An annual monitoring plan

1. Regulatory Concept & Core Standards

This video's topic is an annual monitoring plan. By the end, you should be able to prepare a risk-based monitoring schedule. We will connect the information available, the criterion guiding the decision and the action that must be recorded. Follow the case and compare your answer with the proposed response. Separate case handling from general corruption-prevention governance. Regulation 630 imposes specific public-institution duties. The example annual plan is a management method; Portuguese RGPC timetables and roles are not automatically imported.

Annual planning helps manage significant risks, tests and legal changes. It is not one mandatory form for everyone. Regulation 630 addressees have specific monitoring and review at least every three years. A particular external return is not the entire internal-control system.

Apply the following rule: Section 7(2) requires acknowledgement and a preliminary recognition decision promptly and no later than seven days after receipt. Notify the decision within three days after making it. Provide progress information within two months after recognition as a whistleblower report and outcome information after examination. Private entities apply section 7 paragraphs 2,5,7 and 8; public-body exceptions must not automatically be imported.

2. Practical Implementation & Procedure

Select and justify processes, owners, dates and evidence. Include extraordinary review after important events. When an external duty changes, check its addressee while maintaining needed internal oversight. Before moving on, turn this procedure into a sequence you could explain to a colleague. Identify the first check, the action that depends on its outcome and the record that allows the decision to be reconstructed. Follow the sequence on screen and identify the point where an error would change the result.

3. Case Study & Compliance Action

An external format changes. The team updates reporting but continues channel-access and timing checks because the risks remain. Now read the case carefully. Separate established facts from information you would still need to confirm. Do not add motives or events that have not been described. This distinction matters when choosing a response proportionate to the information available.

The exercise is as follows: Does a changed external form end internal monitoring needs? Choose an answer and write one sentence explaining it. During the pause, compare your choice with the criteria we have just considered. Also think about the material you would retain to explain the decision later.

No. Purposes and bases differ. The plan must still check material measures and reflect actual Latvian duties.

One mistake to avoid is: assuming removal of a form ends all monitoring.

Now apply the national rule to a second decision. The platform counts 90 days from opening. Does this meet Latvian requirements?

No. Separately record receipt, recognition decision and notification. Acknowledgement and initial decision are due within seven days after receipt; notify the decision within three days after making it. Progress information is due within two months after recognition. Apply section 7(1)’s distinction between public and private organisations.