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CASE Siemens - Tema: Ética e Compliance

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Wagner Giovanini - Cluster Compliance Officer South America

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CASE Siemens - Tema: Ética e Compliance

  1. 1. Giovanini – Compliance Maio 2013Page 1 © Siemens AG 2013. All rights reservedConfidential / © Siemens AG 2010. All rights reservedCase SiemensWagner GiovaniniCluster Compliance OfficerSouth AmericaMaio / 2013Compliance
  2. 2. Giovanini – Compliance Maio 2013Page 2 © Siemens AG 2013. All rights reservedVida profissionalGiovanini – Compliance Page 2 © Siemens AG 2013. All rights reserved Maio 2013
  3. 3. Giovanini – Compliance Maio 2013Page 3 © Siemens AG 2013. All rights reservedA evolução do Compliancena Siemens em 5 anosTone from the TopComplianceCaseMonitoring EffectivenessOrganization10113322TrackingTraining &ProgramCommun-ication44Implementation of Policies and Procedures3rdpartiesTender & ContractsGifts & HospitalityFinance & AccountingIntegration with Personnel Processes9988776655Page 7 October 2008© Siemens AG 2008. All rights reservedNew Global Compliance OrganizationChiefComplianceOfficerA. PohlmannCorporate UnitsComplianceOfficerSectorComplianceOfficersComplianceGlobalCoordinatorsCompliancePolicies,Communication& TrainingComplianceProgram, Projects& ReportingComplianceOperatingOfficerDisciplinarySanctionsComplianceHelpdesk &MonitoringComplianceInvestigationRegionalComplianceOfficers(RCOs)Compliance LegalDivision Officers(DCOs)DivisionComplianceOfficers(DCOs)Cross-SectorComplianceOfficers(DCOs)Member of theManaging BoardGeneral CounselP. Solmssen Compliance represented inManaging Board Strong corporate governance Embedded in Sectors/Divisions andRegionsPage 7 October 2008© Siemens AG 2008. All rights reservedNew Global Compliance OrganizationChiefComplianceOfficerA. PohlmannCorporate UnitsComplianceOfficerSectorComplianceOfficersComplianceGlobalCoordinatorsCompliancePolicies,Communication& TrainingComplianceProgram, Projects& ReportingComplianceOperatingOfficerDisciplinarySanctionsComplianceHelpdesk &MonitoringComplianceInvestigationRegionalComplianceOfficers(RCOs)Compliance LegalDivision Officers(DCOs)DivisionComplianceOfficers(DCOs)Cross-SectorComplianceOfficers(DCOs)Member of theManaging BoardGeneral CounselP. Solmssen Compliance represented inManaging Board Strong corporate governance Embedded in Sectors/Divisions andRegionsPrograma deComplianceEstrutura deComplianceDedicação exclusivaAnti-corruptionKit Compliance survey  > 80% resultados satisfatórios Dow Jones Sustainability Index2008: > 90%2009: 100% (Conduct Guideline, Compliance and AC Policies)
  4. 4. Giovanini – Compliance Page 4 © Siemens AG 2013. All rights reserved Maio 2013GovernançaCompliance na Siemens BrasilComo buscar a excelência?  RespostaGESTÃOFerramentasSistema de MediçãoSistema de Compliance
  5. 5. Giovanini – Compliance Page 5 © Siemens AG 2013. All rights reserved Maio 2013Venderbem aimagemConvencerCon-quistarconfiançaObterreconhe-cimentoCriaroportu-nidadeA ç ã od oR C OI N D I V I D U A LQualificaçãoComportamentoSinergia CooperativaE Q U I P EPara estabelecer um sistemaEstratégia, visão e missãoPessoascertas nolugar certoApoio daAltaDireçãoProcessosControlesMediçãoResultadosMelhoriacontínuaB e n c h m a r k Cluster – visão mundial Depto. RCO – visão localMissão do Compliance Mitigar os riscos de Compliance Ser um “trusted partner”, protegendo aspessoas e a empresa Sensibilizar e colocar o Compliance no DNA daorganização Levar o Compliance para fora da empresa,através de Collective Actions
  6. 6. Giovanini – Compliance Page 6 © Siemens AG 2013. All rights reserved Maio 2013Recepção Internalização RepasseAprendizado OperacionalizaçãoReports• Coleta de dados• Análise crítica• Risk assessments• Análise do Programade Compliance• Medidas de melhoria• Definição público-alvo• Comun. e Sensibilização(Termo de compromisso, verific.do entendimento, etc.)• Treinamento (tradução,customização, acompanhamentoda freqüência)• Intranet e internet• Aceitação (análise crítica everificação da aplicabilidade)• Customização (tradução,legislação local e sintonia comos processos existentes)• Elaboração de procedimentos• ReportesFTEs, custos, BCA, processos deaprovação, status do Programa,treinamento, alegações e investigações,plano de comunicação, collective actions,medidas disciplinares, etc.• LoA & Management Meetings• Aprovações & Controles• Tell Us & Ask Us• Interface: AUD, CP, Champion...• Processos de auditorias• Controles e atividades em geral• Relacionamento externoEntrada de requisitos:- Reativo: circulares epolíticas da SAG;- Pró-ativo: verificaçãoda legislação local e suaatualizaçãoSistematização das atividadesGestão por processo
  7. 7. Giovanini – Compliance Page 7 © Siemens AG 2013. All rights reserved Maio 2013Como criar um sistema de mediçãoTone from the TopComplianceCaseMonitoring EffectivenessOrganization10132TrackingTraining &ProgramCommun-ication4Implementation of Policies and Procedures3rd partiesTender & ContractsGifts & HospitalityFinance & AccountingIntegration with Personnel Processes98765Tone from the TopComplianceCaseMonitoring EffectivenessOrganization10113322TrackingTraining &ProgramCommun-ication44Implementation of Policies and Procedures3rd partiesTender & ContractsGifts & HospitalityFinance & AccountingIntegration with Personnel Processes9988776655KitGuia AnticorrupçãoCircularesMissãoFinanceiroClientes InternosProcessosFatores Críticos de SucessoKey Perfomance Indicators - KPIsReception Internalization ForwardLearning ExecutionReports• Communication andsensitizing(BCG, daily relationship, etc.)• Training (translation ,customizing, follow up, )• Intranetand internet• Understandingand analysis• Customizing (translation,locallegislation,processesand business adaptation)• ProceduresRequirementsinputs- Reactive:circulars andpolicies from SAG;- Proactive:locallegislation controlandupdate• LoA & ManagementMeetings• Pre-approval& controls• Tell Us & Ask Us• Interface:IA,L&T,CP,Champion...• Supportto audits processes• Externalrelationship• Controlactivities•Data collection/Surveys•Analysis / review•Corruption Exp.Assess.•Compliance Programverification•Self-assessment•improvementmeasures• ReportsFTEs, costs, approval processes,Program status, allegations &investigations, disciplinary sanctions,training, communication plan, collectiveactions, etc.Pessoas
  8. 8. Giovanini – Compliance Page 8 © Siemens AG 2013. All rights reserved Maio 2013Compliance BSCGestão da performance do Compliance
  9. 9. Giovanini – Compliance Maio 2013Page 9 © Siemens AG 2013. All rights reservedRCO BrasilMarcelAndréTâmaraFonsecaThaisPeterGiovanini BeteLinoCamilaChampions – AfiliadasIvanRio de JaneiroRenatoH DXJulianaIrielKlausCabreúvaLeandroVAISNelsonEEChampions – Siemens Ltda.RobertaI DTJosé PauloIDanielE TSussumoE SRenatoHCarolinaI MTAngélicaI CSYarussiI IAMaryEFrankHRAnselmoIC BTMichaelIC SGBetaniaIC LMVClaudioCITJeniferIC MOLWickingsICNelsonIC SEEAgnaldoCSCMJeffersonCD/CE/ECCPriscilaCF TPauloCCGracePMODenis KidoRICLuiz FelipeGQRafaelAC & FViníciusGSSPatriciaSREReginaCLComo estabelecer um sistema de governançaEstrutura de Compliance na Siemens Brasil
  10. 10. Giovanini – Compliance Page 10 © Siemens AG 2013. All rights reserved Maio 2013GovernançaApproachComplianceAnnualConferenceAnnuallyMonthlyWeeklyCC GSSHRInterfaces - CENIA CL CF GQInterfaces - BusinessManag.MeetingsLoAIndividual and Feedbacks15 minutes SLF e-dd EMS PMPSelf assessmChampionsAnnuallyKnowledgeManagementRCOCEOACAD ReDirComplianceChampionComplianceCommitteeLoADeputiesSelfassessmRiskassessmCACRIC
  11. 11. Giovanini – Compliance Page 11 © Siemens AG 2013. All rights reserved Maio 2013Ferramentas para garantir a mais altaperformance: confiabilidade e agilidadeTracking and ReporttoolsPreventative measuresReports – Affiliated entitiesTracking Log - ControlsTracking Log - ComplianceNon conformity complianceCorporate toolsApprove it Scorecard SpoDoM Ask Us Tell Us Find itTraci tool TreuInfo BPC tool AdStar Xenios RIC toolLoALMSCompliance trainingLoA - ControlLoA - Test toolSurvey – Affiliated entitiesDay-to-daytoolsPaymentsSelf-assessmentSLF RCOSurvey RCOSurvey ChampionsSurvey Comm.MeasurementtoolsCosts & ForecastBudgetFTEsAgenda toolComm. PlanPlanningtoolsBalanced Scorecard - BSC Target agreementAnalysistools
  12. 12. Giovanini – Compliance Maio 2013Page 12 © Siemens AG 2013. All rights reservedEthos PartnershipChambers ofCommerceAMCHAM 1Brazil-USAHK 1Brazil – GermanyTrade AssociationsBusinessPartnersMainSuppliersFirst WS done,second for Q3FY’12DiverseWorkshopsongoingSiemens Brasil(UNODC)(PATRI)(PNUD)(World EconomicForum)(UN Global Compact )(CGU)NGO’s1,2(1) Long term initiatives(2) Compliance Pacts(3) Integrity PactsFNQ 1NationalIPEG 1São PauloManagement &Quality FoundationsEthos Project: “Jogos Limpos dentro e fora do estádio” (SII)Includes Sector Agreements in Energy, Transportation and HealthcareUNGC Project: “Clean Olympics and World Cup” (SII)CustomersPilot CA projectwith EDP (Energy)ongoingAcademicInstitutions• ESPM• FIA (USP)• UNIP• UnB (Brasília)WorkingGroupsCompanies’Pact AgainstCorruptionComplianceProfessionalsForumIBECRCO’sForum2 1 11 1 1ABIMED 2 ABINEE 2 SIMEFRE 2ABIMAQ 2 ABRADEE 2TradeAssociationsGovernmentSTC DF 1BrasíliaCGUPró-Ética 2BrasíliaCollective Action
  13. 13. Giovanini – Compliance Maio 2013Page 13 © Siemens AG 2013. All rights reservedObrigado!!Wagner Giovaninigiovanini@siemens.com

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