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 organise a timetable combining obligations and checks based on risk. 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. Governance connects risk owners, controls and evidence. Entities subject to an integrity plan follow ZIntPK and current KPK guidelines defining the head, integrity officer and other participants’ roles. Recommended models for others are not automatically statutory duties.

An annual plan connects applicable obligations, risks and resources. It may include control reviews, training, cover and channel operation checks. Internal frequency serves management needs. Statutory deadlines must be identified separately. Gathering evidence throughout the year avoids concentrating all work on preparing a report.

Apply the following rule: Under article 11, the trusted person examines an internal report within seven days of receipt and acknowledges acceptance or explains why it will not be handled. Anonymous reporting requires a specified reply route for these communications. Article 12 requires a report within three months of receipt. Inform the reporting person at closure and no later than three months after receipt; where procedures to remedy breaches continue, explain status and measures. Opening the message is not the trigger. External reporting has separate provisions in articles 15 and 16.

2. Practical Implementation & Procedure

List applicable national obligations separately from internal preparation dates. Allow time for collection, validation and decisions. Include higher-risk checks and actions arising from earlier cases. Identify the source, owner and evidence for each task. Legislative changes should trigger review of tasks and training content. 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

All checks are scheduled for quarter-end when a key person is absent. The team moves work earlier and assigns cover. 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: Is one common date an adequate plan? 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. Check dependencies and capacity, define intermediate evidence and preserve mandatory deadlines.

One mistake to avoid is: copying last year's timetable without reviewing regulatory changes and risk priorities.

Now apply the national rule to a second decision. The platform counts three months from opening the message in every country. Is this correct?

No. In Slovenia an internal report is examined and accepted, or non-handling explained, within seven days of receipt. The article 12 report and communication have a three-month period from receipt, with status information where remedial procedures continue. Opening the message is not the trigger.