© Siemens AG 2010

Detect
Prevent
Handeln
Respond
Compliance – Progress Report Q3 FY 2010
Helpdesk
Helpdesk
Disciplinary Sanctions in Q3
Compliance Staff Worldwide
Training1)
"Tell Us" & Ombudsman
30%
"Ask Us"
Participation in person training
687 699
972
Q4 Q1/10 Q2 Q3
1,110
Q3/09
1,2603)
35
36
25
Q3
136
123
13
Q2
125
106
19
Q1/10
149
124
Q4
139
103
Q3/09
148
113
Substantiated
Not substantiated
521
598
170
FY 08 FY 09
621
1005)
FY 06 FY 07
864)
Participation web-based training
in thousands
108
infringements
resulting in
disciplinary
sanctions
Warning 72 5 Others 2)
Dismissal/
Separation
31
Helpdesk
"Tell Us“ Topics Q3 FY 10
1) Cumulative 2) Forfeiture of payment elements, transfer to another position,
suspension 3) Rollout of the enhanced Compliance rules 4) Compliance only
one area of responsibility 5) Including Implementation Management
82 84
91
Q3
279
188
Q2
235
151
Q1/10
225
143
Q4
219
140
79
Q3/09
213
138
75
Others
37%
Conflict of
interest
8%
Embezzlement/theft
9%
Internal regulations
9%
Working
conditions
16%
Leadership
21% issues