Traceability and compliance
Responding to a formal request
A court, an inspectorate or a lawyer requests documents with a deadline. What you hand over and what you do not.
A notice arrives requesting documentation about a period or a specific relationship, usually with a short deadline. The habitual reaction — searching in a rush and sending everything that turns up — is what creates the problems that follow.
The three expensive mistakes
| Mistake | Why it costs |
|---|---|
| Handing over too much | You put information nobody asked for into the proceedings |
| Handing over too little without saying so | An unexplained omission interprets itself |
| Handing over without recording what you handed over | Months later you will not know what left here |
Important
The third is the most underestimated. Without an exact record of which files were produced and on what date, you cannot rebut a later claim about what you supplied — nor show you met the deadline.
How to respond in an orderly way
- 1
Define what is being asked, in writing
Period, people, document type. If it is ambiguous, ask before searching.
- 2
Search by identifier, not by date
A tax ID, case number or registration finds what a date hides.
- 3
Assemble it as its own file
The response file, separate from the original, with an index.
- 4
And record what was produced and when
With the exact list. That record matters as much as the documents.
Watch out
If what is requested contains third-party personal data outside the scope, do not simply include it: take advice first. Complying with a request does not lift your obligation to protect the data of people who are not party to it.
What helps a great deal when it happens
Worth knowing
Preparing this calmly costs very little and is only appreciated under pressure. If you know a matter could end in a formal request, complete the file now: searching against a deadline is what causes over-disclosure.
›Can it be produced electronically?
Usually accepted and it makes recording easier; follow what the notice says.
›What if we cannot find something that existed?
Explain it, with what you do have. An explained gap is not the same as silence.
›Can I delete anything while a request is live?
No. From that moment retention stops being your decision.
A real case
The situation
A company receives a request covering two years of dealings with a supplier.
What you do
- Searches by the supplier's tax ID and builds an indexed response file
- Records the exact list produced and the date
What you get
Meets the deadline without disclosing anything outside scope and keeps proof of what left.
The situation
A formal request arrives with a short deadline.
What you do
- Checks what exists before answering
What you get
The response is prepared knowing what you have.
The situation
Too much is handed over just in case.
What you do
- Selects what matches what was asked
What you get
No unnecessary information is provided.
The situation
There is no record of what was handed over.
What you do
- Records the bundle and its date
What you get
The handover is demonstrable afterwards.
The situation
A document is missing and no search is on record.
What you do
- Documents the search and its outcome
What you get
A proven absence has value.
The situation
Each department submits their own part separately.
What you do
- Centralises the response in one file
What you get
A coherent set is handed over.
This article answers
- served with a document request
- responding to an inspection deadline
- what to hand over in a formal request
- producing documents for proceedings