The Governance and Compliance Handbook
Management · Nº 67
The Governance and Compliance Handbook
Rules, Controls, and Data Privacy in a Small Business
The rules live in your head. Then a big customer asks you to prove them.
24 tools to put written rules, internal controls, and a reporting channel in place in a small business, with one distributor worked through start to finish and a spreadsheet already filled in.
You get 24 tools to map what the company must comply with, set approval limits, separate duties, vet suppliers, track every license and certificate, and handle reports. Plus a 7-tab spreadsheet and a Template kit with 14 ready-made texts.
A book explains the method. This handbook puts it to work: the tool, a worked example, and a spreadsheet with your numbers.
One-time payment of $29.00. The order form shows the final amount, with any taxes for your country, before you pay.
Digital delivery: PDF handbook, spreadsheet and access on the Consylion platform.
14-day money-back guarantee: if it isn't what you expected, request a full refund within 14 days of purchase.
Your order is processed by Digistore24, our authorized reseller. By purchasing, you accept the terms of use and purchase · refund policy.
A big customer asks for your code of conduct and a list of certificates. You don't have the first, and you're not sure about the second. Nobody knows exactly when each license expires. The same person registers suppliers and enters payments. Salespeople set discounts on their own. It all works fine until a certificate expires two days before a bid opening, and checking it was nobody's job.
THE SPREADSHEET
Compliance program spreadsheet
Use the completed example as a reference and enter your business data in the marked fields. Check the instructions and the calculations before you make a decision.
SOUND FAMILIAR?
Three situations this handbook solves
A customer asks for your certificates
You open the calendar instead of the filing cabinet. Every license and certificate has an owner, an expiration date, and alerts at 90, 60, and 30 days, plus a check three days before each bid opening.
A supplier invites you to a resort
A conference with lodging and airfare, one week before the price negotiation. The gifts tool gives you a value limit, a log, and a polite way to decline. You can still go, with the company paying for the trip.
A report comes in through the channel
You follow the investigation script: evidence, interviews, a record, and a conclusion within 30 days. You reply to the person who reported, and the same disciplinary standard applies to everyone, no matter how long they've been there.
INSIDE
What you'll find in each tool
Five parts, in order. Take a snapshot: a 12-question diagnostic, the obligations map, and the risk matrix. Write rules people actually read. Set internal controls for purchases, discounts, and payments. Vet third parties and keep licenses and personal data under control. Then a reporting channel, consistent discipline, an advisory board, and eight metrics. Where local rules matter, it says what to check with your lawyer.
WHAT YOU GET
Everything included in your purchase
- The Governance and Compliance Handbook in PDF: 24 tools, each with a step by step, an example from the same company, and an exercise
- The Compliance program spreadsheet in Excel and Google Sheets, with a How to use tab and 6 working tabs, filled in with the example company
- The Template kit: 14 ready-made texts, from the code of conduct outline and the approval limits table to the reporting channel notice and the investigation script
- 2 worksheets to fill in (obligations map and report investigation) and a 30-day plan, one week per stage
- Access to your handbook on the Consylion platform
Full table of contents
The 24 tools, in the order you'll use them
Part 1 · Part 1 · The company snapshot
- 01A 12-question diagnosticTwelve questions that show where the company stands, with a score from 0 to 36
- 02The obligations mapEvery law, license, and certificate in one list, each with an owner and a deadline
- 03The compliance risk matrixRank the rules most likely to cause trouble by likelihood and impact
- 04Who decides whatPartners, board, management, technical lead, and compliance, each in its own role
Part 2 · Part 2 · The written rules
- 05A four-page code of conductHouse rules short enough that everyone reads, understands, and signs them
- 06Declaring conflicts of interestAn annual declaration, and what to do when a relative becomes a supplier
- 07Gifts, invitations, and hospitalityA value limit, a log, and what never to accept or offer
- 08Dealing with the governmentTenders, inspections, and public customers, with rules for contact and records
- 09Training and sign-off on the rules45 minutes per group, a 10-question test, and an annual refresher
Part 3 · Part 3 · Internal controls
- 10Approval limitsWho approves each purchase, discount, and payment, and up to what amount
- 11Segregation of dutiesWhoever buys doesn't pay, and whoever sells doesn't record the payment
- 12The monthly key controlsTen monthly checks, each with an owner, a deadline, and proof on file
- 13Traceability and recordsLot numbers, expiration dates, and temperatures ready to show the inspector
Part 4 · Part 4 · Third parties, licenses, and data
- 14Third-party due diligenceSuppliers, carriers, and sales reps vetted before you sign
- 15Integrity clauses in contractsFive clauses that spell out what you expect from a business partner
- 16A calendar for licenses and certificatesAlerts at 90, 60, and 30 days, so nothing expires by surprise
- 17Personal data and privacyWho answers for the data, a one-page inventory, and how to handle requests
- 18Document retention and disposalHow long to keep each document and how to dispose of it on the record
Part 5 · Part 5 · Reporting, investigation, and oversight
- 19Reporting channelA safe way to report what's wrong, with confidentiality and a response deadline
- 20Internal investigationFrom report to conclusion within 30 days, with evidence, interviews, and records
- 21Consistent disciplinary actionOne standard for everyone, from coaching to dismissal
- 22Advisory boardTwo outsiders, four meetings a year, and a fixed agenda
- 23Program metricsEight numbers that show whether the rules actually work
- 24Annual program reviewRetake the diagnostic, add up the program's cost, and set the year's priorities
Who it's for
It's for you if
- Your company grew, and the rules are still in the partners' heads
- You sell, or want to sell, to hospitals, large companies, or the government, and they're asking for a code of conduct and certificates
- You work in an industry with licenses, inspections, and a technical lead to manage
- The same person buys and pays, and you know that's a problem
- You want an outside view of the numbers without the governance of a publicly traded company
It's not for you if
- You need a partners' agreement, owner's pay rules, or a partner's exit. See The Business Partners Handbook
- You want to standardize how each task is done, with SOPs and checklists. That's The Process Handbook
- You're preparing the company for a crisis. See The Risk and Crisis Handbook
- You need a full data protection and information security rollout. That calls for dedicated work with your lawyer
- You need legal advice on a specific case. The handbook tells you when to call your lawyer, accountant, or technical lead
Frequently asked questions
Is my company too small for compliance?
No. The program grows with the company. For a five-person business, it can be the obligations map, one page of rules, and a calendar. The handbook tells you where to start and what can wait.
Do I need to hire a compliance officer?
Not at first. One trusted person with a few hours a week and access to the partners can run the program. What you can't do is leave it without an owner.
Will this keep the company out of trouble?
No program can promise that. It lowers the chance of a problem and helps you show that you follow the rules. How much that counts if a penalty comes depends on the country, so the handbook flags what to confirm with your lawyer.
What about data privacy?
The handbook treats data privacy as part of governance: who answers for the data, a one-page inventory, and how to handle requests from the people the data is about. It tells you what to check with your lawyer for the rules where you operate.
Won't an anonymous channel turn into a gossip line?
Some reports won't hold up, and that's normal. A methodical investigation separates what has proof from what doesn't, and replying to the person who reported keeps their trust in the channel.
Won't an advisory board take away my power to decide?
No. The board advises; the partners decide. Two outsiders, four meetings a year, and a fixed agenda give you an outside view of the numbers without giving up control.
What do I get, and in what formats?
Each handbook is a PDF of about 100 pages with 24 to 27 tools. Every tool has step-by-step instructions and a worked example. You also get the handbook's spreadsheet in Excel (.xlsx), which opens in Google Sheets too, with the example already filled in. The message, policy, and clause templates are in the Template Kit inside the PDF, ready to copy and adapt. Read it in the member area or download the files.
How do I know if it fits my business?
Each handbook's page shows the problem it solves, who it is for and who it is not for, the full table of contents, sample pages, and the company used in the examples. The examples come from small businesses in several industries, with illustrative numbers. If it is not a fit, you can ask for a full refund within 14 days of your purchase, as described in the Refund Policy.
What is the difference between a handbook, an area set, and the Series?
A handbook solves one problem. An area set brings together every handbook and spreadsheet in one of the 6 areas, for less than the price of 5 single handbooks. The Consylion Handbook Series brings together all 100 handbooks and 100 spreadsheets, for less than the price of 8 single handbooks, and includes the next handbooks in the Series. Products outside the Series, from Consylion Life or Consylion Business, have their own price. They are sold separately and are not part of an area set or the Series.
Do I need to read everything before I start?
No. Each tool works on its own. Open the table of contents, pick the tool for today's problem, and start there. You can also read it cover to cover.
Do I need to know Excel?
The basics are enough: open the file and fill in the marked fields. The formulas are already built, and the handbook's example is filled in for reference.
How do I pay, and when do I get access?
By card or bank transfer, as a one-time payment with no subscription. Once your payment is confirmed, you get access to the member area by email. Approved card payments are confirmed right away. Bank transfers are confirmed when the funds clear. If access does not arrive within 24 hours of confirmation, check your spam folder and write to team@consylion.org.
How long do I have access, and how can I use the files?
Access does not expire, and you can download the files for offline use. The license is individual. You may read the handbooks, print them for your own use, and fill in and adapt the spreadsheet and templates with your company's data. If you are a consultant, accountant, or manager, you may apply the tools with your clients and deliver the result of your work, not the files. You may not share, resell, or distribute the files or the access.
How do support and refunds work?
Support is by email at team@consylion.org, on business days, with a reply within 5 business days. It covers questions about access, files, and payment. It does not include consulting or advice on applying the material to your case. You can cancel within 14 days of your purchase, without giving a reason, and get the full amount back through the payment method you used. Send the request to the same email. The details are in the Refund Policy.
CONSYLION HANDBOOK SERIES
The 6 departments of your business, for less than the price of 8 single handbooks.
This handbook solves today's problem. The Series solves the next one, and the one after that, with nothing more to pay.
- 100 handbooks with 2,403 ready-made tools, to read on screen and download as PDFs
- 100 spreadsheets for Excel and Google Sheets
- 6 business areas
- Lifetime access, unlocked once payment is confirmed
One-time payment of $197.00. The order form shows the final amount, with any taxes for your country, before you pay.
Digital delivery: PDF handbook, spreadsheet and access on the Consylion platform.
14-day money-back guarantee: if it isn't what you expected, request a full refund within 14 days of purchase.
Your order is processed by Digistore24, our authorized reseller. By purchasing, you accept the terms of use and purchase · refund policy.
Management · Nº 67
Follow the rules, and be able to prove it
Your company probably follows the rules. The trouble starts the day someone asks you to prove it. This handbook gives you the map, the controls, the templates, and the spreadsheet to know what you must comply with, who owns each item, and what's due next. The judgment calls stay with you and your lawyer.
See all 100 handbooks · $197.00
One-time payment of $29.00. The order form shows the final amount, with any taxes for your country, before you pay.
Digital delivery: PDF handbook, spreadsheet and access on the Consylion platform.
14-day money-back guarantee: if it isn't what you expected, request a full refund within 14 days of purchase.
Your order is processed by Digistore24, our authorized reseller. By purchasing, you accept the terms of use and purchase · refund policy.