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Siemens Business Conduct Guidelines
January 2009
Corporate Compliance Office SIEMENS
Business Conduct
Guidelines 2009
2 Business Conduct Guidelines, Edition 2009-01ForewordThe Business Conduct Guidelines take their orientation from international and generally accepted conventions on the upholding of human rights or the fight against corruption, as well as statutory provisions.
Since its foundation, Siemens has stood for fairness and integrity, engineering skills, quality and innovation. Along with sustainability and responsibility, these values will continue to inform how we
act in the future, because it is the culture of a company and its values that make the difference.
The Business Conduct Guidelines are of central importance to Siemens. They contain the fundamental principles and rules governing the way we act within our company and in relation to our part- ners and the general public. They thus form the framework within which we make decisions, both as a company and as individual employees.
Every Siemens employee must therefore be familiar with these principles and rules, and observe them as binding provi- sions on a worldwide basis. All managers have a duty to ensure their observance, and to serve as role-models in adhering
to the Business Conduct Guidelines. To this end they must know the Business Conduct Guidelines, communicate them to their employees and set a good example.
Joe Kaeser
President and CEO March 2014 1
1 Joe Kaeser is President and CEO of Siemens AG
since August 2013
Business Conduct Guidelines, Edition 2009-01 3
Business Conduct
Guidelines 2009
4 Business Conduct Guidelines, Edition 2009-01ContentForeword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 A Basic Behavioral Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6A.1. Behavior which Complies with Law .................................................................. 6A.2. Mutual Respect, Honesty and Integrity ............................................................ 6
A.3. Responsibility for the Reputation of Siemens .................................................. 7
A.4. Management, Responsibility and Supervision .................................................. 7B Treatment of Business Partners and Third Parties . . . . . . . . . . . . . . . . . . . . . . . 8B.1. Fair Competition and Anti-Trust Laws .............................................................. 8
B.2. Anti-Corruption: Offering and Granting Advantages ........................................ 9
B.3. Anti-Corruption: Demanding and Accepting Advantages .............................. 10
B.4. Political Contributions, Charitable Donations and Sponsoring ...................... 10
B.5. Government Procurement ............................................................................. 11
B.6. Anti-money Laundering ................................................................................. 11
B.7. Trade Controls ............................................................................................... 12
B.8. Working with Suppliers ................................................................................. 12C Avoiding Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14C.1. Competing with Siemens ............................................................................... 14
C.2. Sideline Work ................................................................................................. 14
C.3. Interests in Third Companies ......................................................................... 14D Handling of Company Property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 E Handling of Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18E.1. Records and Financial Integrity ..................................................................... 18
E.2. Confidentiality ............................................................................................... 18
E.3. Data Protection and Data Security ................................................................. 19
E.4. Insider Trading Rules ..................................................................................... 19F Environment, Safety and Health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22F.1. Environment and Technical Safety ................................................................ 22
F.2. Work Safety ..................................................................................................... 22G Complaints and Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 H Compliance Implementation and Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . 25 Further Information and Contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Business Conduct Guidelines, Edition 2009-01 5A. Basic Behavioral
Requirements
Regardless of the sanctions that could be imposed by law, all employees guilty of
a violation will be subject to disciplinary consequences because of the violation of their employment duties.A 2 Mutual Respect, Honesty and IntegrityWe respect the personal dignity, privacy, and personal rights of every individual. We work together with individuals of various ethnic backgrounds, cultures, religions, ages, disabilities, races, sexual identity, world view and gender. Consis- tent with our corporate principles and with the employment laws of numerous countries in which we work, we do not tolerate discrimination against anyone on the basis of any of these characteristics
or harassment or offensive behavior, whether sexual or otherwise personal.
1 References to 'Company' or 'Siemens' are to
Siemens AG and its subsidiaries.
These principles apply to both internal cooperation and conduct towards exter- nal partners. We make decisions about those we work with - including person- nel, suppliers, customers and business partners - based only on appropriate considerations, not on the basis of inap- propriate considerations such as discrimi- nation or coercion.
We are open, honest and stand by our responsibilities. We are reliable partners and make no promises we cannot keep. And we expect our employees to act with integrity.
To a substantial degree, the reputation of Siemens is determined by our actions and by the way each and every one of us presents and conducts himself/herself. Illegal or inappropriate behavior on the part of even a single employee can cause the Company considerable damage.
Every employee should be concerned with maintaining and promoting the good reputation of Siemens in the re- spective country.A 4 Management, Respon- sibility and Supervision
The culture of integrity and compliance in an organization starts at the top. All managers must fulfill their duties of or- ganization and supervision. All managers bear responsibility for all employees entrusted to them. All managers must earn respect by exemplary personal behavior, performance, openness, and social competence. This means, among other things, that each manager must emphasize the importance of ethical con- duct and compliance, make them regular topics of everyday business and promote them through personal leadership and training. Each manager must also set clear, ambitious and realistic goals and lead by example.
Managers should permit their employees as much individual responsibility and leeway as possible, while making it clear that compliance is required under all circumstances, at all times. All managers shall also be accessible in case employees wish to raise compliance concerns, ask questions or discuss a professional or personal problem.
These responsibilities of managers do not relieve employees of their own respon- sibilities. We must all work together to comply with applicable laws and Siemens policies. These specific manager respon- sibilities are listed here to give employees an idea of the leadership and support
they should expect from their superiors.
It is the responsibility of all managers to see to it that there are no violations of laws within their area of responsibility
that proper supervision could have pre- vented. They still remain responsible, even if they delegate particular tasks.
In particular, the following duties apply to managers:
1. The manager must carefully select employees based on their personal and professional qualifications and suitability. The duty of due care in- creases with the significance of the task the employee must perform (duty of selection).
2. The manager must give precise, complete and binding instructions to employees, especially with regard to compliance with the law (duty to give instructions).
3. The manager must ensure that compliance with the law is con- tinuously monitored (duty of monitoring).
4. The manager must clearly commu- nicate to employees the impor- tance of integrity and compliance in everyday business. He/she must also communicate that violations
of the law are unacceptable and will have employment consequences (duty of communication).Business Conduct Guidelines, Edition 2009-01 7B. Treatment of Business
Partners and Third Parties
Every employee is obliged to abide by the rules of fair competition.
Anti-trust evaluation can be difficult, particularly because the rules can differ from country to country and from case to case. For example, in many places special anti-trust law requirements apply to large companies.
Here are examples of the types of behavior that can lead to a violation of anti-trust laws. Employees may not:
• talk to competitors about prices, output, capacities, sales, bids, prof- its, profit margins, costs, methods of distribution or any other param- eter that determines or influences
the Company's competitive behavior with the aim to solicit parallel be- havior from the competitor,
• enter into an agreement with a competitor not to compete, to restrict dealings with suppliers, to submit bogus offers for bidding or to divide up customers, markets, territories or production programs,
• have any influence on the resale prices charged by our purchasers, or attempt to make them restrict the export or import of goods supplied by Siemens.
Moreover, employees may not obtain competitive intelligence by using indus- trial espionage, bribery, theft or electro- nic eavesdropping, or communicate knowingly false information about a competitor or its products or services.8 Business Conduct Guidelines, Edition 2009-01 B 2 Anti-Corruption: Offering and Granting Advantages
We compete fairly for orders with the quality and the price of our innovative products and services, not by offering im- proper benefits to others. As a result, no employee may directly or indirectly offer, promise, grant or authorize the giving
of money or anything else of value to a government official to influence official action or obtain an improper advantage. The same applies to a private commercial counterparty in a business transaction in consideration for an improper advantage. Any offer, promise, grant or gift must comply with applicable laws and Siemens' policies, and must not raise an appear- ance of bad faith or unsuitableness. This means that no such offer, promise, grant or gift may be made if it could reasonably be understood as an effort to improperly influence a government official or as a bribe to a commercial counterparty to grant Siemens a business advantage.
The term government official is defined broadly to include officials or employees of any government or other public body, agency or legal entity, at any level, includ- ing officers or employees of stateowned enterprises and public international orga- nizations. It also includes candidates for political office, political party officials and employees, as well as political parties.
In addition, employees may also not give money or anything of value indirectly (for example, to a consultant, agent, inter- mediary, business partner or other third party) if the circumstances indicate that
all or part of may possibly be directly or indirectly passed on to a government of- ficial to influence official action or obtain an improper advantage or to a private commercial counterparty in consideration for an unfair advantage in a business transaction.
For that reason, employees responsible for hiring consultants, agents, partners in joint ventures or comparable entities must take action as appropriate to:
• ensure that those third parties un- derstand and will abide by Siemens' anti-corruption policies or compara- ble equivalents,
• evaluate the qualifications and re- putation of such third parties, and
• include appropriate provisions in agreements and contracts designed to protect Siemens.
This applies in particular, but not only if they have contact with government officials on behalf of Siemens.
Finally, each investment decision made by the Company - whether it is the pur- chase of a controlling interest in a com- pany or a minority interest, or a joint venture arrangement - must be based on a prior compliance check.Business Conduct Guidelines, Edition 2009-01 9
B 3 Anti-Corruption: Demanding and Accepting AdvantagesEmployees are not permitted to use their jobs to solicit, to demand, accept, obtain or be promised advantages. This does
not apply to the acceptance of occasional gifts of purely symbolic value or meals or entertainment reasonable in value that are consistent with local customs and practices and Siemens policies. Any other gifts, meals or entertainment must be refused.B 4 Political Contributions, Charitable Donations and SponsoringSiemens does not make political contri- butions (donations to politicians, political parties or political organizations).
As a responsible member of society, Siemens makes monetary or product donations for education and science, art and culture, and social and humanitarian projects. Sponsorships for which Siemens receives advertising are not considered donations, nor are contributions to indus- try associations or fees for memberships in organizations that serve business interests.
Some donations are always prohibited, including donations
1. to individuals and for-profit organi- zations,
2. paid to private accounts,
3. to organizations whose goals are incompatible with Siemens' corpo- rate principles, or
4. that would damage Siemens' repu- tation.
All donations must be transparent. This means, among other things, that the re- cipient's identity and planned use of the donation must be clear and the reason and purpose for the donation must be justifiable and documented. Quasi-dona- tions, meaning donations which appear to be compensation for a service but are substantially larger than the value of the service, are prohibited as violating the principles of transparency.10 Business Conduct Guidelines, Edition 2009-01
Sponsoring means any contribution in money or in kind by Siemens towards an event organized by a third party in return for the opportunity to advertise the Siemens brands by, for example, displaying the Siemens logo, being mentioned in the opening or closing addresses, or the participation of a speaker on a discussion panel, as well as tickets to the event.
All sponsoring contributions must be transparent, pursuant to written agree- ment, for legitimate business purposes, and commensurate with the consider- ation offered by the event host.
Contributions may not be promised, of- fered or made to secure unjustified com- petitive advantages for Siemens or for other improper purposes, and they may not be made towards events organized by individuals or organizations that have
goals incompatible with Siemens' corporate principles or that would damage Siemens' reputation.B 5 Government ProcurementSiemens competes for contracts from government entities and government- owned businesses around the world. In all of Siemens' dealings and interactions with governments, we act in a manner that is transparent, honest and accurate.
We comply with all applicable laws and regulations related to government pro- curements, including laws prohibiting efforts to improperly influence govern- ment officials.B 6 Anti-money LaunderingMoney laundering is the process of dis- guising the nature and source of money connected with criminal activity - such as terrorism, drug trafficking or bribery - by integrating dirty money into the stream
of commerce so that it appears legitimate or its true source or owner cannot be identified.
It is Siemens' objective to conduct business with reputable customers, consultants and business partners who are involved
in lawful business activities and whose funds are derived from legitimate sources. We do not facilitate money laundering.
All employees must abide by applica- ble anti-money laundering laws and Siemens' procedures, such as finavigate®, designed to detect and deter suspicious forms of payment or customers or other transactions that could involve money laundering. To avoid problems in this area, employees must be attentive to and report suspicious behavior by customers, consultants and business partners. Em- ployees must also follow all accounting, record-keeping and financial reporting requirements applicable to cash and payments in connection with other trans- actions and contracts.Business Conduct Guidelines, Edition 2009-01 11 B 7 Trade ControlsSiemens complies with applicable export controls and customs laws and regula- tions in the countries where it does busi- ness. Export controls generally apply to the transfer of goods, services, hardware, software or technology across certain national borders, including by email. Export control laws may be triggered in connection with direct or indirect exports to or imports from sanctioned countries
or parties, who, for example, may be designated based on national security grounds or because of participation in criminal activity. Violations of these laws and regulations may lead to serious pen- alties, including fines and governmental withdrawal of simplified import and ex- port procedures (interruption of seamless supply chain).
Employees involved in the import and export of goods, services, hardware, soft- ware or technology as described above must follow applicable economic sanc- tions, export control and import laws and regulations and any related policies and procedures established by the business in which they work.B 8 Working with SuppliersSiemens as a company expects its suppli- ers to share Siemens' values and comply with all applicable laws. Furthermore, Siemens expects its suppliers to act in accordance with the following principles, similarly adopted by Siemens, concerning responsibilities vis-à-vis stakeholders and the environment:
• Comply with all applicable laws,
• prohibit corruption,
• respect basic human rights of em- ployees,
• comply with laws prohibiting child labor,
• take responsibility for the health and safety of their employees,
• act in accordance with applicable statutory and international stan- dards regarding environmental protection, and
• promote compliance among their suppliers with Siemens' Code of Conduct for Suppliers.12 Business Conduct Guidelines, Edition 2009-01Business Conduct Guidelines,Edition 2009-01 13
C. Avoiding Conflicts of
Interest
It is the duty of Siemens employees to make business decisions in the best inte- rest of Siemens, not based on their own personal interests. Conflicts of interest arise when employees engage in activi- ties or advance personal interests at the expense of Siemens' interests.
Employees must inform their supervi- sor of any personal interest they could possibly have in connection with the execution of their professional duties.
Employees are not permitted to use, for their own personal contracts or orders, companies with which they have busi- ness dealings as part of their activities for Siemens if they could derive any advantage from the personal contract
or order. This is particularly applicable if the employee exercises or is capable of exercising a direct or indirect influence upon whether that company receives a contract from Siemens.
A conflict can take the form of a business relationship with, or an interest in, a competitor or customer of Siemens, or participation in sideline activities that prevent employees from being able to fulfill their responsibilities at Siemens. It is important that all employees recognize
and avoid conflicts of interest, or even the appearance of a conflict of interest, as they conduct their professional activities.
and comparable occasional activities are not considered sideline work. Permission will not be granted if it is detrimental to the interests of Siemens. Permission may be refused if employees have dealings in the course of their official Siemens' duties with the company in question. Previously granted permission may be revoked on these grounds as well.C 3 Interests in Third CompaniesEmployees who directly or indirectly hold or acquire a stake in a competitor company, must disclose this fact to their personnel department if this stake gives them the opportunity to exert influence on the management of that company. It can be assumed, as a general rule, that the possibility of exerting influence on the management exists when a stake exceeds 5 % of a competitor company's total capital.14 Business Conduct Guidelines, Edition 2009-01Employees who directly or indirectly hold or acquire an interest in a Siemens business partner or a company in which Siemenshas ownership shares also have to disclose this fact to the personnel department responsible, if they have dealings with the business partner or company in the course of their official duties or if they will hold a position in that company. For shares in listed com- panies, this applies only if the interest exceeds 5 % of total equity.
Once an interest in a third company has been disclosed, the Company may take suitable measures to eliminate any con- flict of interest.Business Conduct Guidelines, Edition 2009-01 15D. Handling of Company
Property
There are many devices and pieces
of equipment in Siemens offices and workshops, such as telephones, copying machines, computers, software, Inter- net/Intranet, machines and other tools, including e-mail and answering machine systems. These are only to be used for Company business and not for personal gain. Exceptions, and payment if applica- ble, can be agreed upon locally, provided that the use of Siemens property does not:
• relate to any illegal activity,
• cause an actual or perceived conflict of interest, or
• lead to significant added costs, dis- ruption of Siemens business or oth- er adverse effects for the Company, including by interfering with an employee's assigned duties or the assigned duties of other employees.
In no case may information be retrieved or transmitted that furthers or incites racial hatred, glorification of violence or other criminal acts, or contains material which is sexually offensive within the respective culture.
Employees are not permitted without the consent of their supervisor to make re- cords, files, video or audio recordings, or reproductions using Siemens equipment or facilities if the activity is not directly related to Company business.16 Business Conduct Guidelines, Edition 2009-01Business Conduct Guidelines,Edition 2009-01 17
E. Handling of Information
Siemens is also required to maintain sound processes and controls so that transactions are executed according to management's authorization. Siemens must also prevent and detect unautho- rized use of Siemens assets. All Siemens employees are required to make sure that the Siemens books and records they create or are otherwise responsible for are:
• complete,
• accurate,
• honestly reflect each transaction or expenditure, and
• are timely and in accordance with applicable accounting rules and standards
whether or not the information will be included in a public filing or provided to a government agency. Such books and records include all data, certifications and other written materials provided for
financial reporting and disclosure purpos- es as well as materials collected for other
purposes. These also include internal ex- pense records (such as expense account reports).E 2 ConfidentialityConfidentiality must be maintained with regard to Siemens' internal confidential or proprietary information that has not been made known to the public. Non- public information from or concerning
suppliers, customers, employees, agents, consultants and other third parties must also be protected in accordance with le- gal and contractual requirements.
Confidential or proprietary information may include, in particular:
• details concerning a company's organization and equipment, prices, sales, profits, markets, customers and other matters of business,
• information on manufacturing or research and development, and
• internal reporting figures.
The obligation to maintain confidentiality extends beyond the termination of the relevant relationship, since the disclosure of confidential information could cause harm to Siemens' business, clients or cus- tomers no matter when it is disclosed.18 Business Conduct Guidelines, Edition 2009-01 E 3 Data Protection and Data Security
Access to the Intranet and Internet, worldwide electronic information exchange and dialogue, and electronic business dealings are all crucial to the effectiveness of each and every one of us, and for the success of the business as a whole. However, the advantages
of electronic communication are tied to risks in terms of personal privacy protec- tion and data security. Effective foresight with regard to these risks is an important component of information technology management, the leadership function, and also the behavior of each individual.
Personal data may only be collected, pro- cessed, or used insofar as it is necessary for pre-determined, clear, and legitimate purposes. In addition, personal data must be maintained in a secure manner and appropriate precautions should be taken when transmitting it. High standards must be ensured with regard to data quality
and technical protection against unau- thorized access. The use of the data must be transparent for those concerned and the rights of those concerned must be safeguarded with regard to use and cor- rection of information and, if applicable, to objections pertaining to blocking, and deletion of information.
In some jurisdictions (such as the Eu- ropean Union) there are strict laws and regulations pertaining to the collection and use of personal data, including data on others, such as customers or business partners. All employees must abide by such laws, to the extent they are applica- ble, to protect the privacy of others.E 4 Insider Trading RulesPeople who have inside information with regard to Siemens or another company, such as a customer, supplier or joint venture partner whose securities are admitted to trading on a stock exchange or an organized securities market, are
not allowed to trade in these companies'
securities or in financial instruments the prices of which depend directly or indirectly on these companies' securities (insider securities).
Inside information is any specific infor- mation which is not public knowledge relating to Siemens or such other issuer of insider securities, which, if it became publicly known, would likely have a significant effect on the price of the insider security. Such likelihood exists
if a reasonable investor would view the information as likely to have an impact on the price of the security. It would also exist if a reasonable investor would take the information into account in making an investment decision.
Inside information may be acquired as a result of an employee's position and responsibilities or inadvertently, and includes non-public information about such things as:
• financial results,
• financial plans or budgets,
• dividend changes,
• significant mergers or acquisitions,
• divestitures,
• particularly important contract awards or strategic plans,
• major developments in litigation,
• technical or product developments,
• major management changes, joint ventures and major business agree- ments, or
• business relationships.
In order to avoid even the appearance of a violation of the insider trading rules by the members of the uppermost manage- ment level, these individuals may gen- erally effect no transactions in Siemens' securities in the time from two weeks prior to the end of a quarter or fiscal year until two days subsequent to publication of quarterly or fiscal-year-end results.Business Conduct Guidelines, Edition 2009-01 19
The same applies to employees of Siemens whose activities or function gives them access to financial results or other material information that is not yet public. Inside information must not
be disclosed or made available to a third party without authority to do so.
The disclosure of inside information is unauthorized whenever it is made out- side the normal scope of an insider's work functions or professional duties, or in fulfilling other duties on behalf of the issuer. This applies both to information
disclosed within Siemens and to informa- tion disclosed outside Siemens, including to journalists, financial analysts, cus- tomers, consultants, family members, or friends. Furthermore, employees must always make sure that insider-relevant information is secured or kept under lock and key so that unauthorized persons cannot gain access to it.
Persons who have inside information are not allowed to recommend that a third party acquire or dispose securities for which that information is relevant, or to otherwise induce a third party to do so.
Managers can be held personally liable
for damages in some cases if an employee violates insider trading rules and proper supervision could have prevented the violation.
Additional or special insider trading rules and local law have to be complied with, as applicable.20 Business Conduct Guidelines, Edition 2009-01
Business Conduct Guidelines,Edition 2009-01 21
F. Environment, Safety and
Health
this purpose. Beginning at the product development stage, environmentally compatible design, technical safety and health protection are fixed as targets.
All employees must contribute to these goals through their own behavior.F 2 Work SafetyProtecting the health and safety of em- ployees in the workplace is a high priority for Siemens. It is the responsibility of everyone to foster Siemens' efforts to conduct its operations in a safe manner. The responsibility vis-à-vis employees requires the best possible accident- prevention measures, and applies to:
• the technical planning of work- places, equipment and processes,
• safety management, and
• personal behavior in the everyday workplace.
The work environment must conform to the requirements of health-oriented design.
All employees must constantly be atten- tive to work safety.22 Business Conduct Guidelines, Edition 2009-01Business Conduct Guidelines,Edition 2009-01 23
G. Complaints and
Comments
All employees may lodge a complaint with their supervisor, their compliance officer, personnel manager or some other person/unit designated for this purpose
or with an existing internal works council.
Circumstances which point to a violation of the Business Conduct Guidelines are
to be reported to the Chief Compliance Officer, the Compliance Officer responsi- ble for the Sector, Division, Regional or Corporate Units, the Tell Us Helpdesk or the Siemens Ombudsman.
There is a special process for handling complaints related to accounting prac- tices.
All complaints can be submitted both confidentially and anonymously, and all complaints will be investigated. Correc- tive measures will be implemented if necessary.
All documentation will be kept confiden- tial to the extent permitted by law. No reprisal of any kind against complainants will be tolerated.24 Business Conduct Guidelines, Edition 2009-01H. Compliance Implemen
tation and Monitoring
The management of Siemens through- out the world shall actively foster the widespread distribution of the Business Conduct Guidelines and see to it that they are implemented.
Compliance with the law and observance of the Business Conduct Guidelines shall be monitored worldwide in all Siemens companies on a regular basis. This shall be done in accordance with applicable national procedures and legal provisions.
An extensive compliance organization is in place at the level of Siemens, the Sectors, Divisions and Regions to ensure that the Siemens compliance program is enforced.Business Conduct Guidelines, Edition 2009-01 25Further Information and Contacts
Integrity is at the heart of all our actions. These Guidelines define what integrity means for our business. But they can't
tell the whole story or answer every question.
Siemens' Compliance Intranet Web Site https://intranet.siemens.com/en/ compliance/index.php provides addi- tional information - including compa-
ny-wide, frequently asked questions, training materials and other aids - that add content-related specifics to these Guidelines.
If a Siemens employee is not sure what the right thing to do is in a specific case, there are many sources of information available to help, including the employ- ee's supervisor, Sector, Division, Regional or Corporate Compliance Officer and the Compliance Helpdesk's Ask Us, which is available on the Siemens Intranet
https://intranet.siemens.com/en/
compliance/tools/ask_us.htm
Moreover, if an employee has discovered a case of possible misconduct, various options are available to report it. These include not only an employee's supervi- sor and compliance officer but also the Compliance Helpdesk's Tell Us, now available 24/7 by phone and external Internet, and the Siemens Ombudsman https://intranet.siemens.com/en/com- pliance/organization/ombudsman.htm
26 Business Conduct Guidelines, Edition 2009-01AppendixConventions and Recommendations of International OrganizationsIn addition to the laws and regulations of individual countries, there are a number of Conventions and Recommendations from international organizations which are noteworthy. Although these docu- ments are primarily addressed to Member States and not directly to companies, they nevertheless function as important guide- lines for the conduct of multinational companies and their employees. Siemens supports the requirements of these con- ventions and recommendations.Siemens is a member of the United Nations Global Compact and regards its ten principles, as well as the rules laid down in the framework agreement of the International Metalworkers´ Federation (IMF), as binding for the entire Company. Otherwise, the Company´s internal arbi- tration arrangements apply.
Siemens is also committed to embrac- ing, supporting and enacting, within its further sphere of influence, the set of core values in the areas of human rights, labor standards, the environment, and anticorruption included therein as an integral part of its business strategy and operations.
In line with its Global Compact commit- ment Siemens therefore expects its em- ployees, suppliers and business partners around the globe to recognize and apply particularly the standards of the:
• Universal Declaration of Human Rights (1948) and European Con- vention for the Protection of Human Rights and Fundamental Freedoms (1950)
• ILO (International Labor Organi- zation) Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy (1977) and ILO Declaration on Fundamental Principles and Rights at work (1998) (specially with following issues: elimination of child labor, abolition of forced labor, prohibition of dis- crimination, freedom of association and right to collective bargaining)
• OECD Guidelines for Multinational
Enterprises (2000)
• Agenda 21 on Sustainable Develop- ment (final document of the basic UN-conference on environment and development, Rio de Janeiro (1992)
• UN Convention Against Corruption
(2005)Business Conduct Guidelines, Edition 2009-01 27Imprint
Publisher:
Siemens AG
Legal and Compliance
Wittelsbacher Platz 2
80333 München
For the publisher:
Dr. Klaus Moosmayer
Further information and requests:Siemens Compliance Helpdesk askus.compliance@siemens.com
Edition:
January 2009
Editorial Office:
Siemens L GF
Copyrights:
All rights, also that of translation, reprint and copy or parts thereof are reserved. No part of this work may be duplicated, reproduced, processed, distributed or published in any form (photo copy, CD- ROM, electronically, etc.) without the written consent of CSP. Changes to graphics must be approved.
This document will not be recalled in the event of any alterations.
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