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Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa

Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa. The International Pharmaceutical Regulatory and Compliance Congress June 6-7, 2007 Brussels, Belgium. Ombudsman & DIALOG. REVENUES $42.7 billion (2005) 61% outside United States.

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Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa

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  1. Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa The International Pharmaceutical Regulatory and Compliance Congress June 6-7, 2007 Brussels, Belgium

  2. Ombudsman & DIALOG REVENUES$42.7 billion (2005) 61% outside United States EMPLOYMENT220,000 employees (2005)67% outside the United States.

  3. Ombudsman & DIALOG Key Events • 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

  4. Ombudsman & DIALOG Ombudsman An American Idea? Something New?

  5. Ombudsman - Origins and Etymology The origin of the word is found in Old Swedishumbuðsmann, 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.

  6. Ombudsman & DIALOG Why have an Ombudsman?

  7. UTC Employee Options Established, open channels Alternate, confidential channels Supervisor Human Resources Legal DIALOG Ombudsman Environmental Health & Safety Business Practices (in writing, usually (usually via telephone; not legal or issues tend to be complicated in more complex, legal nature) in nature)

  8. Cornerstones • Confidential • Neutral • Independent

  9. Company RepresentativesOmbudsman & DIALOG Accepts “notice”Does not accept “notice” Investigates issuesDoes not investigate Exists to protectNeutral, independentthe organization Cannot promise Can promiseconfidentiality confidentiality

  10. The Role of the Ombudsman • 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.

  11. 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

  12. Considerations…. • Local Laws • Leadership & Management Style • Culture – Company & Country

  13. Since August 1986… 75,454 DIALOG inquiries 11,753 Ombudsman cases

  14. Ombudsman & DIALOG Volume North America EMEA Asia/Pacific South America

  15. Program Effectiveness - UTC Ombuds/DIALOG Program – since January 1998 No changerequested 22% Reviewed butno change 36% Resultedin change 42%

  16. Steven Cordery UTC Corporate Ombudsman Europe, Middle East & Africa The International Pharmaceutical Regulatory and Compliance Congress June 6-7, 2007 Brussels, Belgium

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