Internal audits on corruption and Human Rights Charter
XLS |
Internal audits on corruption and Human Rights Charter |
||||||||||||||||
|
|
|
|
|
|
|||||||||||
|
2016 |
2017 |
20181 |
2019 |
2019 |
|||||||||||
|
||||||||||||||||
Number of audits relating to corruption |
55 |
50 |
54 |
50 |
25 |
|||||||||||
% of audits relating to corruption |
68 |
65 |
69 |
65 |
32 |
|||||||||||
Number of audits relating to the workplace requirements of our Human Rights Charter |
47 |
45 |
46 |
46 |
23 |
In 2019, during 46 of our audits conducted in 22 countries, we reviewed workplace parameters as per our Human Rights Charter. No violations were identified.
Reported compliance violations
XLS |
Reported compliance violations |
||||||||||||
|
|
|
|
|
|
|||||||
|
2016 |
2017 |
2018 |
2019 |
2019 |
|||||||
Total number of reported compliance violations |
|
|
|
|
|
|||||||
|
||||||||||||
Number of reported compliance incidents |
36 |
39 |
72 |
75 |
5 |
|||||||
Number of confirmed cases |
12 |
14 |
19 |
30 |
1 |
|||||||
Confirmed cases by category |
|
|
|
|
|
|||||||
Violation of the Human Rights Charter |
2 |
0 |
0 |
0 |
0 |
|||||||
Bribery and corruption |
2 |
1 |
1 |
0 |
0 |
|||||||
Violation of the Pharmaceutical Guidelines |
4 |
2 |
2 |
9 |
0 |
|||||||
Violation of Data Privacy and Confidentiality Guidelines |
0 |
2 |
3 |
3 |
0 |
|||||||
Manipulation of business documents |
2 |
1 |
0 |
0 |
0 |
|||||||
Violation of cartel laws and fair competition rules |
0 |
0 |
1 |
0 |
0 |
|||||||
Infringements in the areas of finance, accounting and banking |
0 |
0 |
0 |
0 |
0 |
|||||||
Theft and fraudulent actions against the Group |
1 |
1 |
5 |
8 |
0 |
|||||||
Other violations of the Compliance Principles for the relations with business partners |
1 |
2 |
1 |
4 |
1 |
|||||||
Other violations of values, internal guidelines or legal requirements |
0 |
5 |
6 |
6 |
0 |
Compliance training
XLS |
Compliance training |
||||||||||||||||||
|
|
|
|
|
|
|||||||||||||
|
20161 |
20171 |
20181 |
2019 |
2019 |
|||||||||||||
|
||||||||||||||||||
Total number of persons trained on anti-corruption guidelines4 |
29,764 |
17,044 |
11,404 |
36,109 |
5,535 |
|||||||||||||
Total number of employees trained on anti-corruption guidelines |
25,889 |
13,345 |
11,155 |
35,673 |
5,517 |
|||||||||||||
% of employees trained on anti-corruption |
51 |
25 |
22 |
63 |
65 |
|||||||||||||
by employee category |
|
|
|
|
|
|||||||||||||
Number of Role 2+ employees trained on anti-corruption |
14,379 |
7,080 |
9,257 |
26,890 |
3,943 |
|||||||||||||
% of Role 2+ employees trained on anti-corruption |
84 |
27 |
36 |
96 |
100 |
|||||||||||||
% of employees below Role 2 trained on anti-corruption |
34 |
23 |
7 |
30 |
35 |
|||||||||||||
by region (%) |
|
|
|
|
|
|||||||||||||
Europe |
54 |
18 |
19 |
71 |
65 |
|||||||||||||
North America |
57 |
46 |
36 |
59 |
not applicable |
|||||||||||||
Asia-Pacific (APAC) |
38 |
25 |
16 |
47 |
not applicable |
|||||||||||||
Latin America |
52 |
19 |
12 |
62 |
not applicable |
|||||||||||||
Middle East and Africa (MEA) |
66 |
29 |
18 |
80 |
not applicable |
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.
Legal actions
XLS |
Legal actions |
||||||||||||||
|
|
|
|
|
|
|||||||||
|
2016 |
2017 |
20181 |
2019 |
2019 thereof |
|||||||||
|
||||||||||||||
Total number2 of legal actions pending or completed (for anti-competitive behavior, violations of anti-trust or violations of monopoly legislation) |
2 |
3 |
3 |
3 |
2 |
|||||||||
pending |
2 |
3 |
3 |
3 |
2 |
|||||||||
completed |
0 |
0 |
0 |
0 |
0 |
For further information please see our annual reports:
Annual Report 2016, pages 135-136 and pages 228-229, No. 26
Annual Report 2017, pages 148-150 and pages 252-253, No. 27
Annual Report 2018, pages 146-148 and pages 247-251, No. 26
Annual Report 2019, pages 120-122 and pages 243-245, No. 26
Customer privacy
XLS |
Customer privacy1 |
||||||||||||||||
|
|
|
|
|
||||||||||||
|
2016 |
20172 |
2018 |
20193,4 |
||||||||||||
|
||||||||||||||||
Total number of substantiated complaints received from outside parties |
0 |
0 |
0 |
0 |
||||||||||||
Total number of complaints from regulatory bodies |
0 |
0 |
0 |
1 |
||||||||||||
Total number of identified leaks, thefts, or losses of customer data |
1 |
0 |
1 |
1 |