Purpose
Ensure personnel support authorized compliance reviews, audits and regulatory inquiries with complete, accurate, timely and protected information.
Steps
| # | Action | Details | Evidence |
|---|---|---|---|
| 1 | Confirm the request | Confirm the request, authority, scope, owner, due date and confidentiality requirements; regulators, auditors, and internal teams regularly review how Bitkaya operates. | Request confirmation record |
| 2 | Assign responsible personnel and preserve records | Assign responsible personnel and preserve relevant records. | Assignment and preservation record |
| 3 | Collect responsive information | Collect responsive information without alteration, concealment or unauthorized deletion; attempts to withhold, alter, or falsify information will be treated as serious misconduct. | Information collection record |
| 4 | Validate completeness and accuracy | Validate completeness and accuracy and identify limitations, assumptions or unavailable records. | Validation record |
| 5 | Route external communications | Route external regulatory communications through Compliance and authorized management. | Communication routing record |
| 6 | Provide approved responses | Provide approved responses and maintain an auditable record of submissions, interviews and follow-up; these reviews help the company stay compliant, improve processes, and strengthen trust. | Response and submission record |
| 7 | Escalate obstruction or misconduct | Escalate obstruction, delay, inaccurate information or suspected misconduct. | Escalation record |
| 8 | Track findings and corrective actions | Track findings and corrective actions to verified closure. | Remediation tracking record |
Exceptions and Escalation
Personnel shall not provide unauthorized, misleading or incomplete responses. Legal privilege, privacy or confidentiality concerns shall be escalated rather than used to obstruct an authorized review.
Records
- Request and authority record
- Evidence-preservation notice
- Response package and approvals
- Submission, interview and follow-up evidence
- Findings and remediation tracking
Relationships
- Policy: POL-EMP-001 Employee Handbook
- Process: PRC-RSA-001 Resilience Systems and Assurance
- Control: CTRL-EMP-006 Ensure Employees Cooperate With Reviews and Audits
Assurance
Runtime effectiveness results are maintained in Odoo and assessed through the Hermes workflow tracked in ISS-HERMES-001. This note defines design, ownership, evidence expectations and testing method; it does not contain a manually maintained operation, evidence or overall effectiveness rating.
- Frequency: event-driven
History
- 2026-07-26: Created from sections 2, 4 and 7 of the approved Employee Handbook.