What have the Ergo insurance, the ADAC, bus and truck manufacturer MAN common? They are arbitrary, but prominent examples of companies and organizations that have made in recent years through legal and moral failings of tangible scandals and thereby harmed themselves. They show that corruption in this country is a serious problem and is not confined to other countries and continents. Whether data breaches, violations of labor or antitrust or corruption: Hardly a day goes by without reports in the news about any compliance violation wird.
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Dr.-Ing. . Frank Hofmann, started this guest contribution for ZDNet, co-founder and CEO of otris software AG (image: otris) is
Compliance roughly means acting with integrity. Specifically, falls below the compliance with national and international laws, regulations and voluntary commitments as well as internal guidelines. However, many people do not, or at least insufficiently about it to know which rules your employer has set up internally to make legal and ethical requirements satisfied.
Earlier this year, for example, reported the FAZ in the article “If gifts difficulties do “that the compliance requirements of their employer details in a survey of 1000 German workers only 36 percent of respondents said they know of existing compliance rules in their business and also to keep in mind. One in four workers admitted that although there would be a set of rules, but I crept a rather loose use of existing legislation due to lack of controls. 17 percent said that there was no compliance policies in their companies; 23 percent could not even imagine anything under the term compliance.
The low sensitivity regarding possible compliance violations is alarming. So every fourth person was in the question of whether the acceptance of gifts from customers, suppliers or other business partners is permissible in the workplace, no hesitation. After all, 20 percent saw a pain threshold, if the gift value exceeded 30 euros. One in five claimed to be confused on this issue and to check with his superiors in the individual case.
Harald Czycholl, of the daily newspaper “Die Welt” in his article “What is up compliance since when ? they no observed “refers to the same survey, notes that compliance management even had there not necessarily effective, where it is already enshrined in the consciousness:” Accordingly, although 79 percent of companies have already organized training courses on the subject – but just two-thirds of the companies also monitor compliance with the various compliance policies and just half of the companies (51 percent) have established processes, how to deal with violations of rules. “
pent-up demand especially in the SME sector
While large public companies and global players are bound by law to a comprehensive monitoring and reporting system due to numerous rules, especially German SMEs are still subject to considerable risks, according to a study of the purchasing consultancy Kloepfel Consulting. The study showed “that despite high awareness of the problem the consistent implementation of compliance structures in German companies is still neglected considerably and also reserves for compliance damages are hardly formed,” said lawyer Carsten Zimmermann, responsible for Law & amp; Compliance with Kloepfel Consulting
In particular for SMEs -. Even if only by ignorance – are the consequences in case of damage, however, often serious. For violations threatening severe penalties that can quickly assume life-threatening proportions. But the lack of structure to prevent such violations can for Responsible civil in enterprise and benefiting criminal penalties.
For companies who want to be the subject of compliance on the safe side, so it is considered ways and means to place in order to verify compliance with internal and external laws and regulations and to make sure. A proven method is the use of appropriate software.
How to find companies the right compliance software?
A good compliance management software helps companies , all relevant governance, risk and compliance information and related reports and documents seamlessly and subjects related to historicize and classify. So, for example, should be represented important compliance issues such as occupational safety, data protection and crisis management with the documents relevant in the company.
In addition, should for each compliance issue responsibilities, legal bases, responsibilities or even internal rules and regulations back and be verifiable. Regular thematic reports, concise lists and interactive charts ensure transparency in the company and help management and operational units to carry out their compliance responsibilities. An auditable documentation of its own activities and activities protects against Regeressansprüchen and penal consequences.
This employee does not feel to work with the compliance software as unnecessary burden, but rather seen as an opportunity and relief, it is not enough, solutions compare exclusively by their functional scope. At least as important are the questions: Can the software intuitive? And it delivers clear results?
This requires not mean that the software as much as possible, but that it offers exactly those features that a company needs. Should be critically examined so: the software can be optimally adapted to individual needs and requirements? Does the provider a team of consultants that will assist in the implementation of the software? He provides staff training in dealing with the new tool
Case Study Jägermeister: compliance software in use
A company that through the use of compliance software benefits, is the otris customer Mast-Jägermeister SE. Around 1,000 employees work for the Wolfenbütteler family business that settles more than 87 million per year 0.7-liter bottles of Jägermeister worldwide. Through the production and worldwide distribution of spirits are numerous legal provisions which apply adhere it to the company arising
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In addition, internal guidelines and values which Jägermeister committed voluntarily. For corporate mission includes, for example, not only enthusiasm for the product, it also describes how to deal with customers, employees and suppliers, and calls in addition to quality and innovation and open-mindedness and respect.
2014 decided Jägermeister for introducing otris COMPLIANCE to represent these internal and external requirements, communicate and be able to monitor. Divided into the thematic areas of compliance and corporate governance, the software offers the possibility to structure all corporate governance and compliance issues and provide in the context of a modern management information system.
In the area of corporate governance, employees, for example by click save documents and deposited next to an individual authorization assignment also information on the status of the document and its validity. In compliance area, the software documents and responsibilities provides topic-related. With a view is to identify which information still missing, whether those responsible have the necessary training and certification or if qualifications need to be renewed.
In addition offers the software provides a variety clearer reports that can be created by pressing a button. The presentation in the form of traffic light system possible violations noticed immediately and can be closed. This reduces on the one hand the risk of potential criminal and the associated costs, on the other hand it saves the Speaker for Compliance a lot of time.
On the basis of the standard solution has Jägermeister first together with otris consultants a list of requirements to both the further substantive design as well as with respect to the technical conditions created. Within a short time the prototype was ready and the administration staff were trained in detail. End of 2015, the rollout of the software is done in many parts of the company.
“We were surprised at how quickly the software is practically emerged before our eyes and how flexible we are with the current solution,” explains Nils Lange Man Speaker for compliance with Jägermeister. “Otris COMPLIANCE gives us the opportunity to retrieve the inventory documents quickly and easily. Appointment persecutions and overview pages help us to ensure the timeliness of the information system. Both the current and the historical existing corporate governance and compliance organization can be viewed at any time, displayed and reported. This represents for our company a huge workload is. “
Dr. Frank Hofmann
… is co-founder and CEO of otris software AG. He studied electrical engineering and information technology at the Ruhr University in Bochum and completed an integrated studies at the National School of Electronics and radio engineering in Bordeaux (ENSERB), France. During his PhD he pioneered in achieving one of the first tools for model-driven software development. Since then, he is considered an expert in the field of ergonomic user interfaces and support for enterprise-wide processes by software.
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