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1、 bcProfessional StandardsMarch 1998Author: Peter AmanContributors: Barbara Bjornson Laird ReedCopyright 1998 Bain & Company, Inc. 1bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Agenda Compliance and IntroductionPoliciesCasesSources of additional information2bcCopyright 1998 Bain &

2、Company, Inc. Professional StandardsBOS Agenda Compliance and IntroductionPoliciesCasesSources of additional information3bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Professional Standards Compliance Failure to follow described policies will result in significant penalties, up to

3、and including immediate involuntary termination.4bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Policy AreasProtecting / sharing client informationCompetitor data gatheringExclusivity and client conflictHarassment and discriminationInsider tradingGeneral and Expense PoliciesPolicy A

4、reas5bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Whata set of worldwide professional standards (captured in client service policy statements) which reinforce our commitment to acting with integrity and honestyspecific guidelines (captured in client service policy statements) for

5、tricky situations where there is tension between doing the best for the client and doing the “right” thing, or between needs of multiple clientsa group of people in the center and in local offices dedicated to interpreting and applying the policiesProgram Description (1 of 4)6bcCopyright 1998 Bain &

6、 Company, Inc. Professional StandardsBOS WhyBains reputation and success ultimately depends on it to ensure that the instinctive reaction to a tricky situation is generally the right one8reinforce a firm wide commitment to “doing the right thing”8reinforce a culture which embodies integrity and hone

7、sty that we can all be proud of8provide a business environment consistent with firm management and employees valuesProtection from lawsuitsProgram Description (2 of 4)7bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Whoevery individual employee - embodies our professional standards,

8、thoroughly understands them and applies them consistently and comprehensivelylocal office Professional Standards Program Manager - interprets, counsels, provides feedback to other offices and the CenterProfessional Standards Program Director (Peter Aman) - central resource to manage implementation o

9、f program and assist driving of continued program development and improvementProfessional Standards Program Officer and Coordinator (Colin Anderson, Barb Bjornson) - central resource to further develop, refine, and interpret; mechanism for mediationManagement - reinforce (actively), interpret, apply

10、, provide incentives/disincentivesProgram Description (3 of 4)8bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Howthrough local resources (Professional Standards Managers coordinated with the Center)worldwide training for all levelsrole modeling at the team levellocal communications

11、and marketing coordinated by the center (e.g., intranet)internal/external marketingincentives and disincentivesBVUProgram Description (4 of 4)9bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS AgendaCompliance and IntroductionPoliciesCasesSources of additional information10bcCopyright

12、1998 Bain & Company, Inc. Professional StandardsBOS Professional Standards Policies Protecting and sharing client informationCompetitor data gatheringExclusivity and client conflictHarassment and discriminationInsider tradingGeneral and Expense Policies11bcCopyright 1998 Bain & Company, Inc. Profess

13、ional StandardsBOS client identityclient internal dataproprietary insightspurchased studies (permission may be overarching at case start)presentationsproposalsback-up informationsuccess storiesgeneral insights general developed informationpublicly available informationInformationWhich can and should

14、 be sharedWhich should be shared once sanitizedCannot be shared without explicit permission from the clientNo confidential or proprietary information (including the clients identity and characteristics of the relationship), provided by or obtained for, a client may be given to anyone outside the cas

15、e team. Information which is neither proprietary nor confidential may be shared only with the express approval of a Bain partner on the originating case, and in many cases, the client.Protecting & Sharing Client Information - Guidelines12bcCopyright 1998 Bain & Company, Inc. Professional StandardsBO

16、S When 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 approving the final productWhen client information is provided to a non-competing case team, the proces

17、s 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 information and approving/disapproving communication of the information is the responsibility

18、of the Operating VP who did the work according to the following guidelines:Protecting & Sharing Client Information - Disguising Information13bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Is the information confidential (or does it unambiguously belong to the client)?YesNoDoes the d

19、eveloped 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 proprietary (not public)Source data reliant on cli

20、ent 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 “Sunshine Test”?Would sharing the i

21、nfo 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.14bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS *Copy

22、right permittingProtecting 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

23、the insights were developed 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/dataRepor

24、t purchased by clientA study 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 approval15bcCopyright 1998 Bain & Company, Inc.

25、 Professional StandardsBOS The greatest amount of the highest quality 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

26、- Objectives16bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Client confidentiality must be protected. 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 question

27、s is preferable to lyingBain Employees can not mis-represent themselves, the firm (name or type of enterprise), or the type of research they are performingCompetitor Data Gathering - Policies (1 of 4)17bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Interview respondents can be promi

28、sed 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 without express approval from a VP on the case (to prevent inadvertently calling another offices/teams client by mistake)Competitor

29、Data Gathering - Policies (2 of 4)18bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Only VPs may approve/sign written statements which describe for competitor interview targets the purpose of the questions or the destination/limitations on the use of the resulting dataNon-management

30、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 clearly communicate thatwe expect them to honor their confidentiality commitments to the

31、ir 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 divulgingCompetitor Data Gathering - Policies (3 of 4)19bcCopyright 1998 Bain & Co

32、mpany, Inc. Professional StandardsBOS In 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 superviseOverarching test of any decision is

33、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)20bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS How do we represent ourselves?I am (your

34、name) of Bain & Company - 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

35、- a market research firma market research firmAlways AcceptableAcceptable Only with VP and often client ApprovalAbsolutely ProhibitedXXXXXXXXCompetitor Data Gathering - Guidelines (1 of 3)21bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS How do you represent the client?no mentionindu

36、stry of clientarea of interest to clientclient nameanything elseWhat organizations do we contact?customersindustry associationssupplierscompetitorssecurity analystsAlways AcceptableAcceptable Only with VP and often client ApprovalAbsolutely ProhibitedXXXXXXXXXXCompetitor Data Gathering - Guidelines

37、(2 of 3)22bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Who in the organization do we contact?senior managementmiddle and junior managementnon-management (labor and clerical)Are incentives appropriate for gathering informationmoneyother non-monetary rewardsAlways AcceptableAcceptab

38、le Only with VP and often client ApprovalAbsolutely ProhibitedXXXXXCompetitor Data Gathering - Guidelines (3 of 3)23bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Bain & Company is dedicated to helping our clients achieve outstanding results. As such, we pride ourselves on having th

39、e 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 client dataRigorous internal policies and procedures“Assignment exclusivity:Bain & Company will not accept a client assi

40、gnment 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. However, this will often restrict staffing and the office involved. To our knowledge, no other leading consulting fir

41、m operates a standard this rigorous.Exclusivity and Client Conflict - Policy Summary (1 of 2)24bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Formal “performance partnership”:Where appropriate, we aspire to agree to formal “performance partnerships” with our clients, aimed at creati

42、ng 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 worldwide Policy Committee is designated “internal gat

43、ekeeper”, 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 from dong strategy work for a direct competitor for

44、 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)25bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS Harassment and Discrimination - Policy SummaryNo employee shall threaten

45、 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 offe

46、nd another 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.26bcCopyri

47、ght 1998 Bain & Company, Inc. Professional StandardsBOS Our 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

48、conduct on the part of anyone employed at our firm).You are prohibited 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 otherw

49、ise associated with Bain or a Bain client (and appears on Bains Restricted 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

50、Summary (1 of 2)27bcCopyright 1998 Bain & Company, Inc. Professional StandardsBOS The “Restricted List” of companies in which 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 s