learning & best practices of a compliance management ...€¦ · european data protection...
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Partner der Haufe Gruppe in Compliance Fragen
Learning & Best Practices
of a Compliance Management System
Haufe Group Compliance Mindset
Internal 20th September 2018, Institut Risk & Compliance, Paris
AGENDA
Welcoming
09h15-10h30 Fundamentals
Beyond the theory
Lessons learned
10h30 - 10h45 Coffee and networking break
10h45 - 11h45 Integrity Now!© game
11h45 - 12h00 Wrap-up and closing
COO & CEO Haufe Group
Birte Hackenjos and Markus Reithwiesner
HAUFE GROUP
ISO 19600:2014
Quelle: https://www.iso.org/obp/ui/#iso:std:iso:19600:ed-1:v1:en
Anti-
CorruptionAntitrust
Data
Protection
IT Security Governance
CSR
1. Risk
Assessment
2. Awareness
& Prevention
3. Monitoring
4. Response
THEORY PLAN-DO-CHECK-ACT DEMING CYCLE
LEGAL STATUS OF COMPLIANCE IN GERMANY
DIFFERENT LEGAL PROVISIONS
❖ Corporate Risk & Compliance Management
German Stock Corporation
Sections 30 and 130 German Act on Regulatory Offences (OWiG)
❖ Bribe
German Penal Code applies to individuals
OWiG applies to companies, fines up to 10 million EUR
❖ Whistleblowing system
German Civil Code failed
German case law (§138 of the German Penal Code)
❖ Data Protection
European Data Protection Regulation replaced Federal German Act for Data Protection
KERNTEAM COMPLIANCEWhich Compliance guidelines
are binding for me?
I haven‘t found the guidelines on the
sharepoint
Some rules are not
consistent with
guidelines from other
departments
Where can I find the
Compliance guidelines?
EMPLOYEES OFTEN LOST IN COMPLIANCE
COMPLIANCE ORGANIZATIONAL STRUCTURE
& REPORTING LINES
Advisory Board
Board ofDirectors
Legal + Compliance
Legal ComplianceData
Protection
HR Project
ManagementBusiness Services
TEAM
Compliance Office
Risk Management
CREATING A COMPLIANCE MINDSET PROGRAM
CMS
Internal
Ambassadors
External
Ambassadors
Operational
Compliance
Compliance
Tool› Compliance
Communication
› Whistleblowing
portal
OUR COMPLIANCE PATH IN PRACTISE
1. Compliance RULES
Easy and understandable guidelines
i.e. Employee/Supplier Code of Conduct, Anti-Corruption guideline
2. Compliance TONE FROM THE TOP
Role model, responsibility and Compliance statement from the Top Management
Endorsement through the workers council
3. Compliance AWARENESS
Blended learning, in person trainings, workshops
Compliance champions, Compliance day
Welcoming day for newcomers
4. Compliance PROMOTION
Company Website
Whistleblowing portal
COMPLIANCE MINDSET GOES DIGITAL
❖ Risk Assessment
❖ Guideline Management
❖ Anti-Corruption Documentation
❖ Case Management
❖ Whistleblowing System
❖ Internal Control
NOT ONLY PROCESS Management!
▪ Automatized Workflow
▪ Data Intelligence
▪ Documentation
▪ Reporting
HOW? Compliance TOOL
COMPLIANCE MINDSET COMMUNICATION
➢ Guidelines only lays out the rules
➢ Applying the rules in the daily work is the task of each employee no
matter the hierarchical level
➢ Easy to say, more difficult to establish in an organization
CHANGE MENTALITY PROCESS
with the internal/external ambassadors!
▪ Corporate culture
▪ Trust
▪ Speak up https://whistleblowerportal.haufegroup.com/
▪ Strategy & business
▪ Compliance compass
➢ DOCUMENTATION
➢ TRANSPARENCY
➢ SEGREGATION
➢ ADEQUACY
TO ENSURE COMPLIANCE SELF CHECK FROM THE EMPLOYEES!!!!
COMPLIANCE COMPASS
14
INTEGRITY NOW! LET’S PLAY
Katharina Miller Corporate Compliance & Human Rights Lawyer and Partner,
3C Compliance, Madrid Spain
MERCI! VIELEN DANK!
Contact: Colline Jux [email protected], Chloé Saby chloe.saby@haufe-
lexware.com, Katharina Miller [email protected]