Wagner Giovanini - Cluster Compliance Officer South America

1. Giovanini – Compliance Maio 2013Page 1 © Siemens AG 2013. All rights reservedConfidential / © Siemens AG 2010. All rights reserved
Case Siemens
Wagner Giovanini
Cluster Compliance Officer
South America
Maio / 2013
Compliance

2. Giovanini – Compliance Maio 2013Page 2 © Siemens AG 2013. All rights reserved
Vida profissional
Giovanini – Compliance Page 2 © Siemens AG 2013. All rights reserved Maio 2013

3. Giovanini – Compliance Maio 2013Page 3 © Siemens AG 2013. All rights reserved
A evolução do Compliance
na Siemens em 5 anos
'Tone from the Top'
Compliance
Case
Monitoring Effectiveness
Organization
10
11
33
22
Tracking
Training &
Program
Commun-
ication
44
Implementation of Policies and Procedures
3rd
parties
Tender & Contracts
Gifts & Hospitality
Finance & Accounting
Integration with Personnel Processes99
88
77
66
55
Page 7 October 2008
© Siemens AG 2008. All rights reserved
New Global Compliance Organization
Chief
Compliance
Officer
A. Pohlmann
Corporate Units
Compliance
Officer
Sector
Compliance
Officers
Compliance
Global
Coordinators
Compliance
Policies,
Communication
& Training
Compliance
Program, Projects
& Reporting
Compliance
Operating
Officer
Disciplinary
Sanctions
Compliance
Helpdesk &
Monitoring
Compliance
Investigation
Regional
Compliance
Officers
(RCOs)
Compliance Legal
Division Officers
(DCOs)
Division
Compliance
Officers
(DCOs)
Cross-Sector
Compliance
Officers
(DCOs)
Member of the
Managing Board
General Counsel
P. Solmssen
 Compliance represented in
Managing Board
 Strong corporate governance
 Embedded in Sectors/Divisions and
Regions
Page 7 October 2008
© Siemens AG 2008. All rights reserved
New Global Compliance Organization
Chief
Compliance
Officer
A. Pohlmann
Corporate Units
Compliance
Officer
Sector
Compliance
Officers
Compliance
Global
Coordinators
Compliance
Policies,
Communication
& Training
Compliance
Program, Projects
& Reporting
Compliance
Operating
Officer
Disciplinary
Sanctions
Compliance
Helpdesk &
Monitoring
Compliance
Investigation
Regional
Compliance
Officers
(RCOs)
Compliance Legal
Division Officers
(DCOs)
Division
Compliance
Officers
(DCOs)
Cross-Sector
Compliance
Officers
(DCOs)
Member of the
Managing Board
General Counsel
P. Solmssen
 Compliance represented in
Managing Board
 Strong corporate governance
 Embedded in Sectors/Divisions and
Regions
Programa de
Compliance
Estrutura de
Compliance
Dedicação exclusiva
Anti-corruption
Kit
 Compliance survey  > 80% resultados satisfatórios
 Dow Jones Sustainability Index
2008: > 90%
2009: 100% (Conduct Guideline, Compliance and AC Policies)

4. Giovanini – Compliance Page 4 © Siemens AG 2013. All rights reserved Maio 2013
Governança
Compliance na Siemens Brasil
Como buscar a excelência?  Resposta
GESTÃO
Ferramentas
Sistema de MediçãoSistema de Compliance

5. Giovanini – Compliance Page 5 © Siemens AG 2013. All rights reserved Maio 2013
Vender
bem a
imagem
Convencer
Con-
quistar
confiança
Obter
reconhe-
cimento
Criar
oportu-
nidade
A ç ã o
d o
R C O
I N D I V I D U A L
QualificaçãoComportamento
Sinergia Cooperativa
E Q U I P E
Para estabelecer um sistema
Estratégia, visão e missão
Pessoas
certas no
lugar certo
Apoio da
Alta
Direção
Processos
Controles
Medição
Resultados
Melhoria
contínua
B e n c h m a r k
 Cluster – visão mundial
 Depto. RCO – visão local
Missão do Compliance
 Mitigar os riscos de Compliance
 Ser um “trusted partner”, protegendo as
pessoas e a empresa
 Sensibilizar e colocar o Compliance no DNA da
organização
 Levar o Compliance para fora da empresa,
através de Collective Actions

6. Giovanini – Compliance Page 6 © Siemens AG 2013. All rights reserved Maio 2013
Recepção Internalização Repasse
Aprendizado OperacionalizaçãoReports
• Coleta de dados
• Análise crítica
• Risk assessments
• Análise do Programa
de Compliance
• Medidas de melhoria
• Definição público-alvo
• Comun. e Sensibilização
(Termo de compromisso, verific.
do entendimento, etc.)
• Treinamento (tradução,
customização, acompanhamento
da freqüência)
• Intranet e internet
• Aceitação (análise crítica e
verificação da aplicabilidade)
• Customização (tradução,
legislação local e sintonia com
os processos existentes)
• Elaboração de procedimentos
• Reportes
FTEs, custos, BCA, processos de
aprovação, 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 externo
Entrada de requisitos:
- Reativo: circulares e
políticas da SAG;
- Pró-ativo: verificação
da legislação local e sua
atualização
Sistematização das atividades
Gestão por processo

7. Giovanini – Compliance Page 7 © Siemens AG 2013. All rights reserved Maio 2013
Como criar um sistema de medição
'Tone from the Top'
Compliance
Case
Monitoring Effectiveness
Organization
10
1
3
2
Tracking
Training &
Program
Commun-
ication
4
Implementation of Policies and Procedures
3rd parties
Tender & Contracts
Gifts & Hospitality
Finance & Accounting
Integration with Personnel Processes9
8
7
6
5
'Tone from the Top'
Compliance
Case
Monitoring Effectiveness
Organization
10
11
33
22
Tracking
Training &
Program
Commun-
ication
44
Implementation of Policies and Procedures
3rd parties
Tender & Contracts
Gifts & Hospitality
Finance & Accounting
Integration with Personnel Processes99
88
77
66
55
Kit
Guia Anticorrupção
Circulares
Missão
Financeiro
Clientes Internos
Processos
Fatores Críticos de Sucesso
Key Perfomance Indicators - KPIs
Reception Internalization Forward
Learning ExecutionReports
• Communication and
sensitizing
(BCG, daily relationship, etc.)
• Training (translation ,
customizing, follow up, )
• Intranetand internet
• Understandingand analysis
• Customizing (translation,
locallegislation,processes
and business adaptation)
• Procedures
Requirementsinputs
- Reactive:circulars and
policies from SAG;
- Proactive:local
legislation controland
update
• 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 Program
verification
•Self-assessment
•improvementmeasures
• Reports
FTEs, costs, approval processes,
Program status, allegations &
investigations, disciplinary sanctions,
training, communication plan, collective
actions, etc.
Pessoas

8. Giovanini – Compliance Page 8 © Siemens AG 2013. All rights reserved Maio 2013
Compliance BSC
Gestão da performance do Compliance

9. Giovanini – Compliance Maio 2013Page 9 © Siemens AG 2013. All rights reserved
RCO Brasil
Marcel
André
Tâmara
Fonseca
Thais
Peter
Giovanini Bete
Lino
Camila
Champions – Afiliadas
Ivan
Rio de Janeiro
Renato
H DX
Juliana
Iriel
Klaus
Cabreúva
Leandro
VAIS
Nelson
EE
Champions – Siemens Ltda.
Roberta
I DT
José Paulo
I
Daniel
E T
Sussumo
E S
Renato
H
Carolina
I MT
Angélica
I CS
Yarussi
I IA
Mary
E
Frank
HR
Anselmo
IC BT
Michael
IC SG
Betania
IC LMV
Claudio
CIT
Jenifer
IC MOL
Wickings
IC
Nelson
IC SEE
Agnaldo
CSCM
Jefferson
CD/CE/ECC
Priscila
CF T
Paulo
CC
Grace
PMO
Denis Kido
RIC
Luiz Felipe
GQ
Rafael
AC & F
Vinícius
GSS
Patricia
SRE
Regina
CL
Como estabelecer um sistema de governança
Estrutura de Compliance na Siemens Brasil

10. Giovanini – Compliance Page 10 © Siemens AG 2013. All rights reserved Maio 2013
Governança
Approach
Compliance
Annual
Conference
Annually
Monthly
Weekly
CC GSSHR
Interfaces - CEN
IA CL CF GQ
Interfaces - Business
Manag.
Meetings
LoA
Individual and Feedbacks
15 minutes SLF e-dd EMS PMP
Self assessm
Champions
Annually
Knowledge
Management
RCO
CEO
ACAD ReDir
Compliance
Champion
Compliance
Committee
LoA
Deputies
Self
assessm
Risk
assessm
CAC
RIC

11. Giovanini – Compliance Page 11 © Siemens AG 2013. All rights reserved Maio 2013
Ferramentas para garantir a mais alta
performance: confiabilidade e agilidade
Tracking and Report
tools
Preventative measures
Reports – Affiliated entities
Tracking Log - Controls
Tracking Log - Compliance
Non conformity compliance
Corporate tools
Approve it Scorecard SpoDoM Ask Us Tell Us Find it
Traci tool TreuInfo BPC tool AdStar Xenios RIC tool
LoA
LMS
Compliance training
LoA - Control
LoA - Test tool
Survey – Affiliated entities
Day-to-day
tools
Payments
Self-assessment
SLF RCO
Survey RCO
Survey Champions
Survey Comm.
Measurement
tools
Costs & Forecast
Budget
FTEs
Agenda tool
Comm. Plan
Planning
tools
Balanced Scorecard - BSC Target agreement
Analysis
tools

12. Giovanini – Compliance Maio 2013Page 12 © Siemens AG 2013. All rights reserved
Ethos Partnership
Chambers of
Commerce
AMCHAM 1
Brazil-US
AHK 1
Brazil – Germany
Trade Associations
Business
Partners
Main
Suppliers
First WS done,
second for Q3
FY’12
Diverse
Workshops
ongoing
Siemens Brasil
(UNODC)
(PATRI)
(PNUD)
(World Economic
Forum)
(UN Global Compact )
(CGU)
NGO’s
1,2
(1) Long term initiatives
(2) Compliance Pacts
(3) Integrity Pacts
FNQ 1
National
IPEG 1
São Paulo
Management &
Quality Foundations
Ethos Project: “Jogos Limpos dentro e fora do estádio” (SII)
Includes Sector Agreements in Energy, Transportation and Healthcare
UNGC Project: “Clean Olympics and World Cup” (SII)
Customers
Pilot CA project
with EDP (Energy)
ongoing
Academic
Institutions
• ESPM
• FIA (USP)
• UNIP
• UnB (Brasília)
Working
Groups
Companies’
Pact Against
Corruption
Compliance
Professionals
Forum
IBEC
RCO’s
Forum
2 1 1
1 1 1
ABIMED 2 ABINEE 2 SIMEFRE 2ABIMAQ 2 ABRADEE 2
Trade
Associations
Government
STC DF 1
Brasília
CGU
Pró-Ética 2
Brasília
Collective Action

13. Giovanini – Compliance Maio 2013Page 13 © Siemens AG 2013. All rights reserved
Obrigado!!
Wagner Giovanini
giovanini@siemens.com