Limitations and outlook - Empirical study

PART II: Empirical study

9. Conclusion

9.1. Limitations and outlook

This thesis focuses on the challenges within the COC transfer process. Apart from this process, the effectiveness of the code itself should be measured. Employees and stakeholders should be interviewed to analyze their satisfaction and their methods of applying the code. This study is limited with regard to the interviewees: Only managers in middle management were interviewed. Certainly, they are responsible for the transfer process. Interviews with employees from distinct position can provide an overview of how the code is perceived in different positions.

The results showed that the code was translated into different languages, and the content does not change country-wise. Here, a language analysis would be necessary of all translated codes to assess whether the code was simply translated word by word or whether the meaning was adapted to the translated language. As shown in Chapter 4.2.2.

translations can be a challenge if the translated version loses the original meaning of the message.

One of the main limitations of this study is probably the sample size. The number of interviews is limited to eight and a website as well as a code analysis had been conducted.

However, a higher sample size provides the potential of receiving more insights and results. Furthermore, the whole study is based on one company. It would be interesting to compare the results with other companies in a similar branch. Additional research can focus on different industrial companies located in Austria but also in other countries and analyze whether differences occur based on country differences.

This study does not include the leadership style of each manager. Certainly, this would have an impact on the results. Therefore, it could be analyzed whether the leadership styles are related to the code’s effectiveness. Furthermore, the interviewees are mostly male; thus, a gender analysis is not included in this study.

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APPENDIX A: THE TEN PRINCIPLES OF THE UNGC

Human Rights

Principle 1: Businesses should support and respect the protection of internationally proclaimed human rights; and

Principle 2: make sure that they are not complicit in human rights abuses.

Labour

Principle 3: Businesses should uphold the freedom of association and the effective recognition of the right to collective bargaining;

Principle 4: the elimination of all forms of forced and compulsory labour;

Principle 5: the effective abolition of child labour; and

Principle 6: the elimination of discrimination in respect of employment and occupation.

Environment

Principle 7: Businesses should support a precautionary approach to environmental challenges;

Principle 8: undertake initiatives to promote greater environmental responsibility; and Principle 9: encourage the development and diffusion of environmentally friendly

technologies.

Anti-Corruption

Principle 10: Businesses should work against corruption in all its forms, including extortion and bribery.

APPENDIX B: PALFINGER’S COC

Version: 1.0

Valid as of: 2010/04

PALFINGER has set itself the goal of profitable growth and corporate responsibility in a sustainable fashion worldwide. The proactive implementation of and compliance with the following eco-social points is important to us. Thus we also demand them in the scope of the Code of Conduct from all of our stakeholders, i.e., the business partners, suppliers, dealers, and employees whom we shall simply call "Partners" henceforth.

1. Human Rights

1.1. Prohibition of child labor

Child labor may not be resorted to in any phase of production. The Partners are urged to comply with the recommendation of the ILO Conventions on the minimum age for child labor or the employment of children. This minimum age should not be less than the age at which general mandatory school attendance ends, and in no case should it be less than 15 years old.

1.2. Free choice of employment

Forced or compulsory labor is unlawful. Employees must be free to end the employment relationship after giving appropriate advance notice. It may not be demanded of employees that they hand over their personal ID, passport, or their work permit as a prerequisite for employment.

1.3. Prohibition of discrimination

Any form of discrimination against workers is unlawful. This applies to discrimination on the basis of, for example, gender, race, caste, skin color, handicap, union membership, political beliefs, origin, religion, age, pregnancy or sexual orientation.

1.4. Freedom of association

Workers must be able to communicate openly with corporate management regarding working conditions without fear of reprisal in any form whatsoever. They must have the right to form associations, to join a union, to seek representation, and to get elected as such.

1.5. Health and safety

The Partner shall ensure work safety and health protection in the workplace, at least within the scope of the national provisions, and shall promote continuous further development for improvement of the labor world.

2. Environmental Standards 2.1. Environmental responsibility

In terms of environmental problems, the Partners shall act according to the preventive principle, shall engage in initiatives to promote more environmental responsibility, and promote the development and spread of green technologies.

2.2. Green production

The Partner shall ensure appropriate environmental protection in all phases of production.

This includes taking a proactive approach to prevent or minimize the consequences of accidents that can have negative impacts on the environment.

2.3. Green products

All products produced along the supply chain shall fulfill the environmental standards of their respective market segment. This includes all materials and substances used in the production process. Chemicals and other substances that pose a hazard if released into the environment have to be identified. A hazardous materials management must be set up for such substances so that suitable approaches are in place for the safe handling, transport, storage, further processing or further use and disposal thereof.

3. Business Ethics

3.1. Anti-corruption measures

Utmost integrity is expected in all business activities and relationships. Any form of corruption, bribery, blackmail, and misappropriation is strictly forbidden and can be reported anonymously via the Integrity Line at www.palfinger.com.

3.2. Gifts, hospitality services, invitations

Our ways of doing business and competing are based on quality and know-how.

Employees may not allow themselves to be influenced through favors, nor may they use favors to influence others. Employees may only accept hospitality services within the normal extent and token gifts that are appropriate for the circumstances. If there are any doubts the employee shall seek the advice and/or approval of the respective management. No employee may accept the following kinds of gifts from other parties, nor

may they offer them to other parties, regardless of the value of the gift: money, loans, provisions or similar advantages in monetary form.

4. Information / Communication

Partners shall communicate this Code of Conduct in an appropriate manner within their own organization as well as in their international organizations. The contents of the Code of Conduct are also on the homepage www.palfinger.com.

APPENDIX C: INTERVIEW GUIDELINES - HEADQUARTERS

Date:

Duration:

Place:

Interview-style: (phone, skype, face-to-face)

Thank you for taking the time to do an interview and supporting me with my master thesis.

The thesis focuses on the challenges of transferring a code of conduct within a multinational enterprise (MNE). The following interview will be semi-structured and will last approximately 30 to 45 minutes. In order to better analyze the data, I am transcribing the interview afterwards. Therefore, I kindly ask for your agreement of recording the interview.

Certainly, you can stop the interview at any time. Nonetheless, the recorded data will be treated strictly confidentially and no name will be used in this thesis. Instead synonyms such as “Manager A” or “Manager B” will be used. Once I have finished my thesis you will receive it. In case it contains any sensible information, please inform me about it and I will not publish the thesis. It will then, only be read by my supervisor and not being made accessible by public.

Do you have any questions? If not, I would suggest to start recording the interview.

Good afternoon and thank you again for taking the time today. The interview will be structured in four parts, the first one will be about questions concerning your person and position in the company and the other three parts will focus on the topic, the implementation and transfer of a code of conduct.

Personal Data – current situation:

 Current position in company and department

 Number of years employed in the company

 Number of years involved in department XX

 Age

 Gender

 Nationality

Implementation process – Content, introduction

 Could you please tell me a bit about the development and implementation of the code of conduct?

o How was the code developed (number of meetings, people involved – nationalities of people)

o and when?

o What were the main reasons for its implementation? What motivated the company to introduce a voluntarily COC?

o Which departments were part of the implementation process? How did the formulation of the COC take place (commitment of top management – shared vision for employees and stakeholders?)?

o What was the original strategy to communicate the COC (Vision?

Countries? Adaptations? Central/decentral?)?

o What difficulties did you encounter?

o What comes to your mind when thinking about the content? Its usage?

o Which departments take responsibility for its content and the general implementation of the COC (new department created?)?

 How long did it take to implement the COC within a) headquarters and b) the entire company?

 Has the COC been revised? If yes, why and in what areas?

 How many versions exist? (language-wise, content-wise)

 In how far does it affect your CSR-strategy? Part of it?

 How far is the code relevant to you? (useful, positive/negative, etc.)

 How is the COC communicated? How do employees get to know about it?

(employee magazine, online, email, training? etc)?

 What areas do you think are the most important ones & why?

 What events or stories come up when you think of the company’s COC?

 What would you say are the benefits/advantages for the company (or the employees)?

 Can you think of any episodes or examples when the code is brought up?

o Is the COC a current topic/currently discussed? (among leaders, employees)

 How far would you say is the COC integrated in the company? (job description, annual ratios, purchase procedures, legal framework, user manuals etc.)

 How should and is the performance of COC related topics measured?

o What measures are taken to ensure the code’s effectiveness?

o How far is the code integrated in the (internal/external) auditing process?

(GRI – global reporting initiative)

 Which channels does the company use to get in contact with stakeholders about feedback, update or suggestions relating the COC?

 How far does the COC influence the relationship to suppliers and external stakeholders of the company? How is the code published and amongst which stakeholders?

 Generally, of what challenges can you think of regarding the creation and implementation of the COC?

Local adaptations – reasons and areas

 How far where differences in other subsidiaries considered during the

implementation process? (Centralized/decentralized decision taking approach)

 What areas are affected when transferring the code to other countries?

o What are the challenges?

o Where are adaptations needed (content, country-wise)?

o Where are adaptations actually made? During implementation process or later?

 How do you guarantee that everyone is able to reach the COC?

o How far was language involved in the creation process?

o In case of translated COCs: Who translated them?

 What are the consequences of non-compliance of the COC?

COC embeddedness – state of the art and recommendations

 When thinking of the COC, which changes would you make in terms of content, the way it is communicated etc. and why?

Would you like to add any comments? Do you have any questions?

Thank you again for taking the time for this interview!

APPENDIX D: INTERVIEW GUIDELINES - EXPATRIATES

Date:

Duration:

Place:

Interview-style: (phone, skype, face-to-face)

Thank you for taking the time for an interview and supporting me with my master thesis.

Do you have any questions? If not, I would suggest to start recording the interview.

Good afternoon and thank you again for taking the time today. The interview will be structured in four parts, the first one will be about questions concerning your person and

Im Dokument Transferring a code of conduct within a multinational enterprise and its challenges: a qualitative study based on the MNE PALFINGER AG / submitted by Lisa-Maria Mair (Seite 117-139)