Expertise
“If you think compliance is expensive – try non-compliance.”
Former U.S. Deputy Attorney General Paul McNulty
- Development, implementation and optimization of compliance management systems (CMS)
- Preparation of companies for upcoming compliance certifications (readiness check)
- Support for companies in supplier qualification (answering questionnaires and self-assessments (SAQ))
- Development of a documentation concept
- Advice on the preparation and implementation of the risk analysis
- Identification, assessment and weighting of risks and potential violations
- Support with prioritization
- Definition of preventive and remedial measures
- Support in the development of an action plan („CAP-Corrective Action Plan”)
- Support in the implementation and enforcement of preventive and remedial measures
- Gap analysis
- Analysis and evaluation of existing systems with regard to the implementation of legal requirements for the whistleblower system (e.g. Whistleblower Protection Act (HinSchG), Supply Chain Due Diligence Act (LkSG))
- Support in the selection and implementation of a whistleblower system
- Selection of the appropriate system, taking into account the business challenges and resources
- Effectiveness test of the whistleblower system (e.g. in accordance with Section 8 (5) LkSG)
- Rules of procedure
- Definition of the individual procedural stages from receipt of the notification to the possible sanctioning of a violation and the time frames provided for this
- Receipt and processing of reports
- Taking over some or all of the procedural stages of the whistleblower system, including receiving and investigating whistleblowing reports and making recommendations to management for the purpose of closing the report
- Ombudsperson and officer for complaints and offences
- Contact person for receiving compliance violations
- Examination and evaluation of incoming reports (plausibility)
- Identification of investigation measures
- Proposals for the adoption of follow-up measures
- Tone from the Top
- Promoting the role model character of management in order to credibly anchor a sustainable and positive compliance culture
- Code of Conduct
- Draft code of conduct for the company
- Draft supplier code of conduct
- Communication and training measures
- Communication measures
- Defining the objectives and target groups for strategic compliance communication
- Anchoring compliance values in the corporate culture using simple, uniform and catchy language
- Speak-up
- Encouraging employees to openly address misconduct
- Training
- Selection and creation of suitable materials for e‑learning, online and/or classroom training
- Advice on the selection and introduction of IT-supported compliance tools
- Tools for business partner due diligence
- Tools for risk analysis
- Corruption, money laundering, sanctions
- Media screening
- Human rights
- Environmental risks
- Whistleblower systems
- Preparation of companies for ESG/compliance due diligence
- Conducting ESG/compliance due diligence with recommendations for the subsequent transaction or for the integration of the target company with the buyer
- Support for measures to restore integrity
- Assuming compliance functions on a temporary basis on site or remotely
- Ombudsperson
- Reporting office officer
- Human rights officer (support and assistance)
- Internal investigations into compliance violations by employees or business partners
- Integrity check of employees and business partners
- Determination of liability risks
- Implementation of internal compliance audits
- Advising employees in witness interviews for internal investigations
“Where do universal human rights begin? In small places, close to home – so close and so small that they cannot be seen on any maps of the world.”
Eleanor Roosevelt
- Integration of the requirements of the Supply Chain Due Diligence Act into an existing compliance management system
- Determining the need to adapt existing risk or compliance management systems
- Design and adaptation of required ESG processes and company guidelines
- Advice on defining responsibilities within the company (organization chart, allocation and description of roles)
- Advice on documentation obligations and creation of company-specific documentation concepts and guidelines
- Design, implementation and optimization
- Effectiveness tests
- Selection or development of risk assessment processes tailored to specific business needs
- Identification of adverse human rights impacts
- Prioritisation of risks
- Definition of risk mitigation measures
- Implementation of risk mitigation measures
- Support in the development, implementation and monitoring of the company-specific ESG strategy (in particular environmental, sustainability and human rights strategy)
- Adaptation of existing information channels to the requirements of the Supply Chain Due Diligence Act
- Definition of the individual procedural stages from receipt of the notification to the possible sanctioning of a violation and the time frames provided for this
- Further advisory services can be found under Compliance, Whistleblower system >
- Identification and selection of relevant stakeholders
- Support for the meaningful involvement of stakeholders
- Support in drafting and consolidating report content, in particular in accordance with the CSRD Implementation Act, the Supply Chain Due Diligence Act and the EU Taxonomy
- Advice on the applicability of ESG regulations to companies
- Advice on individual ESG regulations (in particular the Deforestation Regulation (EUDR), Forced Labor Regulation (EUFLR), Battery Regulation, Taxonomy Regulation)
- Advice on LkSG procedures at BAFA
- Advice on prosecutorial investigations into alleged human rights violations
“Winning a lawsuit is not the goal, minimizing risks and maximizing profits is the goal.”
Edward A. Dauer
- Drafting and negotiation of single and multi-tier dispute resolution clauses (also in the context of general terms and conditions)
- Jurisdiction agreements
- Choice of the (arbitration) institution administering the proceedings
- Language of proceedings and applicable law
- Advice on all judicial and extrajudicial dispute resolution procedures (ADR)
- Determining the procedural interests in a specific case of conflict
- Determination of the most suitable conflict resolution procedure for the case at hand
- Drafting and negotiation of dispute resolution agreements (e.g. arbitration agreement, mediation agreement)
- Creation of decision trees and lines of reasoning
- Determination of the probabilities of occurrence
- Determination of the accounting treatment of claims (risk provision and opportunity bookings)
- Determination of process costs (administration, transaction and opportunity costs)
- Holistic view of the conflict as a „business case”
- Representation before state courts in follow-on disputes to defend against or assert claims based on compliance violations
- Representation before state courts in corporate law disputes
- Conducting arbitration proceedings as counsel
- Advice on mediation (areas of application, procedure)
- Advice, drafting and negotiation of agreements in connection with mediations
- Selection of suitable mediators
- Representation of parties in mediation proceedings
- Commercial mediations
- Construction, infrastructure and real estate conflicts
- Conflicts in the project business
- Conflicts in connection with transactions (M&A)
- Corporate law disputes
- Contractual disputes
- Inheritance disputes
- Arbitration and acting as arbitrator
- Construction, infrastructure and real estate conflicts
- Conflicts in the project business, in the infrastructure sector and in plant construction
- Contractual disputes
“Winning a lawsuit is not the goal, minimizing risks and maximizing profits is the goal.”
Edward A. Dauer
- Advising management boards on their supervisory, organizational, and control obligations under corporate law
- Advice on public law supervisory, organizational and monitoring obligations (in particular German Supply Chain Due Diligence and Adminstrative Offenses Act)
- Advising supervisory boards on their duties to monitor the management board
- Assessing, securing and enforcement of claims for damages against management board members
- Defense against claims for damages
- Advice on the conclusion and scope of coverage of D&O policies
- Negotiations with D&O insurers regarding coverage of claims for damages
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