Confidential / © Siemens AG / Siemens Management Consulting 2009. All rights reserved Die...

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

February 2009 SMC


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

February 2009 SMC



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

February 2009 SMC



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

February 2009 SMC



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

February 2009 SMC



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

February 2009 SMC



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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