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Innovation Labs
(2021)
Today's increasing pace of change and intense competition places demands on organizations to use a different approach to innovation, going beyond the incremental innovation that is typically developed within the core of the organization. As an option to escape the existing beliefs of the core organization, innovation labs are used to develop more discontinuous innovation. Despite the abundance of these so-called innovation labs in practice, researchers have devoted little effort to scrutinizing the concept and to provide managers with a framework for exploiting this form of innovation. In this paper, we aim to perform an empirical investigation and to create a consensus around the concept of innovation labs. To do so, we conducted a multiple case study in large international organizations with a total of 31 interviews of an average length of 70 minutes. We offer a framework by identifying four innovation lab types and consider when each is most appropriate. Furthermore, we highlight the importance for managers and their organizations to align the strategic intent with the innovation lab type as well as the interface between the innovation lab and the core business.
Text produced by entrepreneurs represents a data source in entrepreneurship research on venture performance and fund-raising success. Manual text coding of single variables is increasingly assisted or replaced by computer-aided text analysis. Yet, for the development of prediction models with several variables, such dictionary-based text analysis methods are less suitable. Natural language processing techniques are an alternative; however, the implementation is more complex and requires substantial programming skills. More work is required to understand how text analytics can advance entrepreneurship research. This study hence experiments with different artificial intelligence methods rooted in Natural Language Processing and deep learning. It uses 766 business plans to train a model for the automated measurement of transaction relations, a construct which is an indicator for new technology-based firm survival. Empirical findings show that the accuracy of construct measurement can be significantly increased with automated methods and improves with larger amounts of training data. Language complexity sets limits to the precision of automated construct measurement though. We therefore recommend a hybrid approach: making use of the inherent advantages of combining automated with human coding until the amount of training data is sufficiently large to substitute the human coding completely. The study provides insights into the applicability of different text analytics methods in entrepreneurship research and points at future research potential.
Die Entwicklung der Elektromobilität, als alternative Fortbewegungsform ist seit geraumer Zeit eine nicht nur regional, sondern weltweit und unter den verschiedensten Aspekten (Technik, Umwelt, Wirtschaft, Energiewende etc.) intensiv betrachtete und untersuchte Thematik. Hierbei spielt der mögliche positive Effekt auf die Umwelt und die Energiewende hin zu nicht fossilen Energieträgern eine zentrale Rolle für Politik und Forschung bei der Förderung dieser Technologie. Die vorliegende Arbeit untersucht die Elektromobilität im Bodenseetourismus. Ziel der Arbeit ist es, die Potenziale für die Integration der Elektromobilität im Bodenseetourismus darzustellen. Hierfür wird die Elektromobilität im Bodenseetourismus als innovative Mobilitätsform postuliert, verstanden und untersucht. Die Betrachtung der Diffusion der Innovation wird vor dem Hintergrund heterogener Akteursgruppen im Dreiländereck D-A-CH untersucht.
Cultural Mapping 4.0
(2021)
Die Bodenseeregion gehört zu einer der ältesten Kulturlandschaften Europas. Ihre regionale kulturelle Identität trägt zum Image sowie Identifikation seitens der Bevölkerung mit der Bodenseeregion bei. Dennoch mangelt es an einer ganzheitlichen, die gesamte Bodenseeregion umfassende Betrachtung der Frage, was die kulturelle Identität der Bodenseeregion ausmacht. Das Forschungsprojekt «CultMap4.0» hat daher zum Ziel, aus einer räumlichen Perspektive die Wechselwirkung zwischen regionaler Identität, Kultur und Mobilität zu untersuchen. Neben der Leitfrage, was kulturelle Identität in einer grenzüberschreitenden und diversen Region wie dem Bodensee zu sein und leisten vermag, werden im Rahmen von vier Themenschwerpunkten folgende Forschungsfragen untersucht: Wie nehmen einheimische Bevölkerung, Unternehmen und TouristInnen die regionale kulturelle Identität (Eigenbild) und das Image (Fremdbild) der Bodenseeregion wahr? Wie kann der Ansatz des “Cultural Mappings” durch partizipative Kartierung digital transformiert werden, und wie können kulturelle Identität und Mobilität mit digitalem Storytelling in Storymaps visualisiert werden? Welchen Beitrag kann “Cultural Mapping 4.0” als partizipatives Werkzeug zur Regionalplanung und zur Kommunikation mit Stakeholdern in der Bodenseeregion und anderenorts leisten? Die dabei entstehenden Storymaps – interaktive Webinhalte aus Texten, Karten und weiteren Medien – zur kulturellen Identität der Bodenseeregion sollen auf der Plattform “Cultural Mapping” Project Lake Constance” veröffentlicht werden, um so von den Stakeholdern als Planungs- und Entscheidungstool sowie fürs Standortmarketing genutzt werden zu können.
Interpretability and uncertainty modeling are important key factors for medical applications. Moreover, data in medicine are often available as a combination of unstructured data like images and structured predictors like patient’s metadata. While deep learning models are state-of-the-art for image classification, the models are often referred to as ’black-box’, caused by the lack of interpretability. Moreover, DL models are often yielding point predictions and are too confident about the parameter estimation and outcome predictions.
On the other side with statistical regression models, it is possible to obtain interpretable predictor effects and capture parameter and model uncertainty based on the Bayesian approach. In this thesis, a publicly available melanoma dataset, consisting of skin lesions and patient’s age, is used to predict the melanoma types by using a semi-structured model, while interpretable components and model uncertainty is quantified. For Bayesian models, transformation model-based variational inference (TM-VI) method is used to determine the posterior distribution of the parameter. Several model constellations consisting of patient’s age and/or skin lesion were implemented and evaluated. Predictive performance was shown to be best by using a combined model of image and patient’s age, while providing the interpretable posterior distribution of the regression coefficient is possible. In addition, integrating uncertainty in image and tabular parts results in larger variability of the outputs corresponding to high uncertainty of the single model components.
The performance and reliability of non-volatile NAND flash memories deteriorate as the number of program/erase cycles grows. The reliability also suffers from cell to cell interference, long data retention time, and read disturb. These processes effect the read threshold voltages. The aging of the cells causes voltage shifts which lead to high bit error rates (BER) with fixed pre-defined read thresholds. This work proposes two methods that aim on minimizing the BER by adjusting the read thresholds. Both methods utilize the number of errors detected in the codeword of an error correction code. It is demonstrated that the observed number of errors is a good measure for the voltage shifts and is utilized for the initial calibration of the read thresholds. The second approach is a gradual channel estimation method that utilizes the asymmetrical error probabilities for the one-to-zero and zero-to-one errors that are caused by threshold calibration errors. Both methods are investigated utilizing the mutual information between the optimal read voltage and the measured error values.
Numerical results obtained from flash measurements show that these methods reduce the BER of NAND flash memories significantly.
Four-Dimensional Hurwitz Signal Constellations, Set Partitioning, Detection, and Multilevel Coding
(2021)
The Hurwitz lattice provides the densest four-dimensional packing. This fact has motivated research on four-dimensional Hurwitz signal constellations for optical and wireless communications. This work presents a new algebraic construction of finite sets of Hurwitz integers that is inherently accompanied by a respective modulo operation. These signal constellations are investigated for transmission over the additive white Gaussian noise (AWGN) channel. It is shown that these signal constellations have a better constellation figure of merit and hence a better asymptotic performance over an AWGN channel when compared with conventional signal constellations with algebraic structure, e.g., two-dimensional Gaussian-integer constellations or four-dimensional Lipschitz-integer constellations. We introduce two concepts for set partitioning of the Hurwitz integers. The first method is useful to reduce the computational complexity of the symbol detection. This suboptimum detection approach achieves near-maximum-likelihood performance. In the second case, the partitioning exploits the algebraic structure of the Hurwitz signal constellations. We partition the Hurwitz integers into additive subgroups in a manner that the minimum Euclidean distance of each subgroup is larger than in the original set. This enables multilevel code constructions for the new signal constellations.
Error correction coding for optical communication and storage requires high rate codes that enable high data throughput and low residual errors. Recently, different concatenated coding schemes were proposed that are based on binary BCH codes with low error correcting capabilities. In this work, low-complexity hard- and soft-input decoding methods for such codes are investigated. We propose three concepts to reduce the complexity of the decoder. For the algebraic decoding we demonstrate that Peterson's algorithm can be more efficient than the Berlekamp-Massey algorithm for single, double, and triple error correcting BCH codes. We propose an inversion-less version of Peterson's algorithm and a corresponding decoding architecture. Furthermore, we propose a decoding approach that combines algebraic hard-input decoding with soft-input bit-flipping decoding. An acceptance criterion is utilized to determine the reliability of the estimated codewords. For many received codewords the stopping criterion indicates that the hard-decoding result is sufficiently reliable, and the costly soft-input decoding can be omitted. To reduce the memory size for the soft-values, we propose a bit-flipping decoder that stores only the positions and soft-values of a small number of code symbols. This method significantly reduces the memory requirements and has little adverse effect on the decoding performance.
Algorithms and Architectures for Cryptography and Source Coding in Non-Volatile Flash Memories
(2021)
In this work, algorithms and architectures for cryptography and source coding are developed, which are suitable for many resource-constrained embedded systems such as non-volatile flash memories. A new concept for elliptic curve cryptography is presented, which uses an arithmetic over Gaussian integers. Gaussian integers are a subset of the complex numbers with integers as real and imaginary parts. Ordinary modular arithmetic over Gaussian integers is computational expensive. To reduce the complexity, a new arithmetic based on the Montgomery reduction is presented. For the elliptic curve point multiplication, this arithmetic over Gaussian integers improves the computational efficiency, the resistance against side channel attacks, and reduces the memory requirements. Furthermore, an efficient variant of the Lempel-Ziv-Welch (LZW) algorithm for universal lossless data compression is investigated. Instead of one LZW dictionary, this algorithm applies several dictionaries to speed up the encoding process. Two dictionary partitioning techniques are introduced that improve the compression rate and reduce the memory size of this parallel dictionary LZW algorithm.
Acoustic Echo Cancellation (AEC) plays a crucial role in speech communication devices to enable full-duplex communication. AEC algorithms have been studied extensively in the literature. However, device specific details like microphone or loudspeaker configurations are often neglected, despite their impact on the echo attenuation or near-end speech quality. In this work, we propose a method to investigate different loudspeaker-microphone configurations with respect to their contribution to the overall AEC performance. A generic AEC system consisting of an adaptive filter and a Wiener post filter is used for a fair comparison between different setups. We propose the near-end-to-residual-echo ratio (NRER) and the attenuation-of-near-end (AON) as quality measures for the full-duplex AEC performance.
Der Inhalt dieser Arbeit befasst sich mit der Erläuterung von Technologien der Industrie 4.0. Diese Technologie soll in Verbindung mit einem Stampfprozess die altbewährte Stampflehmbauweise wieder mehr ins Leben rufen. Dabei soll in dieser Arbeit über die technischen Funktionalitäten, die relevanten Parameter sowie über den Stand der Technik aufgeklärt werden. Darüber hinaus wird in einer Markabschätzung das Potential des Stampflehms als nachhaltige Baumethode und Ersatz für anderweitige Baumethoden untersucht. Hierbei werden die Vor- und Nachteile nochmals aufgezeigt, um eine bessere Beurteilung möglich zu machen. Die Meinungen und Erfahrungen von Experten sind in dieser Arbeit aufbauend miteingeflossen.
Electricity generation from renewable energies often fluctuates due to weather and other natural effects. The instrument of control energy (balancing energy) can compensate for these fluctuations and thus guarantee the system and supply security of the electricity grid. Luxury hotels on tourist islands could react to fluctuations in electricity generation and provide balancing energy. The purpose of this paper is to investigate the electricity consumption of luxury hotels to assess their potential as a source for providing control energy.
Kritische Analyse des Geschäftsmodells von Amazon mit einem Fokus auf wettbewerbsrechtliche Aspekte
(2021)
Despite the increased attention dedicated to research on the antecedents and determinants of new venture survival in entrepreneurship, defining and capturing survival as an outcome represents a challenge in quantitative studies. This paper creates awareness for ventures being inactive while still classified as surviving based on the data available. We describe this as the ‘living dead’ phenomenon, arguing that it yields potential effects on the empirical results of survival studies. Based on a systematic literature review, we find that this issue of inactivity has not been sufficiently considered in previous new venture survival studies. Based on a sample of 501 New Technology-Based Firms, we empirically illustrate that the classification of living dead ventures into either survived or failed can impact the factors determining survival. On this basis, we contribute to an understanding of the issue by defining the ‘living dead’ phenomenon and by proposing recommendations for research practice to solve this issue in survival studies, taking the data source, the period under investigation and the sample size into account.
Female Entrepreneurship has gained interest over the last 20 years. Therefore, this paper analyses 7,320 articles of the research field ‘women in entrepreneurial context’ published in 885 journals. The sample is analyzed by using a machine learning and text mining based methodological approach. Aiming to provide a broad overview over the research literature, 41 clusters and 11 superordinate topics were identified. Major developments of research attention are outlined by analyzing bibliometric data of the period from 2000 to 2020. Overall growth in terms of research attention measured by the development of yearly citations per article is best noticeable in clusters ‘corporate social responsibility’, ‘brand’, and ‘corporate (-governance)’, and in superordinate topics ‘performance’, ‘education’, and ‘corporate (board/ management)’. There are also indicators for an overall increase of research attention and cluster variety. The synthesis provides an insight into most trending superordinate topics. Therefore, this literature review gives a comprehensive and descriptive overview as well as an insight into thematic trend developments of the research field.
The encoding of antenna patterns with generalized spatial modulation as well as other index modulation techniques require w-out-of-n encoding where all binary vectors of length n have the same weight w. This constant-weight property cannot be obtained by conventional linear coding schemes. In this work, we propose a new class of constant-weight codes that result from the concatenation of convolutional codes with constant-weight block codes. These constant-weight convolutional codes are nonlinear binary trellis codes that can be decoded with the Viterbi algorithm. Some constructed constant-weight convolutional codes are optimum free distance codes. Simulation results demonstrate that the decoding performance with Viterbi decoding is close to the performance of the best-known linear codes. Similarly, simulation results for spatial modulation with a simple on-off keying show a significant coding gain with the proposed coded index modulation scheme.
List decoding for concatenated codes based on the Plotkin construction with BCH component codes
(2021)
Reed-Muller codes are a popular code family based on the Plotkin construction. Recently, these codes have regained some interest due to their close relation to polar codes and their low-complexity decoding. We consider a similar code family, i.e., the Plotkin concatenation with binary BCH component codes. This construction is more flexible regarding the attainable code parameters. In this work, we consider a list-based decoding algorithm for the Plotkin concatenation with BCH component codes. The proposed list decoding leads to a significant coding gain with only a small increase in computational complexity. Simulation results demonstrate that the Plotkin concatenation with the proposed decoding achieves near maximum likelihood decoding performance. This coding scheme can outperform polar codes for moderate code lengths.
Die Fähigkeit zur Erzeugung einer nur wenige Nanometer dicken Passivschicht gelingt nichtrostenden Edelstählen aufgrund deren chemischer Zusammensetzung. Die erzielte Korrosionsbeständigkeit wird allerdings darüber hinaus als Systemeigenschaft von einer Vielzahl von weiteren Faktoren beeinflusst. Die vorliegende Arbeit befasst sich fokussiert mit dem Einfluss der schleiftechnischen Oberflächenbearbeitung von zwei ausgesuchten metastabilen austenitischen Legierungen auf deren Korrosionsverhalten.
Obwohl beide Legierungen eine vergleichbare Beständigkeit gemäß der chemischen Zusammensetzung besitzen, kann gezeigt werden, dass infolge von unterschiedlicher Oberflächenbearbeitung und unterschiedlichem Umformgrad eine starke Variation des Korrosionsverhaltens möglich ist. Es kann ebenfalls nachgewiesen werden, dass die Ausprägung und Anzahl von lokalen Oberflächendefekten hierfür verantwortlich ist. Dem eingesetzten Schleifkornwerkstoff kommt hierbei eine besondere Bedeutung zu.
Im modernen Automobilbau spielen Fussgängerschutzsysteme eine immer stärker werdende Rolle, um Verletzungen und Todesfälle bei Verkehrsunfällen mit Fussgängerbeteiligung zu reduzieren. Eines dieser Sicherheitssysteme ist die aktive Motorhaube. Durch die Verwendung von Formgedächtnislegierungen (FGL) als Aktoren können die bestehenden Systeme vereinfacht werden, wobei die gleiche Funktion durch neue Mechanismen bei reduzierter Grösse und Gewicht sowie verringerten Kosten ausgeführt werden kann. In diesem Beitrag werden nach einer Einleitung zu existierenden Systemen zur Motorhauben-Anhebung FG-Aktoren und deren potenzielle Einsatzmöglichkeiten in Automobilbau kurz vorgestellt.
This paper presents the current state of development and selected technological challenges in the application of ecologically and economically sustainable nets for aquaculture based on ongoing development projects. These aim at the development of a new material system of high-strength stainless steel wires as net material with environmentally compatible antifouling properties for nearshore and offshore aquacultures. Current plastic netting materials will be replaced with high-strength stainless steel to provide a more environmentally friendly system that can withstand more severe mechanical stresses (waves, storms, tides and predators). A new antifouling strategy is expected to solve current challenges, such as ecological damage (e.g., due to pollution from copper-containing antifouling substances or microplastics), high maintenance costs (e.g., cleaning and repairs), and shorter service life. Approaches for the next development steps are presented based on previous experience as well as calculation models based on this experience.
Diese Bachelorarbeit befasst sich mit einem Kooperationsprojekt in Botswana, welches durch Lehrende und Studierende der Hochschule für Technik Wirtschaft und Gestaltung in Konstanz und einigen Experten aus aller Welt umgesetzt werden soll. Außerdem geht sie der Frage nach, was der Unterschied vom klassischen zum hybriden Projektmanagement, welches hier angewendet wird ist und wie es möglich ist eine Supply-Chain für dieses Projekt zu erstellen.
This paper examines how varying antidumping methodologies applied within the World Trade Organization differ in the extent to which they reduce targeted exports. We show that antidumping duties, on average, hit Chinese exporters harder than those of other targeted countries. This difference can be traced back in part to China's non-market economy status, which affects the way antidumping duties are calculated. Furthermore, we show that the type of imposed duty matters, as ad-valorem duties affect exports differently compared to specific duties or duties conditional on the export price. Overall, however, antidumping duties remain effective in reducing imports independent of market economy status.
Jahresbericht 2021
(2021)
Nowadays, the inexpensive memory space promotes an accelerating growth of stored image data. To exploit the data using supervised Machine or Deep Learning, it needs to be labeled. Manually labeling the vast amount of data is time-consuming and expensive, especially if human experts with specific domain knowledge are indispensable. Active learning addresses this shortcoming by querying the user the labels of the most informative images first. One way to obtain the ‘informativeness’ is by using uncertainty sampling as a query strategy, where the system queries those images it is most uncertain about how to classify. In this paper, we present a web-based active learning framework that helps to accelerate the labeling process. After manually labeling some images, the user gets recommendations of further candidates that could potentially be labeled equally (bulk image folder shift). We aim to explore the most efficient ‘uncertainty’ measure to improve the quality of the recommendations such that all images are sorted with a minimum number of user interactions (clicks). We conducted experiments using a manually labeled reference dataset to evaluate different combinations of classifiers and uncertainty measures. The results clearly show the effectiveness of an uncertainty sampling with bulk image shift recommendations (our novel method), which can reduce the number of required clicks to only around 20% compared to manual labeling.
Summary of the 9th workshop on metallization and interconnection for crystalline silicon solar cells
(2021)
The 9th edition of the Workshop on Metallization and Interconnection for Crystalline Silicon Solar Cells was held as an online event but nevertheless reached the workshop goals of knowledge sharing and networking. The technology of screen-printed contacts of high temperature pastes continues its fast progress enabled by better understanding of the phenomena taking place during printing and firing, and progress in materials. Great improvements were also achieved in low temperature paste printing and plated metallization. In the field of interconnection, progress was reported on multiwire approaches, electrically conductive adhesives and on foil-based approaches. Common to many contributions at the workshop was the use of advanced laser processes to improve performance or throughput.
Die Hochschule Konstanz Technik Wirtschaft und Gestaltung (HTWG) leistet sich einen technologischen Think-Tank: Das Open Innovation Lab. Es ist ein Labor, welches über Hierarchien und Fakultätsgrenzen hinweg für die Hochschulangehörigen geöffnet ist. Es leistet seinen Beitrag zu Lehre, Forschung und Transfer. Bezogen auf das Lernen ermöglicht das Labor, für den allgegenwärtigen Prozess der Digitalisierung soziale Verantwortung zu übernehmen und Kreativität im Umfeld technologischer Möglichkeiten zu entwickeln. Drei Ebenen wirken hier zusammen: das Individuum, das Miteinander und die übergreifende Organisationsstruktur.
Experimentelle Untersuchung einer Kontaktverbindung für die Anwendung im konstruktiven Holzbau
(2021)
Im Rahmen dieser Arbeit wurde eine Holz-Holz-Kontaktverbindung aus Brettschichtholz ohne mechanische Verbindungsmittel hinsichtlich ihrer Steifigkeit experimentell untersucht. Eine Druckstrebe wurde mit Hilfe eines versteckten Treppenversatzes unter einem Winkel von 30° bzw. 60° an einen Gurt angeschlossen. Insgesamt wurden in den zwei Prüfreihen 20 Prüfkörper untersucht.
Das für die Versuche verwendete Brettschichtholz wurde von vier verschiedenen Firmen und Ingenieurbüros in Deutschland zur Verfügung gestellt. Für die experimentellen Untersuchungen in dieser privatfinanzierten Masterthesis standen so immerhin ca. 50 Meter Brettschichtholz zur Verfügung.
Die Versuche wurden in der Öffentlichen Prüfstelle für Baustoffe und Geotechnik an der HTWG durchgeführt.
Die Auswertung der Versuchsergebnisse soll Aufschluss über die Steifigkeit, die Tragfähigkeit und das mechanische Verhalten eines solchen modifizierten Versatzes geben. Diese Erkenntnisse sollen eine Grundlage für die computergestützte Modellierung von Verbindungen schaffen, um lokale Effekte in Anschlussbereichen besser zu verstehen und möglichst realitätsnah implementieren zu können.
Continuous range queries are a common means to handle mobile clients in high-density areas. Most existing approaches focus on settings in which the range queries for location-based services are mostly static whereas the mobile clients in the ranges move. We focus on a category called Dynamic Real-Time Range Queries (DRRQ) assuming that both, clients requested by the query and the inquirers, are mobile. In consequence, the query parameters results continuously change. This leads to two requirements: the ability to deal with an arbitrary high number of mobile nodes (scalability) and the real-time delivery of range query results. In this paper we present the highly decentralized solution Adaptive Quad Streaming (AQS) for the requirements of DRRQs. AQS approximates the query results in favor of a controlled real-time delivery and guaranteed scalability. While prior works commonly optimizes data structures on servers, we use AQS to focus on a highly distributed cell structure without data structures automatically adapting to changing client distributions. Instead of the commonly used request-response approach, we apply a lightweight streaming method in which no bidirectional communication and no storage or maintenance of queries are required at all.
Als Grundlage für die im Zuge der Verkehrswende anfallenden Planungs- und Entscheidungsprozesse werden aktuelle und digitale Daten des Straßenraums benötigt. Mobile-Mapping-Systeme sind in der Lage, solche raumbezogenen Daten schnell, genau und flächendeckend zu erfassen. Die anfallenden Datenmengen sind dabei jedoch erheblich und der Zeitaufwand für eine manuelle Analyse durch Personen mit entsprechender Expertise immens. Daher ist eine Automatisierung wünschenswert. Der vorliegende Beitrag gibt einen praxisbezogenen Überblick über Anwendungsmöglichkeiten für Künstliche Intelligenz (KI) im Themenbereich Straßenraumerfassung. Aufbauend auf einer thematischen Einführung in Mobile Mapping und KI werden ausgewählte Anwendungen vorgestellt, bei denen KI-Ansätze typische Prozesse der Straßenraumdatenverarbeitung unterstützen und beschleunigen können.
Compliance wirkt, wenn sie in den Köpfen der Menschen ankommt – und wenn sie adaptiv die Themen der Zeit aufgreift.
Eine Führungskräftebefragung der Kommunikationsagentur A&B One, unterstützt vom Zentrum für Wirtschaftsethik (ZfW), zeichnet hierzu ein aktuelles Bild der wichtigen Zielgruppe “Management”. Der Beitrag skizziert die Sicht von Führungsverantwortlichen aller Ebenen auf die viel diskutierte unternehmerische Verantwortung, auf die Wirksamkeit von Compliance-Maßnahmen und auf Compliance-Risiken im Homeoffice. Er gibt Impulse für die Praxis: von Synergien zwischen Purpose und Integrität bis hin zur Förderung von Regelbewusstsein beim (coronabedingten) Remote Working.
Vertrauen durch Integrität
(2021)
In der Diskussion um unternehmerische Verantwortung hat die Frage nach der Reichweite der Unternehmensverantwortung an Intensität zugenommen, getrieben von der Globalisierung und gesellschaftlichen, ökologischen und technologischen Herausforderungen. Für viele gesellschaftliche und ökologische Problemstellungen wird verstärkt auch die Verantwortung von Unternehmen eingefordert, etwa bei der Achtung von Menschenrechten in der Wertschöpfungskette, der Einhaltung von Sozial- und Umweltstandards, beim Thema Nachhaltigkeit und bei der Produktsicherheit. Wie Unternehmen durch Integritäts- und Compliance-Management ihrer Verantwortung gerecht werden können, zeigt der vorliegende Beitrag.
ISO 37001:2016 is an international management system standard against bribery, issued by the International Organization for Standardization (ISO). The aim of the standard is to support companies and organizations in combating bribery risks in their own operations and in their global value chains to prevent and detect bribery and to create international comparability in anti-corruption management.
ISO itself is the international association of more than 160 national standardization bodies that work together in ISO technical committees to develop international standards. ISO Standard 37001 was published for the first time on 15 October 2016 under the title “Anti-bribery management systems – Requirements with guidance for use”. ISO 37001 is based on the British standard 10500 and refers to international anti-corruption principles and guidelines. The standard is open to all types of organizations, regardless of their size, legal form, or geographical location. ISO 37001 has the usual “high-level structure” of an ISO standard, which simplifies setting up and operating the system alongside other management systems in an organization. As a Type-A standard, ISO 37001 is approved for certification. Companies can ask to be certified by accredited third parties; thus proving that their anti-bribery management system meets the criteria of the ISO 37001 standard. However, neither appropriate certification nor basic conformity to ISO 37001 can guarantee that bribery does not occur. Instead, the certification of a management system indicates that the company has taken all appropriate and required measures to tackle the issue of bribery.
This article discusses the ISO 19600, an international cross-industry standard that contains directives for the use of compliance management systems. The standard is designed as a guideline and is based on the principles of good governance, proportionality, transparency, and sustainability. It covers all forms of corporate and organizational structures and aims to support managers and employees in avoiding unethical conduct. The authors describe the principles of the ISO 19600 standard and in this context examine in more detail the three core elements that form a successful compliance management system: a high-level structure, a risk-based approach, and a plan-do-check-act model. In addition, compliance culture and the role of management are discussed.
Integrity Management
(2021)
Established compliance management systems are not sufficient to guarantee that employees act in a law-abiding and ethical manner. In fact, modern compliance management systems rather require complementary initiatives such as an integrity management which expands the focus which is often only limited to legal content, by considering business decisions also from a moral, social, societal, and ecological perspective. The goal of integrity management is not simply having employees strictly following the rules, but instead promoting moral conduct. Therefore, integrity management particularly pays attention to the ethical behavior of the individual employee, as well as the company and management culture. The company culture can be understood as the sum of the organization’s collective values, convictions, attitudes, and mindsets. The authors point out possibilities and limitation on how companies can influence their culture by setting up targets, incentive and sanctions schemes, in addition to the already-existing control measures.