Write the question before collecting documents
Begin with a specific question: which company are we dealing with, who is authorised to represent it, or what activity does a document appear to cover? Give each claim a separate row. Record the company or asset concerned, the source, the date received and the check you intend to perform. Receiving a document is an event in the log; it is not the same as confirming its authenticity or scope.
Record how a check was made
Where confirmation from an issuer is appropriate, find the organisation’s contact route independently rather than relying only on the details printed on the supplied document. Record the question, the response, the date and any reference that allows a colleague to follow up. A response may confirm a limited fact while leaving other questions open. Use clear labels such as ‘claim received’, ‘confirmed within this scope’, ‘inconsistent’ and ‘not established’. Avoid reducing a complex review to a green tick.
Explain limits and next actions
An observation at a site describes what was seen at a particular time. It does not by itself prove ownership, reserves, technical performance or the right to export. Give each unresolved issue an owner and an appropriate next check. Keep confidential evidence in a controlled file rather than a public classroom discussion. If a transaction has already gone wrong, organise the chronology and consult appropriate banks, authorities or qualified advisers. A promise to recover money is not evidence that recovery is possible.
In a fictional supplier review, three documents use two company names. The seller says it is an old trading name and asks the buyer to pay today.
Use these prompts.
Work through a fictional example first. Keep confidential information out of shared learning discussions.
- 1. Claim and exact question being checked
- 2. Source, document date and date received
- 3. Independent source or issuer contact route
- 4. Check performed and date
- 5. Finding, scope and remaining limitations
- 6. Next action, responsible person and review date
Reading & context
The explanations and worksheet are original Capital Africa material. Consult the following sources for their own guidance and current context.
- OECD: Responsible business conduct due diligence ↗
- FTC: Refund and recovery scams (US consumer guidance) ↗
Educational material. It does not replace legal, financial, tax or engineering advice, laboratory testing, or current guidance from relevant authorities. The scenario is fictional.