Compliance and Risk Review

In public procurement and contract processes, even the smallest overlooked deficiency can lead to significant consequences. An incorrect date, missing document, unauthorised signature, inappropriate qualification requirement or late notification may result in the tender being excluded from evaluation, delays to the work, payment problems or loss of rights.

Kılıç Kurumsal Danışmanlık A.Ş. (Kılıç Kurumsal) reviews the tender and contract procedures of companies and institutions from a compliance and risk perspective. Our aim is to identify priority risks, explain matters that can be corrected and provide decision-makers with a clear roadmap.

A. What Is a Compliance and Risk Review?

A compliance review is an assessment of whether the procedures carried out comply with the legislation in force, tender documents, contractual provisions and the internal authority structure of the company or institution.

A risk review is the advance identification of matters that could lead to the loss of a tender, delay, additional costs, penalties, payment difficulties or loss of corporate reputation, even if no issue has yet arisen.

At the end of the compliance and risk review, the matters identified are prioritised. It is clearly shown which procedure must be corrected immediately, which matter must be monitored and which document must be completed.

B. Who Should Undergo a Compliance and Risk Review?

1. Companies Participating in Tenders

The qualification, security, signature, cost, electronic records and tender documents of companies submitting tenders for goods, services or works are assessed in terms of risk, together with their tax and Social Security Institution (SGK) debt and debarment status. The aim is to identify deficiencies that can be remedied before tender submission.

2. Public Authorities and Municipal Companies

It is suitable for contracting authorities seeking to strengthen tender preparation, allocation of responsibilities, document management, contract implementation and audit trails. The review is conducted according to the type of procurement and the institution's authority and approval structure.

This type of professional review is important, depending on the type and characteristics of the procurement, in relation to establishing tender and inspection and acceptance committees, obtaining the official documents required before the tender, and identifying qualification requirements that must not be included in the contract notice and tender documents.

3. Tender Units and Bid Teams

The allocation of responsibilities and approval structure among the tender unit, bid preparation team, technical units, finance department and management are assessed. It is clarified who will prepare each document, who will review it and who will approve it.

Before participating in a tender, the tender conditions, previous tenders and the contracting authority's payment status are analysed. The necessary strategies are determined. The decision to submit a tender is presented to management.

4. Contractors Entering into Contracts

Site handover, work programmes, delivery conditions, correspondence, progress payments, price adjustments, time extensions, penalties, and inspection and acceptance procedures are reviewed. Financial and administrative risks that may arise during contract implementation are identified in advance. Solutions applied in previous similar cases and an analysis of the circumstances under the legislation are provided.

5. International Tenders, NATO and Defence Procurement

For overseas tenders and NATO, defence and security procurement, the required security documents, qualification requirements, confidentiality, technical compliance, supply chain and special contract conditions are reviewed. Each engagement is prepared separately in accordance with the rules of the relevant procurement system.

6. Those Requesting a Specialised Expert Assessment

It is suitable for institutions and companies seeking an independent assessment of a particular file, procedure, calculation or decision. The subject, basis and limits of the review are determined at the outset. The specialised expert opinion prepared may be used as an assessment criterion by the relevant institutions and organisations.

C. When Can a Review Be Conducted?

1. Before Tender Preparation

The definition of the requirement, procurement method, technical conditions, qualification criteria, estimated contract value or market research, and tender timetable are reviewed. The aim is to identify at an early stage errors that would be difficult to correct later.

2. Before Tender Submission

The contract notice and documents are compared with the company's qualification status. Missing documents, deadlines, signatures, security, costs, debarment, tax and social security debt, insurance and electronic transaction risks are identified before the tender is submitted.

3. During the Evaluation of Tenders

For the public authority, the evaluation arrangements are reviewed; for the company, the requested explanations, document completion procedures and notification periods are reviewed. The responsibilities of the parties are assessed separately.

4. Before the Contract Is Signed

Performance security, invitation to sign the contract, tax and social security documents, insurance, authority and other pre-contract conditions are checked. Management is informed of the financial and operational obligations under the contract.

5. During Contract Implementation

Deadlines, delivery, correspondence, amendments, progress payments, price adjustments, penalties and acceptance procedures may be reviewed at specified intervals. Newly emerging risks are recorded and the necessary corrections are indicated.

6. Before an Important Decision Is Made

The document and procedure framework may be reviewed before decisions are made concerning an increase in work, time extension, penalty, termination, acceptance, payment or security. A brief assessment is prepared to assist management in making its decision.

D. What Matters Do We Review?

1. Applicable Rules and Procurement Method

The law, regulation, special procedure, tender document or contractual provision under which the work will be performed is determined. It is assessed whether an incorrect procedure or method has been selected or whether the basis is incomplete.

2. Authority, Responsibilities and Signature Structure

Preparation, review, approval, signature and delivery responsibilities are checked. Risks such as unauthorised procedures, incomplete powers of attorney, outdated representation details or the concentration of responsibilities in one person are identified.

3. Tender and Technical Documents

The contract notice, administrative specifications, technical specifications, draft contract and standard forms are assessed together. Inconsistencies between documents, ambiguous provisions and conditions that may cause problems during implementation are identified. For problematic matters, applications to the contracting authority and subsequently to the Public Procurement Authority (KİK) are prepared.

4. Competition and Equal Treatment

Whether the qualification and technical requirements are appropriate for the needs of the work is reviewed. Matters that could unnecessarily favour a particular company, restrict participation or undermine equal evaluation are identified. For problematic matters, applications to the contracting authority and subsequently to the Public Procurement Authority (KİK) are prepared.

5. Qualification and Tender Documents

Work experience, financial standing, professional documents, quality certificates, partnership, signatures, security and electronic records are checked. The validity date and method of submission of each document are also assessed.

6. Costs, Prices and Calculations

Tender costs, the estimated contract value, explanations of abnormally low tenders, progress payments, price adjustments and deduction calculations are reviewed together with their supporting basis. Calculation discrepancies and unsupported financial items are shown in a separate list.

7. Electronic Procedures and Deadlines

EKAP records, electronic signatures, tender submission, notifications and application deadlines are checked. Any discrepancies between the records in the system and the company or institution's documents are assessed.

8. Contract Implementation

Commencement of work, work programmes, deliveries, amendments, time extensions, penalties, acceptance, final accounts and security procedures are reviewed. Procedures that breach the contract or have not been adequately recorded are identified.

9. Confidentiality and Information Security

The persons with whom commercial information, prices, technical documents, personal data and classified documents are shared are assessed. Any risks of unnecessary access, incorrect transmission or storage are reported.

10. International and Special Procurement Conditions

Foreign-language documents, national registrations, joint venture conditions, confidentiality obligations, technical qualifications and supply chain documents are reviewed. For procurement outside Türkiye, the application timetable and validity of documents are also checked.

E. How Do We Conduct the Review?

1. Determining the Subject of the Review and Preparing the Document List

The tender, contract, unit or procedure to be examined is determined. The purpose and duration of the review, together with matters excluded from its scope, are documented in writing.

The required documents are listed by date and subject. Missing, illegible or inconsistent documents are reported before work begins.

The procedure carried out is compared with the legislation, tender documents, contract, and internal rules of the company or institution. Where necessary, brief discussions are held with the responsible persons.

2. Identifying Risks and Preparing Corrective Options

The matters identified are classified according to their consequences. Matters requiring immediate action, matters that must be corrected in the short term, matters requiring monitoring and low-impact matters are shown separately.

Practical corrective steps are set out for each significant risk. The responsible person, required document and completion period are specified to the extent possible.

3. Reporting to Management and Monitoring

Significant findings are discussed with management or the relevant team. The results are presented in a brief and clear report and incorporated into checklists.

If requested, a further check is carried out to determine whether the corrections have been made. Completed, ongoing and outstanding matters are shown in the results schedule.

F. How Do We Classify Risks?

1. Urgent Risk

These are matters that could have imminent consequences, such as exclusion of the tender from evaluation, missing an important deadline, problems with security, suspension of the procedure or serious loss of rights. They must be addressed without delay.

2. High Risk

These are matters that could lead to significant costs, delays, penalties, payment issues or contractual problems if not corrected. A responsible person and completion date are assigned.

3. Medium Risk

These are matters that do not immediately halt the procedure but may lead to errors, additional workload or incomplete records over time. They must be corrected in a planned manner.

4. Low Risk

These are matters that do not directly affect the outcome of the work but would benefit from improvement in terms of order and clarity. They are added to the improvement list.

G. What Documents Do We Provide Following the Review?

The following documents are prepared and provided following the reviews:

• Compliance and Risk Review Report — The documents reviewed, deficiencies identified, potential consequences of the risk and recommended correction are clearly set out.

• Risk Map — Risks are shown in a single schedule by subject and level of significance. Management can quickly see which matters should be addressed first.

• List of Missing Documents and Procedures — Documents and procedures that must be completed, renewed or corrected are presented in a separate list.

• Corrective Action Plan — The work to be carried out, responsible person, required document and target date are shown. This turns the report into a practical work plan.

• Checklists — Checklists may be prepared for the tender preparation, tender, contract, progress payment, deadline, delivery and acceptance stages.

• Management Briefing Note — Important matters requiring decisions, options and expected outcomes are summarised in a brief note.

• Monitoring Schedule — The status of corrections, responsible persons and completion dates are monitored at specified intervals.

H. Engagement Formats

1. Single-File Review

This is conducted for a particular tender document, bid file, contract, progress payment, price adjustment or acceptance procedure.

2. Pre-Tender Preparation Review

The company's eligibility to participate in the tender, qualification documents, security, costs and electronic records are assessed before tender submission.

3. Contract Implementation Review

Risks relating to deadlines, payment, amendments, penalties, progress payments, delivery and acceptance under an ongoing contract are reviewed. Recommendations are provided under the legislation, together with precedent cases and their solutions.

4. Institutional or Company Unit Review

The responsibilities, authority, documents, approval and record-keeping structure of the tender or contract unit are assessed as a whole. An improvement plan is prepared for identified deficiencies.

5. Periodic Compliance Monitoring

For institutions and companies managing numerous tenders or contracts, reviews, briefings and risk updates are conducted at specified intervals. An improvement plan is prepared for identified deficiencies.

6. International and Special Procurement Review

For overseas, NATO, defence and security procurement, application documents, special conditions, confidentiality and supply obligations are reviewed as part of a separate engagement.

I. Our Impartiality and Service Boundaries

The compliance obligations and risks of a public authority are not the same as those of a company participating in a tender or entering into a contract. Review criteria are therefore prepared separately according to the duties and responsibilities of the applicant.

Services are not provided under the same review engagement to parties with conflicting interests in the same tender or contract. If a situation that could affect impartiality is identified, the relevant party is informed before work begins.

Kılıç Kurumsal Danışmanlık A.Ş. operates in the areas of corporate compliance reviews, risk assessments, tender and contract consultancy, training and reporting. Legal practice, litigation, acting under a power of attorney and legal representation are outside the scope of this service.

If it becomes apparent during the review that legal representation, litigation or application services are required, it is explained that this need must be addressed within a separate professional organisation.

No guarantee is given in any review that the tender will be won, the risk will be completely eliminated, payment will be made or the dispute will be resolved in a particular manner. The aim is to identify risks at an early stage, remedy correctable deficiencies and ensure that decisions are based on reliable information.

J. Options for Accessing Information

Those seeking short video explanations, detailed publications or legal information can access the appropriate channel through the “Information Resources” section of our website. This allows corporate review services and the areas of video, books and legal information to be presented separately, without confusion.

K. Contact Us

Briefly describe your matter relating to tender preparation, tender submission, evaluation, contracts, progress payments, price adjustments, delivery, acceptance, international procurement or the defence industry process. You may submit your request by completing the form on the “Corporate Service Request” subpage under the main “Contact” menu on our website. Once your request has been reviewed, the scope of the review, required documents, timescale and deliverables will be clearly determined.