KICG

Das Konstanz Institut für Corporate Governance

General research on Compliance & Integrity

The scientific support of the Forum Compliance Integrity (FCI) is currently an important research focus.

Mission and Activities of the FCI

The Forum Compliance & Integrity (FCI) serves as a platform for discussing and sharing experiences connected to current issues in modern and sustainably effective integrity and compliance management systems. The competence of the forums is the tight interface and dialog between theory and practice. The members meet twice annually for a 1-day conference and additionally in three professionally-oriented working groups.

The gatherings focus on, among other things, implementing adequate compliance systems, monitoring and the interaction between compliance management and integrity management. This is, in terms of good corporate governance, based on a comprehensive, value-based understanding of compliance. Also, against the backdrop of global challenges as well as international and global standards, issues of development and effectiveness of compliance management system are in particular focus.

The History of the FCI

Founded in 1999 by Prof. Josef Wieland, director of the Center for Business Ethics, the User Council for Value Management (ZfW). He dedicated himself to the development, establishment and implementation of the value management system according to the Center for Business Ethics’ certified standard. The User Council’s practical competence ensured the applicability focus of the value management system ZfW. The promotion, further development and quality assurance of the value management system were among the core tasks of the user council.

Compliance and integrity increasingly became the focus of his thematic orientation.

The guidelines ComplianceProgramMonitorZfW as well as the statement “Recognition of Foreign Codes of Behavior" were developed and published in 2009.

The User Council came up with a more intuitive title for the working group and it was renamed as the Forum Compliance & Integrity – User Council for Value Management ZfW (FCI) in 2011.

In 2014, under the leadership of Prof. Grüninger and in cooperation with numerous companies represented in the FCI, a research project was completed which specified the generally accepted elements of compliance management-systems (CMS) and applied them to different company sizes (companies with different compliance complexity levels). The project developed, among other things, guidelines for four types of companies, a guidance document on the necessity and permissibility of different implementations of CMS measures, and a document on the possible specific requirements and risk drivers for the design of CMS in certain companies (capital market orientation, degree of internationalization, industry affiliation, etc.) were developed.

The auditing firm EY and the Forum Compliance & Integrity published the „Existing Practice in Compliance 2016 Survey” in May 2016. This provides a comprehensive comparison study in terms of the status and trends in integrity and compliance management systems. The basis of the study was a standardized survey of selected participant groups with extensive experience in the implementation of compliance management systems (CMS).

A result of the collaboration between the FCI working groups is the practically-oriented FCI publication “Corporate Integrity & Compliance - What is Truly Important", published in October 2016.

Contact

Scientific Director

Prof. Dr. Stephan Grüninger

Coordination of the Forum

Anna Zubrod

Quirin Kissmehl

You can find additional information about the Forum Compliance Integrity (FCI) at the Center for Business Ethics website (ZfW).


General Research on Compliance in Mid-Sized Companies

The scientific support of the Forum Compliance in Mid-Sized Companies (FCM) is currently an important research focus.

Mission

The Forum Compliance in Mid-Sized Companies (FCM) is a voluntary collaboration of mid-sized companies and organizations and serves to promote and spread a value-oriented business approach in such companies. For this purpose, the FCM deals thematically with methods of compliance management for SMEs. The purpose of the FCM is to create the possibility of a two-way transfer of knowledge and practice within the framework of a network. In addition, the FCM provides a platform for the continuous exchange of experience between the involved partners and makes mutual consulting on current issues and challenges involving compliance possible.

The Forum Compliance in Mid-Sized Companies is currently in the start-up phase and is accepting interested companies as members.

Content Orientation

Topics involving the implementation of an effective compliance management and monitoring in mid-sized companies are the focus. The starting point is the high significance, but still limited proliferation of compliance in small and mid-sized companies.

The FCM takes the distinctive features of SMEs as a starting point and opportunity to develop practical solutions, concepts and methods for SMEs and to contribute to their proliferation. The work of the FCM thus takes place in the interface between business and ethics, as well as in the exchange between research and practice.

Planned Projects

The FCM plans to organize two annual events for members in which current issues and challenges can be discussed in lectures and discussion groups The intention is also to contribute to the networking and exchange between members.

The FCM also intends to carry out research projects in the area of compliance management for mid-sized companies and thus actively promote the exchange between research and practice.

Membership

Membership in the Forum Compliance for Mid-Sized Companies is possible in the form of a company membership. The long-term goal is to have about 20 company members, a reasonably sized group of experts in which confidential discussions between participants can take place. For this reason, the number of members will be limited.

Contact

Prof. Dr. Stephan Grüninger

Scientific Director

Center for Business Compliance & Integrity (CBCI)

Konstanz Institute for Corporate Governance - KICG

stephan.grueninger@htwg-konstanz.de

Prof. Dr. Stephan Grüninger

Coordination of the Forum:

Quirin Kissmehl

Anna Zubrod

You can find additional information about the Forum Compliance in Mid-Sized Companies (FCM) at the Center for Business Ethics website (ZfW).