ISO 19600 is an international standard issued by the International Organization of Standardization (ISO) that aims at supporting organizations worldwide in introducing good compliance measures and maintain integrity. The standard was published in December 2014 and has received both praise and criticism, but no in-depth analysis of its effectiveness. This paper is set out to further analyze the approach offered by ISO 19600 towards compliance. It is supposed to assist cooperations in their decision whether or not to use ISO 19600 as their sole or main resource in implementing good compliance measures within their organization. The research question of this thesis could thus be stated as follows:
How effective are the measures suggested by ISO 19600 in ensuring good compliance in a cooperation?
The term „effectiveness” is defined by the Oxford dictionary as "[t]he degree to which something is successful in producing a desired result". Therefore, this thesis is going to analyze the degree to which ISO 19600 is successful in producing the desired result of preventing compliance violations in cooperations.
The research is based on findings of studies on compliance as well as the suggestions in popular literature on the topic and opinions voiced by various economists and organizations upon the release of ISO 19600 itself. By comparing those with the suggestions made in ISO 19600 it is possible to assess the standard’s potential effectiveness when it is utilized by a cooperation.
Note that ISO 19600 is aimed at all kinds of organizations including non-profit organizations and governmental institutions. The focus of this thesis lies on private, profit-driven enterprises, but most of the thesis’ findings apply to other types of organizations as well.
Inhaltsverzeichnis (Table of Contents)
- Introduction
- Theoretical framework
- About compliance
- Defining "compliance"
- The importance of compliance
- The causes of compliance violations
- Why introduce a Compliance Management System?
- About ISO 19600
- Structure and function of ISO 19600
- How other compliance standards and guidelines compare to ISO 19600
- Why utilize ISO 19600?
- About compliance
- Analysis of ISO 19600
- Applicability and summary of ISO 19600
- Context of the organization
- Leadership
- Planning
- Support
- Operation
- Performance evaluation
- Training
- Improvement
- Analyzing the approach of ISO 19600 on selected topics
- Risk management
- Compliance culture and leadership commitment
- Noncompliance
- The weaknesses of ISO 19600
- Applicability and summary of ISO 19600
- Summary and advice for cooperations utilizing ISO 19600
Zielsetzung und Themenschwerpunkte (Objectives and Key Themes)
This thesis aims to analyze the effectiveness of ISO 19600 in preventing compliance violations in cooperations. It examines the standard's structure, function, and potential impact on achieving good compliance practices within organizations.
- The theoretical framework of compliance and the need for compliance measures.
- The structure and function of ISO 19600 as a compliance standard.
- The applicability and effectiveness of ISO 19600 in different organizational contexts.
- The strengths and weaknesses of ISO 19600 in addressing specific compliance challenges.
- Recommendations for cooperations considering the implementation of ISO 19600.
Zusammenfassung der Kapitel (Chapter Summaries)
The introduction sets the stage by defining the research question and the scope of the study. It also provides an overview of ISO 19600 and its relevance in the context of compliance.
The theoretical framework chapter explores the concept of compliance, its importance, and the causes of violations. It delves into ISO 19600, examining its structure, function, and comparison with other compliance standards.
The analysis of ISO 19600 chapter provides a detailed examination of the standard's applicability, content, and specific suggestions related to risk management, compliance culture, leadership commitment, and noncompliance.
The chapter on the weaknesses of ISO 19600 focuses on identifying the limitations of the standard and its potential shortcomings in addressing certain compliance challenges.
Schlüsselwörter (Keywords)
The key terms and concepts discussed in this thesis include ISO 19600, compliance, compliance management, compliance violations, risk management, compliance culture, leadership commitment, noncompliance, and organizational effectiveness.
- Citar trabajo
- Lisa Sachse (Autor), 2017, The effectiveness of ISO 19600 in preventing compliance violations in cooperations, Múnich, GRIN Verlag, https://www.grin.com/document/446820
