KICG
Das Konstanz Institut für Corporate Governance
Compliance Essentials (multi stakeholder analysis)
KICG reviews developed recommendations for the design and assessment of compliance systems.
In the period from May 1, 2015 to October 31, 2016, the KICG evaluated the practical applicability of the research results from the predecessor project "Guidelines for the Management of Organizational and Supervisory Duties" with the involvement of relevant stakeholders and initiated a lively dialogue between the decision-makers in a (commercial) enterprise.
Project objective
The research project "Multistakeholder Analysis" aimed at an intensive examination of the research results from the completed research project "Guidelines for Management on Organisational and Supervisory Duties". The study was intended to reduce the existing orientation deficits and uncertainties in the development and implementation of compliance systems and, in doing so, to work out the expectations of the stakeholders involved and to evaluate, verify and further develop the practical suitability of the "Guidelines for the Assessment of Organisational and Supervisory Duties".
Practical relevance
It is of considerable importance for companies to obtain binding regulations in the area of Compliance & Integrity. Past studies by the Center for Business Compliance & Integrity (CBCI) have shown that, especially in medium-sized companies, there is little knowledge of the requirements for a CMS and at the same time there is a great deal of fear of the emergence of an "ethics bureaucracy" (see "SME study"). The present "multi-stakeholder analysis" is intended to reduce these uncertainties and communicate the respective stakeholder expectations. It is not only about the demands of the legislator on companies, but also about the expectations of all relevant stakeholders from business, justice/administration, associations and NGOs. This is where the interdisciplinary research project comes into play and can collectively evaluate the recommendations for action by involving all relevant stakeholders. The joint development of solutions increases the chance that the project results will remain active over a longer period of time, undergo any necessary adjustments and changes and ideally lead to a binding implementation or application.
Results
The "multi-stakeholder analysis" was not only able to contribute to the evaluation of the existing KICG guidelines, but also to identify a total of six "Compliance Essentials" that are essential for the appropriateness, effectiveness and credibility of a compliance management system from the perspective of the stakeholders surveyed. In addition to the "Compliance Essentials" identified, the studies provide an overview of current developments in compliance management and the associated different perspectives of the stakeholders surveyed, such as the discussion of a criminal law relating to associations.
Publication
The research results of the "Multistakeholder Analysis" are summarized in the brochure "Compliance Essentials - What really counts from the perspective of the judiciary, associations and companies".
The publication can be downloaded here.
Project Manager
Prof. Dr. Stephan Grüninger
Project Collaborators
Matthias Wanzek
Anna Wiebe
Project duration
1 May 2015 until 31 October 2016
Sponsors & Cooperation Partners
- Audi
- BASF SE
- Construction industry Bavaria
- Clifford Chance
- Ernst & Young Ltd.
- PricewaterhouseCoopers AG
- RKW SE
- TaylorWessing
- Wilmer Cutler Pickering Hale and Dorr LLP
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