towards and from third parties?
2.2.3 Does the company provide for a guideline dealing with
the use of sales-related consultants and agents?
2.2.4 Does the company provide for a purchasing guideline?
2.2.5 Does the company provide for a guideline on whether
and when granting discounts is admissible?
2.2.6 Does the company provide for a data protection guideline?
2.2.7 Does the company provide for a travel expenses guideline?
2.2.4 Does the company provide for a guideline dealing
with the keeping of (electronic) documents?
2.2.9 Does the company provide for a signature guideline
including control feature (e.g. “four-eyes principle”)?
2.3
Are the company’s code of conduct and compliance
guidelines routinely presented to newly-hired employees?
2.4
Are employees obliged to undertake compliance with
the code of conduct and the compliance guidelines?
2.5
Is there a control mechanism to check whether
employees in fact undertook compliance with the code
of conduct and the compliance guidelines?
2.6
Does the company impose sanctions on employees
who failed to undertake compliance with the code of
conduct and the compliance guidelines?
No
Notes
COMPLIANCE ANALYSIS
What are the compliance arrangements in place?
Yes
3.
Standardization of contractual relations
3.1
Do model contracts exist for use with suppliers /
consultants / agents?
3.2
Do the model contracts oblige the contract parties to
comply with national and international compliance
standards (e.g. US Foreign Corrupt Practices Act)?
3.3
Do the model contracts oblige the contract partners
to comply with the company’s code of conduct?
3.4
Does either the compliance organization or the legal
department monitor the use of the model contracts?
4.
Business Partner Screening
4.1
Does the company create due diligence questionnaires
in relation to contractual partners (consultants/agents/
suppliers/customers) before entering into business
relationships with them?
4.2
Do the company’s employees fill out these questionnaires?
4.3
Is this information verified by obtaining an external
credit report?
4.4
Does the company oblige its business partners to
comply with compliance standards?
4.5
Does the company control on a regular basis whether
the company’s business partners comply with the
compliance guidelines?
5. Compliance training
5.1
Does the company regularly hold general-interest
compliance training courses?
5.2
Does the company regularly hold customized compliance
training courses, e.g. for purchasing and sales?
5.3
Does the company offer compliance training courses
using e-learning?
5.4
Is attending the compliance training courses compulsory?
5.5
Is attending the compliance training courses enforced
vis-à-vis the employees?
5.6
Do employees have free access to the compliance
training material (e.g. on the Internet?)
6. Employees
6.1
Do employees in critical areas (e.g. sales and purchasing)
work in a “rotation system”?
6.2
Is there a mechanism in place to identify and specifically
address employees in critical areas (e.g. sales and purchasing)
once they fail to take their vacation over a longer period of time?
7. Crisis management
7.1
In the event of a suspected compliance violation, does
the company provide for specific procedures with
accountabilities and measures?
7.2
Are compliance violations sanctioned by measures
of labor law?
No
Notes
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Contact
DDr. Alexander Petsche
Tel.: +43 (0) 1 24 250 571
E-mail: alexander.petsche@bakermckenzie.com
Mag. Georg Krakow
Tel.: +43 (0) 1 24 250 563
E-mail: georg.krakow@bakermckenzie.com
Dr. Caroline Kindl
Tel.: +43 (0) 1 24 250 526
E-mail: caroline.kindl@bakermckenzie.com
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