Corporate compliance is a company-wide approach to manage key stakeholder requirements effectively and efficiently. This includes an approach to management which is not only legally compliant, but also sustainable, ethical, and risk- and value-oriented. To meet these requirements, regular high investments in corporate compliance are necessary. To date, however, it is unclear what concrete effects these investments have on corporate success. The innovative research embedded in this project intends to demonstrate the positive effects of effective and efficient corporate compliance on corporate success. This innovation will significantly improve the status of corporate compliance in companies and will be a basis for the business case of the applying companies.

This project aims to provide companies with an innovative overall package (software tool and consulting services) to implement the most effective and efficient corporate compliance factors in companies, thereby minimising the costs of corporate compliance while optimising its effectiveness. Therefore, a ranking of the most effective and efficient corporate compliance factors will be identified and empirically validated using innovative statistical methods. Furthermore, new compliance key performance indicators (CKPIs) are to be developed in the project, with which the maturity of corporate compliance can be controlled and monitored.

The following elements are created in the project:

• Development of a software tool (prototype):
  This enables companies to derive the current state or the maturity level of their corporate compliance. Based on this, recommendations for action show how the companies can achieve the target state depending on certain organisational characteristics. The software tool serves as an assessment instrument for medium-sized and large Swiss companies.

• Advice on the implementation of the software tool: 
  For the successful implementation and use of the software tool in companies, an accompanying consultancy service is provided.

The software tool and the consulting service are thus offered as an overall package that is intended to support companies in optimising their corporate compliance in the long term.

Further team members

• Dr Mirjam Durrer, Lucerne University of Applied Sciences and Arts, HSLU (co-project leader)
• Professor Dr Stefan Hunziker, Lucerne University of Applied Sciences and Arts, HSLU
• Anjuli Unruh, Lucerne University of Applied Sciences and Arts, HSLU
• Aline Renda, Lucerne University of Applied Sciences and Arts, HSLU

Publications

• Becker, K., Hauser, C., & Kronthaler, F. (2012b). Korruptionsrisiken erfolgreich begegnen: Strategien für international tätige Unternehmen. Chur: HTW Chur Verlag.
• Blumer, H., Dahinden, U., Francolino, V., Hauser, C., & Nieffer, R. (2017). Meldestellen in Schweizer Unternehmen: Whistleblowing Report 2018. Chur: HTW Chur Verlag.
• Durrer Mirjam (2016). Die Pflicht des Verwaltungsrates zum integralen Risikomanagement in KMU. Dissertation, Universität Luzern, Schweiz.
• Dahinden, U., Francolino, V., Hauser, C., & Nieffer, R. (2016). Whistleblower und Medien in der Schweiz: Situationsanalyse und Empfehlungen für die Zukunft. Chur: HTW Chur Verlag.
• Hauser, C. (2018a). Einfluss von Corporate Compliance auf den Kapitalmarkt wächst: Wie sich Unternehmen durch Compliance-Reporting einen Wettbewerbsvorteil verschaffen können. GoingPublic Magazin, 21(8), 24–26.
• Hauser, C., & Hogenacker, J. (2014). Do Firms Proactively Take Measures to Prevent Corruption in Their International Operations? European Management Review, 11(3-4), 223–237.
• Hauser, C., & Stühlinger, L. (2018). Meldestellen für Hinweisgeber: Unternehmen und Politik sind gefordert. Compliance-Berater, 5(12), 443–448.
• Hauser, C., Simonyan, A., & Werner, A. (2020): Condoning Corrupt Behavior at Work: What Roles Do Machiavellianism, On-the-Job Experience, and Neutralization Play?, in: Business & Society.
• Hunziker, Stefan; Renggli, Stefan & Fallegger, Marcel (2018). Interne Kontrollsysteme im Finanzbereich: Wirksame und effiziente Steuerung, Kontrolle und Überwachung. Wiesbaden: Springer Gabler.
• Hunziker, Stefan & Meissner, Jens O. (Hrsg.). (2018). Ganzheitliches Chancen- und Risikomanagement. Interdisziplinäre und praxisnahe Konzepte. Wiesbaden: Springer Gabler.
• Hunziker, Stefan & Meissner, Jens O. (2017). Risikomanagement in 10 Schritten. Wiesbaden: Springer Verlag.
• Hunziker, Stefan & Rautenstrauch, Thomas (2011). Internes Kontrollsystem – Perspektiven der internen Kontrolle. Zürich: WEKA Verlag.

Parties involved

The project has been implemented by the Swiss Institute for Entrepeneurship (SIFE), in cooperation with the Institute of Financial Services Zug (IFZ) - Lucerne University of Applied Sciences and Arts, HSLU and the PRME Business Integrity Action Center.