Experience shows that many companies do not include their business partners in their compliance program. An omission with high risks.
Legal provisions such as the German Commercial Code or the German Stock Corporation Act stipulate that companies, but also individual executive bodies and employees, can be held liable for the unlawful conduct of business or contractual partners.
A practical example illustrates the fundamental problem: a company uses external sales partners who are remunerated on a commission basis. Their earnings therefore depend on the sales they broker. If a sales partner now commits fraudulent acts in order to successfully broker business - such as bribing a potential client - the conduct of the business partner falls back on the company, even if the company itself has not acted unlawfully. The company faces financial and criminal consequences as well as a serious loss of reputation.
Business partners are often not involved
Many companies are inadequately prepared for this risk. The study "Compliance Management - the entrepreneurial challenge" by AGAMON Consulting GmbH(www.agamon-consulting.de) shows the deficits of medium-sized companies in this area. In the majority of the companies surveyed, 100% of their compliance programs are aimed at both managers and employees. Suppliers and subcontractors are included at around 75%, while business partners are only included at around 25%. It is known that external parties are at least involved in around half of white-collar crimes.
An often underestimated risk
"The risks that can emanate from business partners such as intermediaries, negotiators and consultants should not be underestimated. Their compliance violations can lead to fines and claims for damages. Further consequences can include exclusion from public contracts and even criminal prosecution. Companies jeopardize their image and reputation if they do not select their partners carefully.
Every company's compliance program should therefore also include business partner compliance management as part of a holistic approach.
Eckart Achauer
Studied law and business administration, postgraduate Master of Business Administration (MBA). In-service training as European Quality Manager (DGQ), mediator specializing in business mediation and Certified Compliance Manager (TÜV).
Eckart Achauer worked for around 10 years in the international insurance industry in the management of a Swiss insurance group in various functions (claims department, sales, assistance) before switching to management and business consulting in 1997.
As a consultant and managing director of various consulting companies, Mr. Achauer has specialized in organizational and process optimization as well as in the development and implementation of management systems - quality management, risk and compliance management.
Mr. Achauer is responsible for compliance management at the HR Consult Group. As part of compliance audits, he analyses their organizational "compliance fitness", raises awareness and trains management, executives and employees and supports companies in setting up and implementing individual compliance management systems. In doing so, he always takes into account the specific risk situation of the company. Thanks to his many years of experience as a manager and consultant, he is very familiar with the business challenges faced in practice.
Eckart Achauer, studied law and business administration, postgraduate Master of Business Administration (MBA). In-service training as European Quality Manager (DGQ), mediator specializing in business mediation and Certified Compliance Manager (TÜV).
He worked for around 10 years in the international insurance industry in the management of a Swiss insurance group in various functions (claims department, sales, assistance) before moving into management and business consulting in 1997.
As a consultant and managing director of various consulting companies, Mr. Achauer has specialized in organizational and process optimization as well as in the development and implementation of management systems - quality management, risk and compliance management.
At Senator Executive Search Partners, Mr. Achauer is responsible for compliance management. As part of compliance audits, he analyses their organizational "compliance fitness", raises awareness and trains management, executives and employees and supports companies in setting up and implementing individual compliance management systems. In doing so, he always takes into account the specific risk situation of the company. Thanks to his many years of experience as a manager and consultant, he is very familiar with the business challenges faced in practice.
Would you currently be prepared to change employers if you were offered an interesting job? This is one of the key questions that HR service providers ask potential candidates, as the willingness to change jobs is a key factor in day-to-day business. It is therefore hardly surprising that the HR experts at HR Consult Group AG asked precisely this question, among others, in a recent survey. The aim of the study with over 500,000 respondents is to adapt the range and services of recruitment consultancies as precisely as possible to the wishes and needs of candidates.
The result: at 84 percent, the vast majority of survey participants said they would be open to changing jobs.
New tasks as motivation to change
The reasons for employees' willingness to change jobs are varied. The most frequently expressed wish (66 percent) is for a new, exciting job. Only in second place (53 percent) is an improvement in salary. Slightly less than half of the survey participants (48%) said they wanted to take the next step on the career ladder. If this is not possible in the current company - for whatever reason - the only option is to change jobs.
A shorter commute, the need for more flexibility and other (private) reasons follow at a considerable distance behind.
Changing employer is always a big step that needs to be carefully considered. Nevertheless, times have changed. It is no longer common to spend several decades or even a lifetime with the same employer. Changing jobs and employers always offers the potential for personal development. With every change, the candidate gets to know something new. Be it the difference in company size and its structures or national and international fields of activity.
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
Im letzten Teil unserer 3-teiligen Serie beleuchten wir heute die richtige Gliederung und die Vorteile eines Perspektivwechsels.
Die Verhandlung als solche
Oft beginnt eine Verhandlung damit, dass eine Partei ihren Verhandlungsstandpunkt schriftlich der anderen übergibt oder ihn bereits vorher übersendet hat. Dieses Dokument kann ein bereits vorgefertigter Vertragsentwurf sein oder als Kernpunkte des Geschäfts (auf Englisch „Key Terms“ oder „Basic Terms“) vorliegen. Solche Kerngedanken wären beispielsweise bei einem Unternehmenskauf der Kaufpreis und die Gewährleistungsbestimmungen. Bei einem Lizenzvertrag sind es die Art der Lizenzen, der Umfang des Know-hows, die Höhe der Lizenzgebühren und die Dauer des Vertrags.
1. Das Erforschen:
Finden Sie heraus, was die andere Seite denkt
Erforschen Sie die Interessen der Gegenseite
Nehmen Sie des Öfteren die Perspektive der anderen Seite ein
2. Die Kommunikation:
Stellen Sie Fragen
Hören Sie aktiv zu
Fassen Sie Erklärungen Ihrer Verhandlungspartner kurz mit eigenen Worten zusammen
Verwenden Sie Beispiele und benutzen Sie das Kommunikationsmittel der Metaebene (diese zielt nicht darauf ab, worüber, sondern wie wir miteinander reden)
3. Das Gegenüber:
Bedenken Sie mögliche persönliche Hintergründe
Achten Sie darauf, wie die Person/en im Unternehmen eingebunden ist/sind
4. Die Individualität:
Achten Sie auf Fairness
Nutzen Sie Humor (angebracht und in Maßen)
5. Die Argumentation:
Vergleiche, was vergleichbar ist
Argument der Wechselseitigkeit – das Sich-Hineinversetzen des Gegenübers in die eigene Lage und umgekehrt („wie du mir, so ich dir!“)
Gliederung
Im Rahmen der Verhandlungsvorbereitung wurde bereits dargelegt, wie wichtig es ist, die Verhandlungsmaterie richtig zu gliedern. Jetzt, im Stadium der eigentlichen Verhandlung, ergibt sich daraus noch ein weiterer Vorteil: In der Regel streiten sich die Parteien über den Inhalt, aber nicht über die Form, weil bei letzterer inhaltliche Fragen scheinbar noch nicht auftreten. Deshalb wird die andere Seite einer am Anfang vorgeschlagenen Gliederung viel eher zustimmen als sich von etwas Inhaltlichem überzeugen zu lassen.
In diesem Zusammenhang ist es sehr hilfreich, auf die Metaebene zu gehen und über Themen, nicht über Inhalte und Einzelheiten zu reden. Damit gewinnt das Thema die formale Führung über den Inhalt und Sie haben Einfluss darauf, wann Sie bestimmte Themen ansprechen. Es ist hilfreich, die Verhandlung gemäß der nachstehenden Abbildung in einzelne Teilabschnitte zu gliedern.
„Perspektiv-Einnahme“
Es gibt ein Mittel, beide Ebenen leichter zu trennen: Man versetzt sich in die Lage der anderen Person und betrachtet die Verhandlung aus ihrer Perspektive.
Mit einer „Perspektiv-Einnahme“ lässt sich besser erkennen,
wie die andere Seite auf die eigenen Angebote reagiert,
ob ihre Argumente schlüssig sind, und
ob das, was sie sagt, und das, was sie wirklich meint, übereinstimmt oder widersprüchlich ist.
Deckt man Widersprüche auf, die allein auf dem Vortrag der anderen Partei basieren, wird sich diese sehr schlecht dagegen wehren können. Man schlägt sie mit ihren eigenen Waffen, d. h. mit ihren eigenen Argumenten und gewinnt dadurch auch an Legitimation.
Um den Standpunkt der anderen Seite richtig verstehen zu können, sollte man diese ausreden lassen und aufmerksam zuhören. Denn Zuhören und Verstehen heißt noch lange nicht, mit einer spezifischen Meinung einverstanden zu sein. Man gewinnt vielmehr die Möglichkeit, persönliche Angriffe in eine sachbezogene Auseinandersetzung umzuwandeln.
Das aufmerksame Zuhören und Ausredenlassen hilft der anderen Seite, bei Konflikten Aggressionen abzureagieren. Und diese schwinden äußerst schnell, wenn man ihnen mit interessiertem Schweigen begegnet. Die andere Partei rechnet mit Widerspruch, den sie selbst wieder zu „Munition“ verarbeiten kann. Wenn diese fehlt, verpufft auch der schärfste Angriff sehr schnell. Die mögliche Eskalation von Konflikten wird dadurch vermieden, Emotionen kanalisiert und kontrolliert.
Bitte bedenken Sie: In wenigen anderen Bereichen kann so schnell so viel gewonnen, aber auch verloren werden wie in internationalen Verhandlungen. In der nächsten Ausgabe werden wir anhand eines Fallbeispiels über eine Lizenzvergabe weitere relevante Aspekte einer internationalen Verhandlung darlegen.
Die 3-teilige Serie hat wertvolle Anregungen für eine erfolgreiche internationale Verhandlungsführung dargelegt und aufgezeigt, worauf es im Einzelnen ankommt. Bitte denken Sie stets daran: In wenigen anderen Bereichen kann so schnell so viel gewonnen, aber auch verloren werden wie hier.
Companies can have their compliance management system certified in accordance with ISO 19600. Whether and when this makes sense must be carefully examined.
The standard can be applied both in companies and in other organizations. Small and medium-sized companies can also benefit from the standard, as the recommendations are scalable and can be applied to varying degrees depending on the size of the company.
The Compliance Management System (CMS) of ISO 19600 is based on five pillars, which can also serve as a "roadmap" for the introduction of a CMS:
1. compliance and risk audit
The compliance audit serves to determine the status quo of the company with regard to its compliance activities. The risk audit serves to identify the compliance obligations (risks). The result is a "compliance risk map" for the company. This analysis forms the basis for all further measures for the development of the CMS.
2. leadership
The various roles, responsibilities and competencies within the company are taken into account, especially the company management. Management must make the decision to introduce a CMS, define the objectives and framework of the CMS and provide the appropriate resources. The management's role model function is crucial here: if it is committed to clean, legally compliant behavior and thus to preventing and punishing unlawful practices, and if it lives up to this commitment, then an important prerequisite has been created for a CMS to work.
3. management and control measures
The control measures that a company must introduce include regulations such as a code of conduct, process descriptions and instructions. These should be developed in line with the results of the compliance and risk audit and should be specifically designed with regard to identified compliance risks - always close to the business processes. Suitable monitoring and control measures must be integrated into the processes.
4. communication and training
Most rule violations are based on a lack of knowledge. Awareness of the existence of a requirement and the consequences of one's own actions is therefore crucial if compliance is to be achieved. The standard requires ongoing training to enable employees to be aware of compliance requirements and to act accordingly. Intensive communication and awareness-raising contribute to the creation of a sustainable corporate culture.
5. continuous improvement
Similar to quality management, the continuous improvement of the implemented CMS is one of the central tasks. This involves random and ad hoc checks on the fulfillment of compliance requirements (e.g. through internal audits). Ongoing monitoring of the legal environment and continuous updating of the risk analysis is necessary in order to constantly adapt the system to new circumstances.
Any compliance violations identified must result in a response from the company. This includes investigating the incident and determining the consequences of the identified misconduct (sanction). Corrective and preventive measures serve to avoid repetition.
Certification of a management system is not always sensible or necessary. Therefore, when setting up a CMS, this aspect should be carefully examined in advance: what are the benefits of certification? Is it required (by the market, by customers)?
Certification should only be considered if these and similar questions can be answered with a clear "yes". In addition to certification, there are numerous alternative options available to the company to effectively communicate the existence of the CMS.
Eckart Achauer, studied law and business administration, postgraduate Master of Business Administration (MBA). In-service training as European Quality Manager (DGQ), mediator specializing in business mediation and Certified Compliance Manager (TÜV).
He worked for around 10 years in the international insurance industry in the management of a Swiss insurance group in various functions (claims department, sales, assistance) before moving into management and business consulting in 1997.
As a consultant and managing director of various consulting companies, Mr. Achauer has specialized in organizational and process optimization as well as in the development and implementation of management systems - quality management, risk and compliance management.
At Senator Executive Search Partners, Mr. Achauer is responsible for compliance management. As part of compliance audits, he analyses their organizational "compliance fitness", raises awareness and trains management, executives and employees and supports companies in setting up and implementing individual compliance management systems. In doing so, he always takes into account the specific risk situation of the company. Thanks to his many years of experience as a manager and consultant, he is very familiar with the business challenges faced in practice.
It is not without reason that employer review portals such as kununu or glassdoor offer their own sections in which candidates can rate the application process or job interview. If criticism is actually communicated openly, companies should take it seriously and respond accordingly - both in external communication and in its application to internal processes.
Drawing on external expertise
But what can companies do? The key to success often lies in the cooperation between HR managers and specialist departments. If specialist departments register their personnel requirements at far too short notice due to the high workload in everyday working life or only provide feedback on proposed candidates after a long delay, this is understandable, but nevertheless a disaster for the recruiting process. Recruitment should not only be recognized by all those involved as one of the decisive factors for the success of the entire company, this realization must also be put into practice.
This means that the specialist departments must also become aware of their responsibility within the recruitment process and set appropriate priorities. This requires the support of company management and joint work on solutions. The involvement of a neutral body in the form of an HR consultancy often helps here. External consultants are more likely to be listened to, can clear up points of contention and help to define efficient and manageable processes together with all those involved. This applies to the use of technical systems as well as the mandatory definition of response times and rules for communication with applicants.
On this common basis, the internal processes are no longer a problem .
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
Bereits in einigen vorherigen Beiträgen wurde das Thema Best-Practice Profil (BPP) intensiv behandelt. Ein BPP dient dem Vergleich. So lassen sich Schlüsse zur Positionierung des Kandidaten in den einzelnen Persönlichkeitsmerkmalen ziehen und mögliche Entwicklungsfelder und Potenziale aufdecken. Es zeigt, wie die Besten einer Branche „gestrickt“ sind und welche Merkmale besonders für den Erfolg in einem Berufsbild notwendig und förderlich sind. Kurz gesagt ist ein Best-Practice Profil ein Vergleich mit den Besten.
In diesen Artikel wird darauf eingegangen, welche Vorgehensweise notwendig ist, um ein Best-Practice Profil zu erstellen.Die Erstellung eines Best-Practice Profils besteht aus fünf Schritten: Die erfolgreichsten Mitarbeiter einer Berufsgruppe im Unternehmen müssen als erstes identifiziert werden. Um diese Mitarbeiter erfassen zu können müssen Erfolgskriterien definiert werden. Nach welchen Kriterien sollen die erfolgreichsten Mitarbeiter ausgesucht werden? Welche Zahlen sind ausschlaggebend für den Erfolg? Beispiele für Erfolgskriterien sind der erzielte Umsatz oder die erreichte Rendite. Anschließend wird eine Best-Practice Gruppe aus den erfolgreichsten Mitarbeitern des Unternehmens gebildet sowie die erfolgsrelevanten und überprüfbaren Merkmale gesammelt. In Abbildung 1.1 ist eine Tabelle abgebildet, um die erfolgreichsten Mitarbeiter zu bestimmen.
Als nächstes führt jeder ausgewählte Mitarbeiter online ein eignungsdiagnostisches Verfahren durch. Dabei handelt es sich um eine Selbsteinschätzung. Es werden die Stärken und Schwächen des Teilnehmers herausgefunden und aufgezeigt. Einige Beispielfragen sind in Abbildung 1.2. zu sehen.
Es folgt die Auswertung der Eignungsdiagnostik. Das Ergebnis der Eignungsdiagnostik zeigt die verschiedenen Ausprägungen der einzelnen Merkmale bei den erfolgreichsten Mitarbeitern. Indem alle Profile der Best-Practice Gruppe zusammengelegt und ausgewertet werden, entsteht ein Best-Practice Profil. Dieses Profil ist auch als Idealprofil bekannt. Es zeigt, welche Kriterien für die teilnehmenden Mitarbeiter übereinstimmend wichtig bzw. unwichtig sind.
Aber auch die Auswertungen jedes einzelnen Mitarbeiters werden betrachtet und in einem Individualprofil festgehalten.
Im letzten Schritt werden die Werte des Individualprofils mit den Werten des Best-Practice Profils verglichen. Es wird eine Abweichungsanalyse durchgeführt. Dabei wird kontrolliert wie weit die Werte von beiden Profilen bei den einzelnen Merkmalen übereinstimmen. Ebenfalls werden die Schlüsselkriterien überprüft. Es wird darauf geachtet, ob es sich um die gleichen Schlüsselkriterien handelt und wie hoch die Differenz zwischen Individual- und Idealprofil ist. In Abbildung 1.3. ist eine Teilauswertung einer Eignungsdiagnostik beispielhaft zu sehen.
Indem das Best-Practice Profil gegen mehrere Vergleichsprofile gespiegelt wird lassen sich bedeutsame Veränderungen der Selbsteinschätzung zu den Werten der Vergleichsgruppe leichter darstellen.
In einem strukturierten Interview lassen sich auf Basis des BPP Abweichungen diskutieren. Zusätzlich kann durch zielgenaues Hinterfragen die Ursachen für die erkennbaren Differenzen geklärt werden.
Im nächsten Beitrag dieser Themenreihe geht es um die Güterkriterien. Welche Kriterien muss ein gutes und seriöses Verfahren erfüllen? Worauf sollte sonst noch geachtet werden?
After studying automotive engineering and industrial engineering, he began his professional career in the automotive industry in the areas of sales, development and marketing and also spent a year in Japan with one of the largest automotive suppliers.
He then moved to a globally renowned premium car manufacturer, where he was responsible for product marketing in Japan and South America and for marketing strategy in North and South America.
In 1994, he decided to become self-employed and founded a personnel consultancy in Munich, where he has been driving development and expansion for over 20 years. As Managing Director, his industry focus is naturally on the automotive world as well as mechanical and plant engineering.
His doctorate in the field of aptitude diagnostics ideally rounds off his areas of expertise, particularly with regard to personnel and management consulting. The dissertation deals with the identification and verification of typical personality traits of engineers as well as the definition of development areas for a successful professional career.
These are scientifically derived and presented in the book "Eignungsdiagnostik im Praxiseinsatz".
At the same time, his focus is on the development of networks and cooperation models as well as the continuous further development of systems and processes in personnel consulting.
Over the last 20 years in personnel consulting, he has developed several brands that are still operating successfully on the market today.
