The influence of change management practices on the implementation of Compliance Management Systems in companies

Table of Contents

1 Introduction

1.1 Problem statement

1.2 Objective and research question

1.3 Scientific method

1.4 Organization of the thesis

2 Disambiguation and definitions

2.1 Definitions of Compliance

2.1.1 Compliance

2.1.2 Compliance management

2.1.3 Compliance Management System

2.2 Definitions of change management

2.2.1 Strategic management

2.2.2 Change management

2.2.3 Organizational development

2.2.4 Organization design

3 Theoretical basics and legal aspects for Compliance

3.1 Compliance – theoretical basics

3.2 Legal aspects for Compliance

3.2.1 Germany

3.2.2 USA

3.2.3 United Kingdom

3.3 Organizational forms of Compliance

4 Theoretical basics for change management

4.1 Change management – theoretical basics

4.2 The change management process

4.3 Cultural change in companies

5 Overview about the Compliance activities of selected companies

5.1 Siemens AG

5.2 Linde AG

5.3 MAN SE

5.4 Hochtief AG

6 Empiric part

6.1 Description of the methodic approach

6.2 Results of the expert survey

7 Summary and conclusion

7.1 Résumé

7.2 Recommendations

Objectives and Research Focus

This master thesis investigates the impact of change management practices on the implementation and revision of Compliance Management Systems within corporations, aiming to determine whether viewing Compliance as a change management process facilitates successful implementation.

• Analysis of the correlation between Compliance Management Systems and change management practices.
• Theoretical evaluation of Compliance and change management foundations.
• Review of Compliance activities in four major German-based companies (Siemens, Linde, MAN, Hochtief).
• Empirical investigation via an online survey with Compliance experts.
• Development of recommendations for integrating Compliance into organizational culture.

Excerpt from the Book

Summary of Chapters

1 Introduction: Discusses the rise of business scandals and the resulting need for Compliance in international corporations as a means to mitigate risks and gain competitive advantage.

2 Disambiguation and definitions: Defines key terms related to Compliance and change management, establishing the theoretical definitions used throughout the study.

3 Theoretical basics and legal aspects for Compliance: Examines the legal requirements for Compliance in Germany, the USA, and the UK, and explains various organizational structures for Compliance.

4 Theoretical basics for change management: Details change management theories, process models, and the importance of organizational culture for successful transformations.

5 Overview about the Compliance activities of selected companies: Provides practical case studies of Compliance Management Systems implemented at Siemens AG, Linde AG, MAN SE, and Hochtief AG.

6 Empiric part: Describes the methodology of the expert survey and presents the results concerning the usage and effectiveness of change management in Compliance implementation.

7 Summary and conclusion: Synthesizes the findings and provides concrete recommendations for organizations implementing or modifying their Compliance systems.

Keywords

Compliance, Compliance Management System, Change Management, Corporate Culture, Organizational Development, Risk Management, Corruption Prevention, Business Ethics, Strategic Management, Organizational Design, Leadership, Employee Survey, Institutional Governance, Transparency, Corporate Responsibility.

Frequently Asked Questions

What is the fundamental goal of this thesis?

The thesis aims to analyze if there is a correlation between the implementation of Compliance Management Systems and the utilization of change management practices.

What are the core thematic fields of the work?

The study focuses on the intersection of Compliance regulations, organizational strategy, and change management methodologies.

What research question does the author address?

The central research question is: "Which implications does the definition of Compliance management as a change management process have?"

Which methodology is employed in the study?

The author combines a comprehensive literature review of theoretical concepts with an empirical online survey targeting Compliance experts in selected companies.

What is covered in the main section of the paper?

The main section covers the theoretical foundations of Compliance and change management, case studies of four large corporations, and an analysis of survey results regarding employee acceptance and implementation difficulties.

Which keywords best characterize this research?

The work is defined by terms such as Compliance, Change Management, Organizational Culture, Risk Management, and Corporate Governance.

How do Siemens, Linde, MAN, and Hochtief integrate Compliance?

These companies implement Compliance through a "Prevent, Detect, Respond" pillar model, involving specialized Compliance organizations, regular training, and whistleblowing systems.

What is the role of change management in Compliance according to the author?

Change management provides a "toolbox" of methods—such as leadership, communication, and training—that are essential for shifting organizational culture and ensuring long-term Compliance adoption.

What are the primary reasons for employee resistance to Compliance?

Resistance often stems from a loss of decision-making freedom, fear of monitoring, perceptions of "over-regulation," and the difficulty of breaking established "old habits" among long-standing employees.