Steven Cordery

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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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Ombudsman DIALOG
REVENUES42.7 billion (2005) 61 outside United
States
EMPLOYMENT220,000 employees (2005)67 outside
the United States.
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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
SarbanesOxley Act 2006 Code of Ethics
Refreshed Strengthened 2006 20th Anniversary
Ombudsman / DIALOG Program
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Ombudsman DIALOG
Ombudsman An American Idea? Something New?
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Ombudsman - Origins and Etymology
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.
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Ombudsman DIALOG
Why have an Ombudsman?
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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)
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• Cornerstones
• Confidential
• Neutral
• Independent

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Company Representatives Ombudsman DIALOG
Accepts notice Does not accept
notice Investigates issues Does not investigate
Exists to protect Neutral, independentthe
organization Cannot promise Can
promiseconfidentiality confidentiality
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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.

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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

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Considerations.

• Local Laws
• Leadership Management Style
• Culture Company Country

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Since August 1986
75,454 DIALOG inquiries 11,753 Ombudsman cases
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Ombudsman DIALOG Volume
North America
EMEA
Asia/Pacific
South America
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Program Effectiveness - UTC Ombuds/DIALOG Program
since January 1998
No changerequested
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Reviewed butno change
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Resultedin change
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Steven Cordery UTC Corporate Ombudsman Europe,
Middle East Africa
The International Pharmaceutical Regulatory and
Compliance Congress June 6-7, 2007 Brussels,
Belgium