Audit

An audit is the examination (in terms of compliance) of existing regulations and processes.

Audit at Doctra

General legal requirements

ECU applications, like many other business applications, are subject to a broad range of requirements. Examples of this are GoBD, the Data Protection Act(s) and the Works Constitution Act. These must be observed when introducing and operating such a data processing application.

It is advisable to monitor compliance with the relevant procedural regulations in the scope of regular audits, and to also document the audit. In the event of a complaint, it can thus be proven that the entrepreneurial duty of care has been taken into account.

Specific regulatory requirements

In many regulations audits  are explicitly required - for example, the GoBD formulates the requirement for an event-related audit within the framework of an internal control system (ICS).

Since the Sarbanes-Oxley Act (SOX) 2002, compliance requirements and scenarios have been on everyone's agenda. There is often a notion that this only affects companies listed in the USA. However, it is easily forgotten that the German Commercial Code (HGB), the German Fiscal Code (Abgabenordnung) or the German Value Added Tax Act (Umsatzsteuergesetz) and other regulations have been creating demands regarding the handling of business documents for many years.

A multitude of other regulations exist that concern the handling of documents and data - from the Product Liability Act to industry-specific special regulations (e.g. pharmaceuticals, health, banks, food, aviation,...), and also rather unexpected regulations and laws such as the X-ray Ordinance can suddenly become relevant for the archiving of data and documents.

Process documentation

The basis of each audit is the complete and comprehensible documentation of the data processing system and the associated processes.

We will gladly support you in the creation your individual process documentation.

München
(Headquarters)

Doctra GmbH
Bretonischer Ring 18
D-85630 Grasbrunn
T +49 89 95 44 119 20
F +49 89 95 44 119 49

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Frankfurt
(Branch Office)

Doctra GmbH
Rheinstraße 29
D-60325 Frankfurt am Main
T +49 89 95 44 119 40


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Vienna
(Branch Office)

Doctra Austria GmbH
Lassallestraße 7B
A-1020 Wien
T +43 660 4877849


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