ANNEX VI
POLICIES AND PROCEDURES OF THE APPLICANT
Point | Topic | Reference number |
1 | Training and development plan for analysts, employees and other persons directly involved in assessment activities | |
2 | Policies and procedures put in place to ensure: the continuity and regularity in the performance of assessment activities; the safeguarding of the confidentiality and security of records and documents on the services provided; sound administrative and accounting procedures; and the adequacy of information processing systems implemented to meet the obligations of an external reviewer. | |
3 | Policies and procedures outlining the internal control framework [In case of a large number of documents, these should be grouped according to the relevant areas of the internal control framework] | |
4 | Policies and procedures to ensure the internal control framework complies with the criteria referred to in Article 5(2) of Delegated Regulation (EU) 2025/2180 | |
5 | Whistleblower policy ensuring that the anonymity of whistleblowers is safeguarded and reprisals are prohibited | |
6 | Remuneration policy ensuring the independence of the employees subject to variable compensation arrangements | |
7 | Procedures and methodologies implemented to issue reviews | |
8 | Terms of reference of the governance bodies, including the board and, where established, its committees | |
9 | Last meeting minutes of the board | |
10 | Organisational chart, including the identification of reporting lines and job functions | |
11 | Conflict of interest policy | |
12 | Inventory of actual or potential conflicts of interest and proposed mitigation measures | |
13 | Information on how potential conflicts of interest situations, including transactions with related parties, employee personal account dealing, outside business activities and the acceptance of gifts and hospitality are reviewed and approved consistently | |
14 | Documents and information related to any existing or planned outsourcing arrangements for activities of the external reviewer covered by Regulation (EU) 2023/2631, including information on entities assuming outsourcing functions, and the evaluation of how the external reviewer ensures compliance with Article 33(1) of that Regulation |