{"id":3032,"date":"2020-04-01T16:52:00","date_gmt":"2020-04-01T14:52:00","guid":{"rendered":"https:\/\/catuslaw.com\/blog\/compliance-management-folge-4-compliance-richtlinien-den-rahmen-definieren\/"},"modified":"2022-02-28T11:11:58","modified_gmt":"2022-02-28T10:11:58","slug":"compliance-management-episode-4-compliance-guidelines-defining-the-framework","status":"publish","type":"post","link":"https:\/\/catuslaw.com\/en\/blog\/compliance-management-episode-4-compliance-guidelines-defining-the-framework\/","title":{"rendered":"Compliance Management Episode 4: Compliance Guidelines \u2013 Defining the Framework"},"content":{"rendered":"\n<!-- Block-Wrapper Anfang -->\n<div id=\"header-1col-block_60d445b133c64\" class=\"block block--header-1col\" >\n  <div class=\" block__inner block__inner--header-1col \">\n<!-- \/Block-Wrapper Anfang -->\n\n    <div class=\"container\">\n      <div class=\"content row\">\n        <div class=\"col-12\">\n\n          \n\n  <div class=\"content__modul content__img content__img--quer\">\n    <img decoding=\"async\" src=\"https:\/\/catuslaw.com\/wp-content\/uploads\/2021\/06\/12-month-compliqnce-challange_4-aspect-ratio-3-2.jpg\">\n      <\/div>\n\n\n        <\/div>\n      <\/div>\n    <\/div>\n\n\n<!-- Block-Wrapper Ende -->\n  <\/div><!-- .block__inner -->\n<\/div><!-- .block -->\n<!-- \/Block-Wrapper Ende -->\n\n\n\n\n  <style type=\"text\/css\">\n    \/* H\u00f6he *\/\n    #header-1col-block_60d445b133c64 .block__inner--header-1col{\n              min-height: 50vh;\n          }\n\n    \n    \n    \n    \n    \n    \/* Hintergrundbild *\/\n    \n    \/* Navigationshintergrund und Verlauf *\/\n    \n    \/* Block-Einstellungen *\/\n    #header-1col-block_60d445b133c64{      background-color: #FFFFFF;          }                  <\/style>\n\n\n\n<!-- Block-Wrapper Anfang -->\n<div id=\"content-1col-block_60d445dc33c66\" class=\"block block--content-1col pt-3 pb-0   \">\n  <div class=\"block__inner block__inner--content-1col container \">\n    <!-- \/Block-Wrapper Anfang -->\n\n        <div class=\"row\">\n                    <div class=\"col-12\">\n          \n          \n            \n<div class=\"content__modul content__text\">\n  <h2>Compliance Management<br \/>\nEpisode 4: Compliance Guidelines \u2013 Defining the Framework<\/h2>\n<p>Solid guidelines \u2013 often also called \u201cpolicies\u201d \u2013 are the basis for a Compliance Management System (CMS) which builds binding commitments.<\/p>\n<\/div>\n\n          \n\n          <\/div>\n        <\/div>\n\n<!-- Block-Wrapper Ende -->\n      <\/div><!-- .block__inner -->\n<\/div><!-- .block -->\n<!-- \/Block-Wrapper Ende -->\n\n<script>\n\nvar kachelID = '#content-1col-block_60d445dc33c66';\n\noneColSlider(kachelID);\n\nfunction oneColSlider(kachelID){\n\n  var kachelSelector = kachelID + ' .onecol-slider__inner';\n  var dotSelector = kachelID + ' .onecol-slider__dots';\n  var arrowsSelector = kachelID + ' .onecol-slider__arrows';\n\n  jQuery( document ).ready(function() {\n      jQuery(kachelSelector).slick({\n        dots: true,\n        appendDots: jQuery(dotSelector),\n        arrows: true,\n        appendArrows: jQuery(arrowsSelector),\n        prevArrow: '<i class=\"fas fa-arrow-alt-circle-left onecol-slider__arrows--prev\"><\/i>',\n        nextArrow: '<i class=\"fas fa-arrow-alt-circle-right onecol-slider__arrows--next\"><\/i>',\n        infinite: true,\n        speed: 500,\n        autoplay: true,\n        autoplaySpeed: 10000,\n        slidesToShow: 1\n\n      });\n    });\n\n}\n<\/script>\n\n\n  <style type=\"text\/css\">\n    #content-1col-block_60d445dc33c66{      background-color: #FFFFFF;          }                  <\/style>\n\n\n\n<!-- Block-Wrapper Anfang -->\n<div id=\"content-1col-block_60d445fa33c68\" class=\"block block--content-1col pt-3 pb-0   \">\n  <div class=\"block__inner block__inner--content-1col container \">\n    <!-- \/Block-Wrapper Anfang -->\n\n        <div class=\"row\">\n                    <div class=\"col-12\">\n          \n          \n            \n<div class=\"content__modul content__text\">\n  <h3>Guidelines as the backbone of a CMS<\/h3>\n<p>As mentioned in the previous post, many compliance officers start immediately by creating and promulgating guidelines they consider necessary. This creates a sense of security, since you now have progress to show \u201con paper\u201d.<\/p>\n<p>True is: A concise, comprehensible set of guidelines adapted to company-specific risks provides necessary structure and establishes the <strong>expectation horizon.<\/strong> Once a thorough risk assessment has fostered understanding of a company\u2019s sensitive, risk-prone areas, guidelines provide a framework for addressing these risks at the regulatory level. They represent a lasting standard against which the Compliance Program and the behavior of the employees will be measured.<\/p>\n<p>But what exactly are guidelines? <span class=\"marginalia\">Put simply, guidelines are intended to translate \u201cexternal\u201d laws into the corporation\u2019s language.<\/span> This \u201clanguage\u201d should reflect the reality of the company and \u2013 of course \u2013 should be comprehensible. This may seem obvious, but experience shows this expectation is not always fulfilled.<\/p>\n<p>The following <strong>\u201cDos &amp; Don\u2019ts\u201d<\/strong> should be particularly highlighted:<\/p>\n<p><strong>Do:<\/strong><\/p>\n<ul>\n<li>Clear structure and language<\/li>\n<li>Where possible: visuals<\/li>\n<li>Definition of central terms<\/li>\n<li>Reference to and consistency with other guidelines<\/li>\n<\/ul>\n<p><strong>Don\u2019t:<\/strong><\/p>\n<ul>\n<li>Long texts<\/li>\n<li>Copy chunks of legal text<\/li>\n<li>Unclear legal terms and wording<\/li>\n<li>Absence of company-related examples<\/li>\n<\/ul>\n<p>There is rarely a strong emphasis on formal criteria, at least in the case of guidelines in the compliance area. Compliance officers within companies are therefore usually free to decide on the content and the formulation of specific rules, as long as the rules serve to successfully organize collective behavior in the company. It is important to note here that there are different \u201crule types\u201d [1], for example:<\/p>\n<ul>\n<li>\u201cBoundary rules\u201d, which explain which behavior is unacceptable<\/li>\n<li>\u201cPriority rules\u201d, which prescribe a solution in case of conflict<\/li>\n<li>\u201cImplementation rules\u201d, which explain how a certain guideline should be \u201clived\u201d within the company<\/li>\n<li>\u201cCommunication rules\u201d indicating which departments\/persons need be informed about certain actions or decisions<\/li>\n<\/ul>\n<p>It is not necessary to use every rule type; the selection of types depends largely on the individual case. <span class=\"marginalia\">However, one thing is clear: <strong>Simple<\/strong> Rules increase the overall likelihood that addressees will adhere to them.<\/span><\/p>\n<\/div>\n\n          \n\n          <\/div>\n        <\/div>\n\n<!-- Block-Wrapper Ende -->\n      <\/div><!-- .block__inner -->\n<\/div><!-- .block -->\n<!-- \/Block-Wrapper Ende -->\n\n<script>\n\nvar kachelID = '#content-1col-block_60d445fa33c68';\n\noneColSlider(kachelID);\n\nfunction oneColSlider(kachelID){\n\n  var kachelSelector = kachelID + ' .onecol-slider__inner';\n  var dotSelector = kachelID + ' .onecol-slider__dots';\n  var arrowsSelector = kachelID + ' .onecol-slider__arrows';\n\n  jQuery( document ).ready(function() {\n      jQuery(kachelSelector).slick({\n        dots: true,\n        appendDots: jQuery(dotSelector),\n        arrows: true,\n        appendArrows: jQuery(arrowsSelector),\n        prevArrow: '<i class=\"fas fa-arrow-alt-circle-left onecol-slider__arrows--prev\"><\/i>',\n        nextArrow: '<i class=\"fas fa-arrow-alt-circle-right onecol-slider__arrows--next\"><\/i>',\n        infinite: true,\n        speed: 500,\n        autoplay: true,\n        autoplaySpeed: 10000,\n        slidesToShow: 1\n\n      });\n    });\n\n}\n<\/script>\n\n\n  <style type=\"text\/css\">\n    #content-1col-block_60d445fa33c68{      background-color: #FFFFFF;          }                  <\/style>\n\n\n\n<!-- Block-Wrapper Anfang -->\n<div id=\"content-1col-block_60d446ab33c6a\" class=\"block block--content-1col pt-3 pb-0   \">\n  <div class=\"block__inner block__inner--content-1col container \">\n    <!-- \/Block-Wrapper Anfang -->\n\n        <div class=\"row\">\n                    <div class=\"col-12\">\n          \n          \n            \n<div class=\"content__modul content__text\">\n  <h3>Important: Involve stakeholders early on!<\/h3>\n<p>Paper, as we know, is patient. Even a guideline crafted with all possible care may not necessarily meet with approval. Therefore, make sure that <strong>all important departments<\/strong> are included and involved in the policy. \u201cInvolved\u201d here definitely means inviting an active contribution.<\/p>\n<\/div>\n\n          \n\n          <\/div>\n        <\/div>\n\n<!-- Block-Wrapper Ende -->\n      <\/div><!-- .block__inner -->\n<\/div><!-- .block -->\n<!-- \/Block-Wrapper Ende -->\n\n<script>\n\nvar kachelID = '#content-1col-block_60d446ab33c6a';\n\noneColSlider(kachelID);\n\nfunction oneColSlider(kachelID){\n\n  var kachelSelector = kachelID + ' .onecol-slider__inner';\n  var dotSelector = kachelID + ' .onecol-slider__dots';\n  var arrowsSelector = kachelID + ' .onecol-slider__arrows';\n\n  jQuery( document ).ready(function() {\n      jQuery(kachelSelector).slick({\n        dots: true,\n        appendDots: jQuery(dotSelector),\n        arrows: true,\n        appendArrows: jQuery(arrowsSelector),\n        prevArrow: '<i class=\"fas fa-arrow-alt-circle-left onecol-slider__arrows--prev\"><\/i>',\n        nextArrow: '<i class=\"fas fa-arrow-alt-circle-right onecol-slider__arrows--next\"><\/i>',\n        infinite: true,\n        speed: 500,\n        autoplay: true,\n        autoplaySpeed: 10000,\n        slidesToShow: 1\n\n      });\n    });\n\n}\n<\/script>\n\n\n  <style type=\"text\/css\">\n    #content-1col-block_60d446ab33c6a{      background-color: #FFFFFF;          }                  <\/style>\n\n\n\n<!-- Block-Wrapper Anfang -->\n<div id=\"content-1col-block_60d446c633c6c\" class=\"block block--content-1col pt-3 pb-0   \">\n  <div class=\"block__inner block__inner--content-1col container \">\n    <!-- \/Block-Wrapper Anfang -->\n\n        <div class=\"row\">\n                    <div class=\"col-12\">\n          \n          \n            \n<div class=\"content__modul content__text\">\n  <h3>Training and Communication<\/h3>\n<p><span class=\"marginalia\">It is not enough to create a guideline only to bury it somewhere in the depths of the corporate intranet. The \u201croll-out\u201d \u2013 that is, the systematic communication, training and implementation of the new rules \u2013 is equally important.<\/span> The success of the policy depends on its being anchored in the company\u2019s DNA. Creating a set of frequently asked questions and answers (\u201cQ&amp;A\u201d) explaining guidelines is often particularly useful. The most important aspects can be explained again in the questions and answers. Add questions employees ask you about the policy. Answer these questions clearly and accurately. This exercise will also help you, as a compliance officer, carefully consider the scope and consequences of the regulations. The best part is: You can continue to update and improve the Q&amp;A over time, which simultaneously creates a record of your consulting activities.<\/p>\n<p>[1] Donald Sull\/Kathleen M. Eisenhardt, Simple Rules: How to Thrive in a Complex World.<\/p>\n<\/div>\n\n          \n\n          <\/div>\n        <\/div>\n\n<!-- Block-Wrapper Ende -->\n      <\/div><!-- .block__inner -->\n<\/div><!-- .block -->\n<!-- \/Block-Wrapper Ende -->\n\n<script>\n\nvar kachelID = '#content-1col-block_60d446c633c6c';\n\noneColSlider(kachelID);\n\nfunction oneColSlider(kachelID){\n\n  var kachelSelector = kachelID + ' .onecol-slider__inner';\n  var dotSelector = kachelID + ' .onecol-slider__dots';\n  var arrowsSelector = kachelID + ' .onecol-slider__arrows';\n\n  jQuery( document ).ready(function() {\n      jQuery(kachelSelector).slick({\n        dots: true,\n        appendDots: jQuery(dotSelector),\n        arrows: true,\n        appendArrows: jQuery(arrowsSelector),\n        prevArrow: '<i class=\"fas fa-arrow-alt-circle-left onecol-slider__arrows--prev\"><\/i>',\n        nextArrow: '<i class=\"fas fa-arrow-alt-circle-right onecol-slider__arrows--next\"><\/i>',\n        infinite: true,\n        speed: 500,\n        autoplay: true,\n        autoplaySpeed: 10000,\n        slidesToShow: 1\n\n      });\n    });\n\n}\n<\/script>\n\n\n  <style type=\"text\/css\">\n    #content-1col-block_60d446c633c6c{      background-color: #FFFFFF;          }                  <\/style>\n\n\n\n<!-- Block-Wrapper Anfang -->\n<div id=\"content-1col-block_60d446ec33c6e\" class=\"block block--content-1col pt-3 pb-3   \">\n  <div class=\"block__inner block__inner--content-1col container \">\n    <!-- \/Block-Wrapper Anfang -->\n\n        <div class=\"row\">\n                    <div class=\"col-12\">\n          \n          \n            \n<div class=\"content__modul content__text\">\n  <h3>What\u2019s Next:<\/h3>\n<p>In the next episode, we\u2019ll address <a href=\"https:\/\/catuslaw.com\/en\/blog\/compliance-management-epsiode-5-compliance-processes-establishing-the-framework\/\">compliance procedures<\/a>.<\/p>\n<p><strong>If you are unsure how to set up and run your compliance project successfully, please feel free to <a href=\"mailto:info@catuslaw.com\">contact<\/a> me.<\/strong><\/p>\n<\/div>\n\n          \n\n          <\/div>\n        <\/div>\n\n<!-- Block-Wrapper Ende -->\n      <\/div><!-- .block__inner -->\n<\/div><!-- .block -->\n<!-- \/Block-Wrapper Ende -->\n\n<script>\n\nvar kachelID = '#content-1col-block_60d446ec33c6e';\n\noneColSlider(kachelID);\n\nfunction oneColSlider(kachelID){\n\n  var kachelSelector = kachelID + ' .onecol-slider__inner';\n  var dotSelector = kachelID + ' .onecol-slider__dots';\n  var arrowsSelector = kachelID + ' .onecol-slider__arrows';\n\n  jQuery( document ).ready(function() {\n      jQuery(kachelSelector).slick({\n        dots: true,\n        appendDots: jQuery(dotSelector),\n        arrows: true,\n        appendArrows: jQuery(arrowsSelector),\n        prevArrow: '<i class=\"fas fa-arrow-alt-circle-left onecol-slider__arrows--prev\"><\/i>',\n        nextArrow: '<i class=\"fas fa-arrow-alt-circle-right onecol-slider__arrows--next\"><\/i>',\n        infinite: true,\n        speed: 500,\n        autoplay: true,\n        autoplaySpeed: 10000,\n        slidesToShow: 1\n\n      });\n    });\n\n}\n<\/script>\n\n\n  <style type=\"text\/css\">\n    #content-1col-block_60d446ec33c6e{      background-color: #FFFFFF;          }                  <\/style>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[4],"tags":[],"class_list":["post-3032","post","type-post","status-publish","format-standard","hentry","category-uncategorized"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.2 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Compliance guidelines &#8211;Compliance Management Episode 4 &#8211; Catus Blog<\/title>\n<meta name=\"description\" content=\"Solid guidelines \u2013 often also called \u201cpolicies\u201d \u2013 are the basis for a Compliance Management System (CMS) which builds binding commitments.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/catuslaw.com\/en\/blog\/compliance-management-episode-4-compliance-guidelines-defining-the-framework\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Compliance guidelines &#8211;Compliance Management Episode 4 &#8211; 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