Instructions
Per Company Role
Stay calm! Do not behave aggressively!
Make COPIES!
Your employees must make at least one (additional) copy of every document (original or copy) and every electronic file which the officials want to take with them. All copies must be filed in separate folders and the data storage media with the electronic copies must be labeled in a way which will enable you to allocate the documents exactly at a later stage.
Do not leave the officials unattended!
Ensure that each official is constantly accompanied by an employee of your company (In-house Compliance Team).
The respective member of the Inhouse Compliance Team has to record:
- What is being searched for?
- What questions are asked?
If possible, answer questions only in presence of a lawyer!
Ensure that you and your employees – as far as possible – do not make any statement without advice from the legal department or the external lawyer. If you or your employees are questioned about the subject matter, politely ask the officials to wait until a lawyer arrives.
Take Notes!
Take careful notes of the course of the inspection, in particular:
- Where do the officials search?
- What do the officials ask?
- What do the employees answer (employees should – if possible – only provide answers in the presence of a lawyer)?
- Which documents are asked/provided/inspected and copied?
- Which search criteria are used by the officials to search the IT system?
- What is being seized?
- Record any points of dispute with the officials.
The records must not contain any personal comments!
In the event of any doubt, please contact the legal department or the external lawyer!
Find out which authority is investigating - use the right guidelines!
Rights and obligations of companies and individuals may differ depending on which authority is responsible the investigation. Therefore, there are two distinct guidelines for:
- investigations by the European Commission
- investigations by national authorities
At the end of the inspection, draw up an internal report, including at least the elements listed in Take Notes above.
Compliance / Legal
1. Inform the legal department and the external lawyer. The legal department shall inform all relevant managers of the group.
2. Instruct your secretary to send to all employees the pre-prepared email to inform them about the investigation.
3. Alert the Inhouse Compliance Team which has been selected and trained for this purpose. The members of this team shall report to your office as soon as possible. Each team member shall carry: (a) a mobile phone, (b) this checklist and (c) the two guidelines for inspections by the European Commission and the national authorities.
4. Alert the IT department.
5. Check whether there is an indication that there are also inspections at employees' private premises and, if yes, send an external lawyer.
6. Ask your secretary to ensure that he/she does not leave his or her desk and that the management is available by phone.
7. Take your mobile phone with you at all times.
8. Meet the officials together with the Inhouse Compliance Team and at least one internal IT specialist.
1. Ask the officials and write down the answers:
- Who is leading the inspection?
- Which authority is responsible for the inspection (name of the investigating authority)?
- What is the purpose of the visit?
2. Ask to see the search warrants or similar documents. Immediately email / fax copies of these documents marked “URGENT – authority inspection – please forward immediately” to the legal department and the external lawyer.
3. Ask the officials for their credentials and write down their names.
4. Ask the officials politely to wait until an external lawyer arrives. Note: The officials do not have to wait!
5. Inform the officials that a room is available for them as a coordination point. Ask the officials to make copies only in the photocopying room intended for this purpose and not in individual offices.
6. Ensure that two employees are available in the central photocopying room to make copies.
7. Inform the officials that each official will be constantly accompanied by an employee of the company. Inform the officials that your company’s IT specialists will accompany the authority’s IT specialists. Allocate these persons accordingly.
Reception
1. Remain friendly and calm under all circumstances. The officials are not investigating you personally.
2. Ask the officials:
- Which authority do you represent (public prosecutor's office, European Commission, competition authorities, customs, tax authorities or similar)?
- What is the purpose of the visit?
- How many officials are carrying out the investigation?
- Record the answers.
3. Inform the officials that the responsible employees of the company will arrive shortly.
4. Ask the officials to wait in the reception area until the management has been informed and the responsible employees arrive.
5. Inform the management and the legal department and let them know:
- The name of the investigating authority
- The purpose of the visit
- How many officials are carrying out the investigation.
6. Please inform ONLY the management and the legal department.
7. If the officials insist on being taken to certain departments immediately call an employee who will accompany the officials. Inform the management and the legal department immediately of the whereabouts of the officials.
8. Remain in the reception area even once the officials have left this area.