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TAG overview

Compliance training

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Compliance training

 

 

 

 

 

 

 

 

 

 

 

 

 

20171

 

20181

 

20192,3

 

2020
The Group4,5

 

2020
thereof
Merck KGaA, Darmstadt, Germany5

Total number of persons trained on anti-corruption guidelines6

 

17,044

 

11,404

 

36,109

 

28,827

 

3,880

Total number of employees trained on anti-corruption guidelines

 

13,345

 

11,155

 

35,673

 

28,805

 

3,877

% of employees trained on anti-corruption

 

25

 

22

 

63

 

50

 

45

by employee category

 

 

 

 

 

 

 

 

 

 

Number of Role 2+ employees trained on anti-corruption

 

7,080

 

9,257

 

26,890

 

27,123

 

3,848

% of Role 2+ employees trained on anti-corruption

 

27

 

36

 

96

 

90

 

93

% of employees below Role 2 trained on anti-corruption

 

23

 

7

 

30

 

6

 

1

by region (%)

 

 

 

 

 

 

 

 

 

 

Europe

 

18

 

19

 

71

 

51

 

45

North America

 

46

 

36

 

59

 

45

 

not applicable

Asia-Pacific (APAC)

 

25

 

16

 

47

 

44

 

not applicable

Latin America

 

19

 

12

 

62

 

44

 

not applicable

Middle East and Africa (MEA)

 

29

 

18

 

80

 

66

 

not applicable

1

In 2017 and 2018 the position assessment had not yet been carried out for employees of all Sigma-Aldrich legal entities in Germany, or for employees of Allergopharma. In the facts and figures, these employees are included under “employees below Role 2”.

2

In 2019, the position assessment had not yet been carried out for employees of Versum Materials as well as of Allergopharma. In the figures, employees whose positions have not been assessed have been allocated to “employees below Role 2”.

3

As of 2019, we changed our reporting method. Previously, our reports covered the active workforce who has been trained on a specific subject during a particular year. In 2019, we report on the active, trained workforce in the company, regardless of whether their training has already taken place prior to the reporting year. The possibility of trend forecasts for year-to-year comparisons is therefore limited.

4

In 2020, the position assessment had not yet been carried out for employees of Versum Materials. In the figures, employees whose positions have not been assessed have been allocated to “employees below Role 2”.

5

In 2020, we began using our own global learning management tool and therefore now have a different reporting structure. As of 2020, we report on the active workforce that is part of the target group and has completed the training in the reporting year. The possibility of trend forecasts for year-to-year comparisons is therefore limited.

6

Includes contractors, external supervised workers (e.g. temps) and contract partners working on-site who were trained on anti-corruption guidelines (2020: 22).

The (employee) target audience for a specific training is related to the risk level associated with employee positions and Role levels. Target audiences therefore may not include all Group employees and also may vary from training to training.

In order to address the special responsibility held by management personnel, and staff with HR responsibility, trainings on anti-corruption guidelines for these employees are in focus. This applies to all employees rated Role 2+.

Our compliance and anti-corruption principles are communicated to all our business partners who undergo a Business Partner Risk Management (BPRM) process.

Internal audits on corruption and Human Rights Charter

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Internal audits on corruption and Human Rights Charter

 

 

 

 

 

 

 

 

 

 

 

 

 

2017

 

2018

 

2019

 

2020
The Group

 

2020
thereof
Merck KGaA, Darmstadt, Germany1

Number of audits relating to corruption

 

50

 

54

 

50

 

52

 

26

% of audits relating to corruption

 

65

 

69

 

65

 

66

 

33

Number of audits relating to the workplace requirements of our Human Rights Charter

 

45

 

46

 

46

 

42

 

20

1

Includes global audits which are conducted at the headquarters in Darmstadt and/or the management of the audited function is reporting into KGaA.

In 2020, during 42 of our audits conducted in 14 countries, we reviewed workplace parameters as per our Human Rights Charter. No violations were identified.

Human rights violations

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Human rights violations1

 

 

 

 

 

 

 

 

 

 

 

20172

 

20182

 

20192

 

2020

Number of reported violations of Social and Labor Standards Policy

 

-

 

-

 

-

 

108

Number of confirmed Violations of Social and Labor Standards Policy

 

-

 

-

 

-

 

29

thereof number of incidents of discrimination

 

-

 

-

 

-

 

2

1

In 2020, we modified our reporting structure for human rights violations. Previously, we reported on such violations in the “Reported compliance violations” table. Since 2020, we report on violations of the Social and Labor Standards Policy, which was drafted and rolled out across the entire Group in 2019.

2

Due to our revised reporting practices, we have decided not to report the data from previous years.

Reported compliance violations

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Reported compliance violations

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2017

 

2018

 

2019

 

2020
The Group

 

2020
thereof
Merck KGaA, Darmstadt, Germany

Total number of reported compliance violations

 

 

 

 

 

 

 

 

 

 

Number of reported compliance incidents

 

39

 

72

 

75

 

81

 

8

Number of confirmed cases

 

14

 

19

 

30

 

41

 

3

Confirmed cases by category1

 

 

 

 

 

 

 

 

 

 

Bribery and corruption

 

3

 

3

 

9

 

6

 

0

Violation of cartel laws and fair competition rules

 

0

 

1

 

0

 

0

 

0

Fraudulent actions against the Group

 

1

 

5

 

8

 

11

 

0

Other violations of our Compliance Principles for the relations with business partners

 

2

 

1

 

4

 

0

 

0

Other violations of our values, internal guidelines or legal requirements

 

8

 

9

 

9

 

24

 

3

1

In 2020, we revised our case categories. The figures from previous years have been retroactively adjusted. You can find detailed information on the revised categories in the comment below the table.

Revisions to the table have resulted in the following changes: The category “Violation of the Human Rights Charter” is now being disclosed in the new “Human rights violations” table. As of 2020, the category “Violation of Data Privacy” will be reported separately in the “Data privacy” table.

The category “Violation of our Pharmaceutical Guidelines” was partially merged with “Bribery and corruption”. Going forward, the category “Other violations of values, internal guidelines or legal requirements” will include violations from “Manipulation of business documents” and “Infringements in the areas of finance, accounting and banking”, along with violations that used to be reported in part under “Violation of our Pharmaceutical Guidelines” or “Violation of Confidentiality Guidelines”.

Data Privacy

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Data Privacy

 

 

 

 

 

 

 

 

 

 

 

 

 

2017

 

2018

 

20191

 

2020
The Group

 

2020
thereof
Merck KGaA, Darmstadt, Germany

Reported violations of Data Privacy Guidelines

 

-2

 

1

 

1

 

3

 

3

Customer Privacy3

 

 

 

 

 

 

 

 

 

 

Total number of substantiated complaints received from outside parties

 

0

 

0

 

0

 

0

 

0

Total number of complaints from regulatory bodies

 

0

 

0

 

1

 

0

 

0

Total number of identified leaks, thefts, or losses of customer data

 

0

 

1

 

1

 

0

 

0

1

Since 2019, our reported figures have excluded the Consumer Health business, which was divested on December 1, 2018.

2

No violations reported to the authorities as the reporting obligation was introduced only in 2018 as part of the EU General Data Protection Regulation.

3

These data only reflect incidents classified as significant.

As of 2020, this table presents the number of reported cases of data privacy violations. In the previous years, we reported data privacy violations in one line combined with violations of confidentiality guidelines in the table entitled “Reported Compliance Violations”. For more information, please see the table entitled Reported Compliance Violations.

As of 2020, this table presents the number of reported cases of data privacy violations. In the previous years, we reported data privacy violations in one line combined with violations of confidentiality guidelines in the table entitled “Reported Compliance Violations”. For more information, please see the table entitled Reported Compliance Violations.

Legal actions

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For further information please see our annual reports:

Information

The current Sustainability Report 2021 can be found here.