Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa
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Transcript of Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa
Steven CorderyUTC Corporate Ombudsman
Europe, Middle East & Africa
The International Pharmaceutical Regulatory and Compliance Congress
June 6-7, 2007Brussels, Belgium
Ombudsman & DIALOG
REVENUES$42.7 billion (2005)61% outside United States
EMPLOYMENT220,000 employees (2005)67% outside the United States.
Ombudsman & DIALOG
1986 – DII – 6 Principles of business ethics and conduct
1986 - Launch of Ombudsman / DIALOG Program
1990 – Code of Ethics first published
1991 – US Sentencing Guidelines
2004 – Sarbanes–Oxley Act
2006 – Code of Ethics Refreshed & Strengthened
2006 – 20th Anniversary Ombudsman / DIALOG Program
Key Events
Ombudsman & DIALOG
Ombudsman
An American Idea?
Something New?
The origin of the word is found in Old Swedish umbuðsmann, and the word umbuds man, meaning representative and is non-gender specific. The first preserved use in Swedish. From 1552, it is also used in the other Scandinavian languages such as the Icelandic "umboðsmaður", the Norwegian "ombudsmann" and the Danish "ombudsmand".
The modern use of the term began in Sweden, with the Swedish Parliamentary Ombudsman instituted in 1809, to safeguard the rights of citizens by establishing a supervisory agency independent of the executive branch.
A prototype of modern ombudsmen flourished in China during Qin Dynasty (221 BC), and in Korea during the Choseon Dynasty. The Romans also grappled with the problem, but it was the example of the second Muslim Caliph, Umar (634-644) and the concept of Qadi al-Qadat (developed in the Muslim world), which influenced the Swedish King, Charles XII. In 1713, fresh from self-exile in Turkey, Charles XII created the Office of Highest Ombudsman. The Scandinavians subsequently moulded the Office into its contemporary form.
Ombudsman - Origins and Etymology
Ombudsman & DIALOG
Why have an Ombudsman?
7
8
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(in writing, usually (usually via telephone; not legal or issues tend to be complicated in more complex, legal nature) in nature)
UTC Employee Options
Established, open channels Alternate, confidential channels
Supervisor Human Resources Legal DIALOG Ombudsman
Environmental Health & Safety
Business Practices
Cornerstones
• Confidential
• Neutral
• Independent
Accepts “notice” Does not accept “notice”
Investigates issues Does not investigate
Exists to protect Neutral, independentthe organization
Cannot promise Can promiseconfidentiality confidentiality
Company Representatives Ombudsman & DIALOG
• Confidential, independent, neutral resource to address issues
• Abides by The International Ombudsman Association Code of Ethics
and Standards of Practice.
• Reports to UTC HQ
• Independent of any company management structure
• No other roles or responsibilities that could compromise this position.
• Listen, coach and assist in developing options
• Provides feedback on trends, issues, concerns (RADAR)
• Recommends policy review or change
• Oversees DIALOG Program.
The Role of the Ombudsman
The DIALOG process is….
• an effective, confidential, two-way, communication channel
• an alternative to the normal communication channels in the company
• a communication tool that enables employees: to ask questions, raise concerns, submit ideas, without fear of reprisal,
• a way in which employees can help bring about change in the organisation
Considerations….
• Local Laws
• Leadership & Management Style
• Culture – Company & Country
75,454 75,454 DIALOGDIALOG inquiries inquiries
11,753 Ombudsman cases11,753 Ombudsman cases
Since August 1986…Since August 1986…
Ombudsman & DIALOG Volume
2004 2005 2006
2004 2005 2006
2004 2005 2006
2004 2005 2006
North America
EMEA
Asia/Pacific
South America
No changerequested
Reviewed butno change
Resultedin change
36%
22%
42%
Program Effectiveness - UTCOmbuds/DIALOG Program – since January 1998
Steven CorderyUTC Corporate Ombudsman
Europe, Middle East & Africa
The International Pharmaceutical Regulatory and Compliance Congress
June 6-7, 2007Brussels, Belgium