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Confidential / © Siemens AG / Siemens Management Consulting All rights reserved A megújult Siemens vezetés korrupció ellenes politikája Előadás a Német-Magyar Kereskedelmi Kamara részére Kühn János Compliance Igazgató DUIHK, Február 10, 2009
Page 2 February 2009 SMC Confidential / © Siemens AG / Siemens Management Consulting All rights reserved 2739 Collective Action 01/09 – _Interview_Guideline_Szentkuti.ppt Collective Action – Meeting with Dr. Szentkuti Agenda SIEMENS BRIBERY SCANDAL Pierer gives up The resignation of Heinrich von Pierer, head of the Siemens supervisory board, has been speculated on for quite some time. Still, the announcement last night that he would step down was a surprise for many. He has obviously been under massive pressure from the group‘s top management. © Spiegel-Online, 20 April 2007 BRIBERY SCANDAL Two more Siemens board members to leave Next, please: Klaus Kleinfeld‘s head was not the last to roll at Siemens: Two more board members, European operations chief Johannes Feldmayer and Jürgen Radomski, in charge of personnel, are preparing for the end of their careers as board members – both are implicated in the bribery scandal at Siemens. © Spiegel-Online, 27 April 2007 KLEINFELD THROWS IN THE TOWEL Siemens CEO Undermined by Board Siemens CEO Klaus Kleinfeld couldn't hang on to his job once the supervisory board had turned against him – despite his having turned Siemens around and announcing increased profits. On Wednesday he jumped before he could be pushed. © Spiegel-Online, 26 April 2007
Page 3 February 2009 SMC Confidential / © Siemens AG / Siemens Management Consulting All rights reserved 2739 Collective Action 01/09 – _Interview_Guideline_Szentkuti.ppt Our goal: Benchmark for Transparency Tone from the top No tolerance on a global basis for illegal behavior Restore trust Thorough and independent investigation of past compliance cases Compliance Program with focus on “Prevent – Detect – Respond” Clear commitment of management
Page 4 February 2009 SMC Confidential / © Siemens AG / Siemens Management Consulting All rights reserved 2739 Collective Action 01/09 – _Interview_Guideline_Szentkuti.ppt The Siemens compliance program represents a paradigm change in corporate governance Selected differentiators Built-in controls provide operational oversight– with blocking rights on partners and transactions! Incentive system linked to compliance (appr. 20% of management bonuses based on compliance-related metrics) Escalation and detective mechanisms Involve external parties to combat corruption PreventDetectRespond Training Policies & Procedures Program communication Centralization Forensic & part of standard audits Compliance reviews Compliance controls Consequences for misconduct Global case tracking Monitoring effectiveness Integration with personnel processes Compliance helpdesk (incl. Global Ombudsman function) Compliance Organization "Tone from the Top" Continuo us improve- ment "To ensure buy-in beyond doubt, Siemens is pushing its program further than most firms dare“ CFO Magazine, October 2008
Page 5 February 2009 SMC Confidential / © Siemens AG / Siemens Management Consulting All rights reserved 2739 Collective Action 01/09 – _Interview_Guideline_Szentkuti.ppt Compliance framework Elements of operational control Risk-based evaluation of business and support areas Pushing control onto suppliers and intermediaries: special provisions and monitoring for higher risk partner contracts Blocking payments to excessive risk partners No-go in case of doubtful business or acquisition "As economies slow and profits are hard to come by, will ethics programs be shifted to the back turner? That's a huge temptation for business people in difficult times. But I would warn against it. It's something that could come back and haunt you. Just ask Siemens" Jermyn Brooks, Director of the private sector program at Transparency International. In: CFO Magazine, October 2008
Page 6 February 2009 SMC Confidential / © Siemens AG / Siemens Management Consulting All rights reserved 2739 Collective Action 01/09 – _Interview_Guideline_Szentkuti.ppt 1) Status is Sep. 30, exception: Findings/ Disciplinary Sanctions Sep. 15, ) Cumulative 3) Embezzlement of company assets, harassment, discrimination, etc. 4) Forfeiture of variable payment elements, transfer to another position, suspension 5) mainly part-time 6) Including implementation management Handeln Compliance – Fortschrittsbericht Q1 GJ 2009 Detect Respond Prevent Helpdesk Disziplinarmaßnahmen Compliance Personal weltweit Training 1) "Tell Us" & Ombudsmann 30% Teilnahme an persönlichen Schulungen Q1/08Q2Q3Q4Q1/09 Anfangsverdacht Kein Anfangsverdacht Teilnahme an web-basierten Schulungen 81 82,4 Q1/08 87,0 101,8 Q2 108,0 138,0 Q3 123,0 175,2 Q4 129,3 196,4 Q1/09 Angaben in Tausend Q1/ Q Q Q Q1/ ) GJ 06GJ ) 621 GJ geahndete Verstöße 60 Beendigung Arbeitsverhältnis 18 Andere 2) 97 Verwarnung / Abmahnung "Ask Us" Zielgröße 180,000 Trainings übertroffen Helpdesk Q1 Themen "Tell Us" 28% Fehl- verhalten 18% Arbeits- bedingungen 17% Interessenskonflikt 8% Korruption 7% Betrug 22% Andere 1) Kumuliert 2) Verlust von variablen und freiwilligen Entgeltbestandteilen, Versetzung, Suspendierung 3) Compliance nur ein Teil der Aufgaben 4) Beinhaltet Implementierungs-Manager
Page 7 February 2009 SMC Confidential / © Siemens AG / Siemens Management Consulting All rights reserved 2739 Collective Action 01/09 – _Interview_Guideline_Szentkuti.ppt Corruption rewards inefficiency. Collective action may help achieve fair competition. Rationale for Collective Action Siemens is benchmark in compliance Competitive disadvantage in corrupt environments Collective Action to foster fair competition in Public Sector Corrupt environmentLevel playing field Collective Action
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