TAG overview

Internal audits on corruption and Human Rights Charter

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Internal audits on corruption and Human Rights Charter

 

 

 

 

 

 

 

 

 

 

 

 

 

2016

 

2017

 

20181

 

2019
The Group2

 

2019
thereof Merck KGaA, Darmstadt, Germany3

1

Consumer Health business has been out of Internal Auditing scope since September 2017.

2

The figures exclude Versum Materials and Intermolecular since the integration process is still underway. For more information, see report profile.

3

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

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

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Reported compliance violations

 

 

 

 

 

 

 

 

 

 

 

 

 

2016

 

2017

 

2018

 

2019
The Group1

 

2019
thereof Merck
KGaA, Darmstadt,
Germany

Total number of reported compliance violations

 

 

 

 

 

 

 

 

 

 

1

The figures exclude Versum Materials and Intermolecular since the integration process is still underway. For more information, see report profile.

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

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Compliance training

 

 

 

 

 

 

 

 

 

 

 

 

 

20161

 

20171

 

20181

 

2019
The Group2,3

 

2019
thereof Merck KGaA, Darmstadt, Germany3

1

In 2016, 2017 and 2018 the job grading system had not yet been implemented 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. From 2019 onwards, 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

Includes contractors, external supervised workers (e.g. temps) and contract partners working on-site who were trained on anti-corruption guidelines (2019: 436).

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

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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

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Customer privacy1

 

 

 

 

 

 

 

 

 

 

 

2016

 

20172

 

2018

 

20193,4

1

These data only reflect incidents classified as significant.

2

Includes Sigma-Aldrich as of 2017.

3

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

4

The figures exclude Versum Materials and Intermolecular since the integration process is still underway. For more information, see report profile.

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

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