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Confidential / © Siemens AG / Siemens Management Consulting 2009. All rights reserved
Die Anti-Korruptions-Politik des neuen Siemens Vorstandes
Vortrag für die Deutsch-Ungarische Industrie- und Handelskammer
János KühnCompliance Manager
10. Februar 2009
Page 2 February 2009 SMC
Confidential / © Siemens AG / Siemens Management Consulting 2009. All rights reserved
2739 Collective Action 01/09 – 090202_Interview_Guideline_Szentkuti.ppt
Collective Action – Meeting with Dr. Szentkuti
Agenda
SIEMENS BESTECHUNGSSKANDALVon Pierer gibt aufEs gab bereits seit einiger Zeit Spekulationen über den Rücktritt Heinrich von Pierers ,dem Siemens Aufsichtsrats-Chef. Dennoch kam die Ankündgung über seinen Rücktrit am gestrigen Abend für viele überraschend. Offensichtlich hat das Top-Management des Unternehmens massiven Druck auf ihn ausgeübt. © Spiegel-Online, 20 April 2007
SCHMIERGELDSKANDALWeitere zwei Vorstandsmitglieder müssen gehen Der Nächste bitte: Köpfe rollen, und der von Klaus Kleinfeld war nicht der letzte. Zwei weitere Vorstände bereiten sich auf ein Ende ihrer Karriere vor, Johannes Feldmayer, Direktor des Segments European Operations und der Personalchef, Jürgen Radomski. Beide sind in den Schmiergeldskandal bei Siemens verwickelt.
© Spiegel-Online, 27 April 2007
KLEINFELD WIRFT DAS HANDTUCHSiemens Vorstandsvorsitzender verliert Rückhalt des AufsichtsratesDer Vostandsvorsitzende von Siemens, Klaus Kleinfeld konnte nicht länger handeln, da sich der Aufsichtsrat gegen ihn richtete. 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. Am Mittwoch ging er freiwillig, bevor er über Bord georfen werden konnte.
© Spiegel-Online, 26 April 2007
Page 3 February 2009 SMC
Confidential / © Siemens AG / Siemens Management Consulting 2009. All rights reserved
2739 Collective Action 01/09 – 090202_Interview_Guideline_Szentkuti.ppt
Unser Ziel: Benchmark für Transparenz
Tone from the top
No tolerance on a global basis for illegal behavior
Vertrauen
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 2009. All rights reserved
2739 Collective Action 01/09 – 090202_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
Prevent Detect Respond
Training
Policies & Procedures
Programcommunication
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"
Continuous
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 2009. All rights reserved
2739 Collective Action 01/09 – 090202_Interview_Guideline_Szentkuti.ppt
Compliance framework
'Tone from the Top'
Compliance
Case
Monitoring Effectiveness
Organization
10
11
33
22
Tracking
Training & ProgramCommun-
ication
44
Implementation of Policies and Procedures
3rd parties
Tender & Contracts
Gifts & Hospitality
Finance & Accounting
Integration with Personnel Processes99
88
77
66
55
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 2009. All rights reserved
2739 Collective Action 01/09 – 090202_Interview_Guideline_Szentkuti.ppt
1) Status is Sep. 30, exception: Findings/ Disciplinary Sanctions Sep. 15, 2008 2) 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
Helpdesk
Disziplinarmaßnahmen
Compliance Personal weltweit
Training 1)
"Tell Us" & Ombudsmann
30%
Teilnahme an persönlichen Schulungen
775
1.1071.142
841746
Q1/08 Q2 Q3 Q4 Q1/09
Anfangsverdacht
Kein AnfangsverdachtTeilnahme an web-basierten Schulungen
30,052,2
67,1
14,81,4
81
82,4
Q1/08
87,0
101,8
Q2
108,0
138,0
Q3
123,0
175,2
Q4
129,3
196,4
Q1/09Angaben in Tausend
37
41
5271
33
24
61
Q1/08
73
114
Q2
116
168
Q3
125
196
Q4
110
143
Q1/09
521170863)
GJ 06 GJ 07
100 4)
621
GJ 08
175 geahndete Verstöße
60
BeendigungArbeitsverhältnis
18
Andere 2)
97
Verwarnung /Abmahnung
"Ask Us"
Zielgröße 180,000 Trainings
übertroffen
HelpdeskQ1 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 2009. All rights reserved
2739 Collective Action 01/09 – 090202_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 environment Level playing field
Co
llect
ive
Act
ion
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