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1、岗位职责岗位职责Agenda Compliance and IntroductionPoliciesCasesSources of additional information2professionalstandardsHowthrough local resources(Professional Standards Managers coordinated with the Center)worldwide training for all levelsrole modeling at the team levellocal communications and marketing coor
2、dinated by the center(e.g.,intranet)internal/external marketingincentives and disincentivesBVUProgram Description(4 of 4)9professionalstandards AgendaCompliance and IntroductionPoliciesCasesSources of additional information10professionalstandardsProfessional Standards Policies Protecting and sharing
3、 client informationCompetitor data gatheringExclusivity and client conflictHarassment and discriminationInsider tradingGeneral and Expense Policies11professionalstandardsclient identityclient internal dataproprietary insightspurchased studies(permission may be overarching at case start)presentations
4、proposalsback-up informationsuccess storiesgeneral insights general developed informationpublicly available informationInformationWhich can and should be sharedWhich should be shared once sanitizedCannot be shared without explicit permission from the clientNo confidential or proprietary information(
5、including the clients identity and characteristics of the relationship),provided by or obtained for,a client may be given to anyone outside the case team.Information which is neither proprietary nor confidential may be shared only with the express approval of a Bain partner on the originating case,a
6、nd in many cases,the client.Protecting&Sharing Client Information-Guidelines12professionalstandardsWhen client information is provided to a competing case team or within a Practice Area,the material must be sanitized by or at the direction of the Operating VP who is then also responsible for approvi
7、ng the final productWhen client information is provided to a non-competing case team,the process of sanitizing the information may be done by or at the direction of the VP asking for the information but the Operating VP is responsible for approving the final product Sanitizing(or disguising)client i
8、nformation and approving/disapproving communication of the information is the responsibility of the Operating VP who did the work according to the following guidelines:Protecting&Sharing Client Information-Disguising Information13professionalstandardsIs the information confidential(or does it unambi
9、guously belong to the client)?YesNoDoes the developed info create a competitive advantage for the client(i.e.,would the value received by the clients be reduced by sharing the info?)NoDoes the developed information depend heavily on client proprietary data/input/informationSource data highly proprie
10、tary(not public)Source data reliant on client input and or involvement(e.g.,client interviews)NoDid client pay a significant portion(e.g.,x%or$x)of the cost of Bains value-added in developing the information(i.e.,insight paid for by one client,not many)?NoYesYesYesWould sharing the info pass the“Sun
11、shine Test”?Would sharing the info pass the“Sunshine Test”?YesNoNoYesSanitize Information and Share itInformation May Not be Shared Without Client PermissionInformation Should be SharedProtecting&Sharing Client Information-Decision Rules for Developed Info.14professionalstandards*Copyright permittin
12、gProtecting and Sharing Client Information-Policy SummaryExternal ReportsArticle or report name,date,author,etc.News or magazine articleLiterature searchReport purchased by Bain(not client)Bain PresentationsMethodology SlidesWorkplansIndustry overview dataStrategic insights(if the insights were deve
13、loped over many clients and not just one(e.g.,lessons learned from a retail customer segmentation case)Strategic insights(if the insights were developed for just one client(e.g.,a sequencing algorithm for two auto manufacturers)Internal client dataClient research/dataReport purchased by clientA stud
14、y conducted by the clientA data spreadsheet from the clientXXX*X*XXXXXXX*XXInformation that can and should be sharedClient approval before sharing informationInformation must be disguised before sharingSubject to Operating VP approval15professionalstandardsThe greatest amount of the highest quality
15、informationAt the lowest possible cost for our clientWith the highest standards of professional conduct(and tradeoffs will always be resolved in favor of business ethics over data collection convenience)Competitor Data Gathering-Objectives16professionalstandardsClient confidentiality must be protect
16、ed.never reveal client name without VP and client approvalAll statements,written or verbal,must be true.Lying is never acceptable under any circumstancesRefusing to answer questions is preferable to lyingBain Employees can not mis-represent themselves,the firm(name or type of enterprise),or the type
17、 of research they are performingCompetitor Data Gathering-Policies(1 of 4)17professionalstandardsInterview respondents can be promised non-sensitive results of research only if such results are furnished as described and promisedNo company may be contacted by a case team for a competitor interview w
18、ithout express approval from a VP on the case(to prevent inadvertently calling another offices/teams client by mistake)Competitor Data Gathering-Policies(2 of 4)18professionalstandardsOnly VPs may approve/sign written statements which describe for competitor interview targets the purpose of the ques
19、tions or the destination/limitations on the use of the resulting dataNon-management employees may be contacted only with express approval(from a VP on the case)When interviewing someone currently associated with our client who previously worked for a competitor of our client,Bain staff should clearl
20、y communicate thatwe expect them to honor their confidentiality commitments to their current(or previous)employerwe are specifically asking them to avoid divulging any information which is proprietary or should be considered confidentialwe are only asking for information that they are comfortable di
21、vulgingCompetitor Data Gathering-Policies(3 of 4)19professionalstandardsIn no circumstances may a Bain employee offer any kind of monetary or non-monetary incentive for the purpose of gathering informationBain employees are responsible for the actions of those they directly or indirectly superviseOv
22、erarching test of any decision is always the“Sunshine Test”-whether the action stands up under scrutiny by an objective 3rd party(or on the front page of the Wall Street Journal)Competitor Data Gathering-Policies(4 of 4)20professionalstandardsHow do we represent ourselves?I am(your name)of Bain&Comp
23、any-a management consulting firmI am(your name)of Bain&Company-I am doing market researchI am(your name)a potential investorI am(your name)a potential customerI am(your name);would you give me some informationI am(your name)a business school studentBain&Company-a market research firma market researc
24、h firmAlways AcceptableAcceptable Only with VP and often client ApprovalAbsolutely ProhibitedXXXXXXXXCompetitor Data Gathering-Guidelines(1 of 3)21professionalstandardsHow do you represent the client?no mentionindustry of clientarea of interest to clientclient nameanything elseWhat organizations do
25、we contact?customersindustry associationssupplierscompetitorssecurity analystsAlways AcceptableAcceptable Only with VP and often client ApprovalAbsolutely ProhibitedXXXXXXXXXXCompetitor Data Gathering-Guidelines(2 of 3)22professionalstandardsWho in the organization do we contact?senior managementmid
26、dle and junior managementnon-management(labor and clerical)Are incentives appropriate for gathering informationmoneyother non-monetary rewardsAlways AcceptableAcceptable Only with VP and often client ApprovalAbsolutely ProhibitedXXXXXCompetitor Data Gathering-Guidelines(3 of 3)23professionalstandard
27、sBain&Company is dedicated to helping our clients achieve outstanding results.As such,we pride ourselves on having the most rigorous standards in the consulting industry with respect to confidentially and conflict of interest.Confidentiality of data:Our goal is absolute protection of proprietary cli
28、ent dataRigorous internal policies and procedures“Assignment exclusivity:Bain&Company will not accept a client assignment worldwide where in our judgment success would cause an existing client assignment to fail.Under many circumstances,this permits Bain to serve two competitors in an industry.Howev
29、er,this will often restrict staffing and the office involved.To our knowledge,no other leading consulting firm operates a standard this rigorous.Exclusivity and Client Conflict-Policy Summary(1 of 2)24professionalstandards Formal“performance partnership”:Where appropriate,we aspire to agree to forma
30、l“performance partnerships”with our clients,aimed at creating sustained exceptional client results.Such arrangements are entirely at the behest of our clients.A“performance partnership”relationship is in no way a requirement by Bain&Company.“Internal Bain gatekeeper”:A member of the Bain&Company wor
31、ldwide Policy Committee is designated“internal gatekeeper”,to ensure any issues relating to possible conflict of interest are resolved in a manner fully consistent with Bain policies and client interests.“People exclusivity:Individuals who are involved in strategy work for a client are restricted fr
32、om dong strategy work for a direct competitor for a minimum period following the end of an assignment-typically one to two years for senior individuals.Exclusivity and Client Conflict-Policy Summary(2 of 2)25professionalstandards Harassment and Discrimination-Policy SummaryNo employee shall threaten
33、 or insinuate any adverse effects whatsoever on another employee who is refusing to submit to sexual advances.No employee shall engage in sexually harassing behavior,including propositions,sexual comments,sexually degrading terms,or the display of workplace decorations,which could possibly offend an
34、other employee.No employees shall create an offensive or intimidating work environment or experience by words,acts,jokes,threats,or printed materials which demean or show hostility to an individual race,color,religion,gender,nationality,age,sexual orientation,or disability.26professionalstandards Ou
35、r policy on insider trading provides the greatest protection to both individual employees as well as to the firm(designed to prevent any violations of securities laws,inadvertent or otherwise,as well as to avoid the appearance of improper conduct on the part of anyone employed at our firm).You are p
36、rohibited from trading,and from tipping others to trade,in a companys stock when:you know material,non-public information about a company;or the company is a Bain client(and appears on Bains Restricted List);or the company is otherwise associated with Bain or a Bain client(and appears on Bains Restr
37、icted List)If trading outside the U.S.,you are expected to adhere to local laws;however,even if there is no local prohibition on“insider trading”,trading in the stock of a Bain client is not permitted.Insider Trading-Policy Summary(1 of 2)27professionalstandards The“Restricted List”of companies in w
38、hich employees may not trade is maintained by Local Controllers,Corporate Treasury and possibly the senior Librarian in each local office.If you own a security,you maysell the shares immediately(assuming no issue of insider information)orhold the shares(either in a“blind”trust or until 3 months afte
39、r you leave Bain)in rare circumstances and only with the approval of the Center,you may be able to sell a security on the Restricted List within a prescribed windowThe consequences of insider trading violations can be staggering:civil fines up to 3 times the profit gained or loss avoided by the trad
40、ingcriminal fines(no matter how small the profit),of up to$1millionliability to those damaged by the tradingthe appearance of improper conduct can have a very serious impact on Bains business and financial resultssanctions up to and including termination of employment for causeInsider Trading-Policy
41、 Summary(2 of 2)28professionalstandards General and Expense PoliciesEmployees may not violate any criminal or civil laws or regulations(federal,state,or local)as part of any work for Bain&Company or its clients nor may they recommend(either seriously or in jest)that the client violate any criminal o
42、r civil laws or regulations.Bain&Company letterhead may only be used for Bain&Company business.Employees can not accept gifts or payments from 3rd party vendors except those generally accepted in the business community)(e.g.,frequent flier awards).Employees cannot use Bain or Bain generated contacts
43、 to promote or sell products of companies in which they have a material interest.General Policies:Employees must follow Expense Standards to determine reimbursable expenses.Expense Policies:29professionalstandardsAgenda Compliance and IntroductionPoliciesCasesSources of Additional Information30profe
44、ssionalstandards While talking socially with a friend who is working for a different client in the same industry as your client(telecommunications),your friend mentions that her manager has just approved the purchase of a$4,000 industry report.This 200 page comprehensive document is from a research
45、firm and has much of the data that she needs to complete her analysis.She thinks it might be helpful to your case team.You believe this report contains much of the data and analysis that you would need for your own analysis.Your friend has a copy of the report,and,as it contains no private or confid
46、ential data from her client,she asks if you want a copy.Additionally,she offers you a number of general articles,web pages,and literature searches on the industry that might be of some use to you.Situation:Complication:Cross-Team Sharing of External Data Sources(1 of 3)31professionalstandards Can yo
47、u photocopy parts of the$4,000 report that her Bain case team purchased?Can you use the publicly available articles,web pages,and literature searches your friend has found even though she conducted the search on time that was billed to another client?Questions:Cross-Team Sharing of External Data Sou
48、rces(2 of 3)32professionalstandards If Bain,not one of its clients,paid for the report,the information can be shared within Bain.However,you should check with the Bain library and the research firm that published the report to ensure copyright laws will not be violated.If a Bain client purchased the
49、 report,Bain must secure the approval of that client in order to share the report with another client-check with your VP.Typically,the two clients will split the cost of the report.Again,you should check with the Bain library and the research firm that wrote the report to ensure copyright laws will
50、not be violated.Publicly available articles,web pages,and literature searches can be shared with you with approval of the manager on the case-check with him/her first.Answers:Cross-Team Sharing of External Data Sources(3 of 3)33professionalstandards While researching the benchmarking work that Bain