SFO – Jean-Daniel Lainé a été acquitté à l’issue d’un 2ème procès à la Southwark Crown Court de Londres. Jean-Daniel Lainé was acquitted at the end of a retrial at the Southwark Crown Court in London.

By | December 20, 2018

On 28 November 2018, Jean-Daniel Lainé was acquitted – at the unanimity of the 12 jurors – at the Southwark Crown Court in London of a charge in a linked investigation into alleged corruption relating to a Budapest Metro rolling stock contract and consequently Alstom Network UK has also been found not-guilty. This was the result of a retrial from the Serious Fraud Office on this case, as the jury was unable to decide at the end of the first trial held in 2017.

Due to their wish to achieve a corporate conviction against Alstom, the SFO misunderstood and misrepresented my role within the company Alstom Network UK and consequently put me through four difficult years having to prove my innocence.

As director of Alstom Network UK, I was considered as representing the directing mind and will of the company. The pressure against me was then immense as the Notes on the Law given by the Judge to the 12 jurors said: “As far as Alstom Network UK is concerned you can only consider a verdict for the company once you have reached a verdict in respect of Jean-Daniel Lainé. A company will have imputed to it the acts and state of mind of those of its directors who represent its directing mind and will. If your verdict in relation to Jean-Daniel Lainé is Not Guilty your verdict in relation to Alstom Network UK must be Not Guilty”.

Further, by prosecuting a Chief Compliance Officer, often cited as the first line of defence against corporate corruption, the SFO have sent a message to the Ethics and Compliance community that is counterproductive and damaging to their efforts to keep business free from corruption.

Le 28  novembre 2018, Jean-Daniel Lainé a été acquitté, à l’unanimité des 12 membres du jury – à la Southwark Crown Court de Londres -, à la suite d’une accusation de suspicion de corruption dans le cadre du métro de Budapest et en conséquence de mon innocence, la société Alstom Network Limited a également été acquittée.

Dans son désir de condamner Alstom en tant que personne morale, le Serious Fraud Office a mal interprété et a présenté de manière erronée mon rôle au sein de l’entreprise, ce qui m’a obligé à traverser 4 années difficiles pour prouver mon innocence.

En tant qu’administrateur d’Alstom Network UK, j’étais considéré comme le représentant de l’esprit et de l’intention de la société. La pression à mon encontre était ainsi considérable car comme le stipulait la Note sur le Droit donnée par le juge aux 12 membres du jury: “S’agissant de Alstom Network UK vous ne devez considérer un verdict que si vous avez vous avez obtenu un verdict pour Jean-Daniel Lainé. Les actes et l’état d’esprit d’une société sont ceux de ces administrateurs qui représentent l’esprit et l’intention de la société. Si votre verdict pour Jean-Daniel Lainé est Non Coupable, votre verdict pour la société Alstom Network UK doit être Non Coupable”.

De plus, en inculpant un Chief Compliance Officer, souvent cité comme la première ligne de défense contre la corruption dans une entreprise, le Serious Fraud Office a envoyé un message contre productif et dommageable aux efforts que la communauté de l’éthique et de la conformité mène pour prévenir la corruption dans les affaires.

Cela montre – si besoin était – la difficulté d’assumer la fonction de Chief Compliance Officer et confirme les risques que ce dernier peut encourir alors que les informations dont il dispose sont limitées et que toute son énergie est pourtant tournée vers le respect d’une politique d’intégrité et celui de la conformité avec les lois. Le Serious Fraud Office a tort de déstabiliser la profession de l’éthique et de la conformité en prenant pour cible les gardiens du temple de l’intégrité des affaires dans les entreprises et de prendre le risque de décourager ceux qui voudraient s’engager dans ce métier.

Extrait du journal Le Monde du samedi 22 décembre 2018

A Paris, le français Jean-Daniel Lainé était alors le nouveau directeur du département d’éthique, à son poste depuis janvier 2016. Que savait-il de ces manoeuvres ? Lors d’un premier procès, les jurés n’ont pas réussi à se départager sur cette question. Il a fallu un deuxième procès, et les jurés ont décidé à l’unanimité qu’il n’était pas coupable. « Je n’avais aucun rôle dans la procédure [des paiements en Hongrie] », explique-t-il aujourd’hui au Monde.

Selon lui, son inculpation, qui lui a valu quatre ans de procédures judiciaires très lourdes, a aussi été contreproductive. « J’ai passé toute ma vie à me battre contre la corruption. » Au sein d’Alstom, il a en effet mis en place toute une série de procédures de transparence, multipliant par dix les employés chargés de la compliance (« conformité»), de 3 à 30 personnes, nommant 300 « ambassadeurs d’éthique » à travers le groupe…

«Poursuivre en justice la personne chargée de l’éthique et de la conformité dans une entreprise envoie un message déplorable à ceux qui luttent contre la corruption», estime-t-il. Le risque, selon lui, est que plus personne ne veuille accepter ce genre de responsabilité, de peur d’être rattrapé par la justice pour des faits qui se déroulent à son insu. « On risque d’en dégoûter plus d’un. »

Eric Albert

 

Extract from the Financial Times dated December 19, 2018

The final case involved allegations that three individuals conspired to bribe public officials in Hungary so that Alstom Network would secure a €229m contract for another subsidiary to supply rolling stock to the Budapest metro system. Three individuals — Jean-Daniel Lainé, Michael Anderson, and Terence Watson — were acquitted this year after a retrial at Southwark Crown Court. The company was also cleared in the Budapest case.

Barney Thompson

Extract from Global Investigations Review dated 19 December 2018

Under phase three, the SFO accused former Alstom executives Michael Anderson, Terence Watson and Jean-Daniel Lainé and Alstom Network UK of conspiracy to corrupt Hungarian officials contrary to section 1 of the Criminal Law Act 1977.

The SFO said that Anderson, a former business development manager at Alstom Transport in Paris, Watson, Alstom Network UK’s former senior vice president for Europe and Central Asia, and Lainé, Alstom Network UK’s former senior vice president for ethics and compliance, conspired with Alstom Network UK to give corrupt payments to public officials in Hungary to secure contracts for the Budapest Metro System. The SFO alleged that in 2006, payments were made to local consultants in Hungary to secure a €229 million contract.

Anderson, Watson, Lainé and Alstom Network UK were first tried in May 2018. However, a jury at Southwark Crown Court was unable to reach a verdict and the parties were retried in September. Alstom Network UK, Watson and Lainé were acquitted of a charge of conspiracy to corrupt on 28 November 2018. Anderson was acquitted of the same charge on 29 November 2018.

Lainé said in an emailed statement: “Due to its wish to achieve a corporate conviction against Alstom, the SFO misunderstood and misrepresented my role within the company and consequently put me through four difficult years of having to prove my innocence.”

His lawyer, Christopher David, counsel at WilmerHale in London, said: “The Alstom trials have produced a mixed set of results for the SFO.” He added: “Whilst some trials have resulted in convictions, the acquittal of a number of senior executives calls into question the SFO’s approach to the prosecution of corporate crime.”

Waithera Junghae

Extract from Wall Street Journal dated 20 December 2018

Alstom Network UK Ltd was acquitted along with three other executives for their roles in alleged corruption over the supply of trains to the Budapest Metro system. 

Those acquitted in the Budapest case included Terence Stuart Watson, a former Alstom managing director in the U.K., and Jean-Daniel Lainé, who was a senior vice president of ethics and compliance at Alstom. 

Samuel Rubenfeld and Nina Trentmann

 

WilmerHale  – David Christopher

“Christopher David successfully represented the former Chief Compliance Officer of Alstom, Jean-Daniel Lainé, in an SFO prosecution when he was acquitted in November 2018 of conspiracy to corrupt in relation to Alstom’s role in the Budapest Metro Project.”

Michael Bowes QC

“It was the SFO’s case that: Terence Watson; Michael Anderson, a former Business Development Manager at Alstom Transport in Paris; and Jean-Daniel Lainé, Alstom Network UK’s former Senior Vice President for Ethics and Compliance, conspired with Alstom Network UK to make corrupt payments to public officials in Hungary in order to secure contracts for the Budapest Metro System. The SFO alleged that in 2006, payments were made to local consultants in Hungary to secure a €229 million contract.

Mr Anderson, Mr Watson, Mr Lainé and Alstom Network UK were first tried in May 2017. However, a jury at Southwark Crown Court was unable to reach a verdict and the parties were retried in September 2018. Mr Anderson, Mr Watson, Mr Lainé and Alstom Network UK, were all acquitted of the charge of conspiracy to corrupt.”


L’amélioration du programme d’intégrité d’Alstom s’est effectuée de manière continue et dans la durée comme le montre le résumé ci-dessous des mesures prises entre le 1er janvier 2006 et le 30 juin 2013 lors de ma mission en tant que SVP Ethics & Compliance.

  • January 2006

  • The Representation & Compliance Department is renamed Ethics & Compliance with an enlarged scope in line with Alstom’s will to strengthen its policy in terms of integrity beyond its obligations to comply with national and international laws. Jean-Daniel Lainé is appointed SVP Ethics & Compliance as from 1st January 2006.

  • March 2006

  • The e-learning module on Competition Law is launched.

  • January 2007

  • The Ethics & Compliance department issues new detailed “Rules, Procedures and Guidelines for the Selection, Use and Payment of Agents” applicable to the all-operational Sectors.

  • April 2007

  • Distribution to all employees of 80,000 copies of an updated version of the Code of Ethics entitled “Our identity, our values, our code of ethics” printed in 17 languages.

  • Implementation of an Alert Procedure available to any employee who may have reasons to believe that corruption, competition, securities of accounting laws or rules are not being respected.

  • June 2007

  • The Ethics & Compliance department appoints an external company to carry out external report on consultants and representatives to further strengthen its Due Diligence process.

  • January 2008

  • The “Pre-Appraisal” process is launched. The process requires a meeting with Ethics & Compliance and the representative of the sector concerned to discuss the necessity to appoint a consultant, the justification and a review of the situation, before any commitment is made under the form of a cross-examination. Another initiative is also launched with the “Application Form” which must be systematically completed by the sectors.

  • March 2008

  • As part of a continuing process of self-assessment, an outside lawyer with extensive practical compliance experience is appointed to review the Ethics & Compliance organisation,

  • A certification process of our Rules and Procedures, by ETHIC Intelligence, a company working with an international group of experts, is initiated.

  • May 2008

  • Decision to review the Ethics & Compliance organisation in order to avoid any possible internal conflict of interests (the Sector Compliance Officers report to the SVP Ethics & Compliance with a functional reporting to the sector General Counsel) and to reinforce the team by the recruitment of new Compliance Officers.

  • June 2008

  • Launch of an e-learning module on Prevention of Corruption.

  • February 2009

  • Appointment of the Power Compliance Officer, a French military Officer.

  • March 2009

  • The certification by ETHIC Intelligence of the rules and procedures for dealing with sales consultants is obtained after an audit by SGS conducted between September 2008 and March 2009.

  • Overall both the quality of our compliance policy and the quality of its implementation have been rated as “exemplary” and corresponding to international best practices. As a consequence of this positive review, Alstom was awarded a specific certificate on 12 March 2009, granted for two years.

  • April 2009

  • Appointment of the Transport Compliance Officer, an Argentinian tax prosecutor.

  • Launching of a Due Diligence Review Committee to enable the Ethics & Compliance department to take a position on the Due Diligence of a business advisor through an objection or non-objection process. Unanimity among the participants is requested to take a position.

  • June 2009

  • The Rules and Procedures for Dealing with Sales Consultants is fully updated.

  • A dedicated Ethics & Compliance section is made available on the Alstom Intranet, Altair

  • October 2009

  • The Letter of Mission of the SVP Ethics & Compliance is issued.

  • December 2009

  • Decision of the Executive Committee to manage the “payment and control” companies to be created in France from the Corporate Headquarters.

  • February 2010

  • Launch of the appointment of Ethics & Compliance Ambassadors,

  • Issue of four new Ethics & Compliance Group Instructions relating to Gifts & Hospitality, Political Contributions, Charitable Contributions and Sponsorship.

  • March 2010

  • Release of the updated version of the Code of Ethics: distribution of the booklet available in 21 languages to all employees with a print run of more than 130,000 copies,

  • Deployment of the e-Ethics module: mandatory for all 35,000 Managers and Professionals of the Group.

  • Appointment of the Alstom Integrity Programme Development Compliance Officer.

  • May 2010

  • Decision to renew the ETHIC Intelligence certification in March 2011,

  • The SVP Ethics & Compliance adheres to the ECOA (Ethics & Compliance Officer Association – USA),

  • Kick-Off of the Ethics & Compliance Ambassadors community.

  • June 2010

  • 20,000 new employees join from Grid and receive the Code of Ethics,

  • The SVP Ethics & Compliance adheres to the IBE (Institute of Business Ethics – UK).

  • September 2010

  • The Board of Directors decides the creation of a new committee, the Ethics, Compliance and Sustainability (EC&S) Committee consisting of 3 independent directors of the Board. The SVP Ethics & Compliance is the secretary of the EC&S Committee for the E&C element.

  • Approximately 90% of the Managers &Professionals have completed the e-Ethics module

  • November 2010

  • Launch of the Ethics communication campaign. A poster translated into 10 languages is displayed on all sites

  • A section dedicated to Ethics is available on Alstom’s internet website

  • December 2010

  • Launch of the new Group Instruction for dealing with consulting companies

  • Alstom partners with the Ethos Institute in Brazil, and sponsors of its “Pact for Integrity and against corruption”

  • January 2011

  • Launch of the ETHIC Intelligence certification process for renewing the certification of the procedure for dealing with sales and marketing consultants in Power and Transport and obtaining the certification of the procedure for dealing with sales intermediaries in Grid.

  • February 2011

    • Appointment of the Grid Compliance Officer, an ex-investigator from the Serious Fraud Office.

  • March 2011

    • Launch of the Group Instruction for managing conflicts of interest

  • April 2011

    • Award of the ETHIC Intelligence renewed certificate for the procedure for dealing with Business Advisors in Power and Transport.

  • Alstom joins The Centre for Business Ethics and Corporate Governance in Russia.

  • May 2011

  • Award of the ETHIC Intelligence certificate for the procedure for dealing with sales intermediaries in Grid.

  • Launching of the process for obtaining the certification of the Alstom Integrity Programme as a whole.

  • June 2011

  • Centralisation payments to Business Advisors are no longer undertaken in the UK and in Switzerland but through Companies registered in France where Alstom has its headquarters.

  • September 2011

  • The positioning of Ethics & Compliance function is reviewed in the framework of the new organisation of the Group. The SVP E&C directly reports to the Group General Counsel, with a direct access to the Chairman and CEO and to the Ethics, Compliance and Sustainability Committee of the Board.

  • Award of the ETHIC Intelligence Certificate for the Alstom Integrity Programme.

  • 50 new E&C Ambassadors are appointed.

  • November 2011

    • A new e-learning programme called Sourcing and Procurement Compliance is launched. It is made of 2 modules focusing on the prevention of corruption, of breaches of competition law and of conflicts of interest in sourcing, procurement and supply chain employees.

  • December 2011

    • The Group Instruction for Dealing with Business Advisors is fully updated.

  • January 2012

    • Launch of the Group Instruction for Dealing with Resellers.

    • Complete update of the E&C Section on Altair to provide more information to employees.

  • February 2012

    • Launch of the Yearly Integrity Review.

  • March 2012

    • Launch of e-Ethics in Grid introduced by a message from Grid President.

  • April 2012

    • Update of the Ethics Section on Alstom’s internet website alstom.com to provide external stakeholders with more information and give them access to E&C policies.

  • May 2012

    • Appointment of a Competition Law Director at Group level reporting to the Group General Counsel.

    • 1st meeting of the Group E&C Council.

  • June 2012

    • Alstom Argentina signed the Electric energy transportation industry’s principle-based collective action agreement to fight corruption.

  • July 2012

    • Alstom signed the Malaysian Anti-Corruption Commission (MACC) Corporate Integrity Pledge.

  • August 2012

    • e-Ethics e-learning module is available in Arabic.

    • The Group Instruction 6.7 on Competition law and appendices are fully updated.

  • September 2012

    • Launch of the Business Advisor Integrity Kit to ensure Business Advisors are properly trained on prevention of corruption and on our process.

  • October 2012

    • Appointment of a full-time Compliance Officer in the USA.

    • Appointment of a trainee to support the project “Alstom Integrity Training Programme”, which aims at creating new face-to-face training modules for exposed employees and the update of the e-learning module on Prevention of Corruption.

  • February 2013

    • Appointment of a Compliance Officer in Germany. In addition, it was decided to give a role of part-time Country Compliance Officer to two Legal Counsels in the UK and Mexico.

  • April 2013

    • Appointment of a Compliance Officer in South Africa, senior Legal Counsel in addition to his Legal role.

    • Update of the Group Instruction for Acquisitions & Disposals e-Book 5.26

  • May 2013

    • Launching of Group Instruction for Preventing Corruption in Joint Venture and Consortium e-Book 2.9

  • June 2013

    • Update of Group Instruction for Dealing with Business Advisors e-Book 2.4

    • Appointment of a Compliance Officer in Russia and a Compliance Officer for Training and Coordination

A l’issue de cette difficile épreuve qu’ont représenté ces 2 procès du Serious Fraud Office à mon encontre et enrichie par cette expérience, je vais continuer à conseiller et assister les entreprises qui le souhaitent dans le domaine de l’éthique et de la conformité au travers de ma société “jdl.ethiconsult”.

Communiqué de Presse Alstom – 26 juin 2013

Nomination à la direction de l’Ethique et de la Conformité d’Alstom

Jean-Daniel Lainé, Directeur Ethique & Conformité d’Alstom prend sa retraite après 40 années de carrière dans l’entreprise. A partir du 1er juillet 2013, il sera remplacé par Romain Marie, Directeur Audit et Contrôle d’Alstom depuis 2005. Romain Marie rapportera à Keith Carr, Directeur juridique d’Alstom. Il reprend une direction renforcée sous l’impulsion de Jean-Daniel Lainé.

Directeur de la Conformité des secteurs Energie à partir de 2004, puis du Groupe depuis 2006, Jean-Daniel Lainé met en place le Programme d’Intégrité d’Alstom : il lance dès 2006 des sessions de formation qui ont été suivies, à ce jour, par des milliers de  personnes à travers le monde. Celles-ci ont été complétées depuis par un module de formation en ligne « e-Ethics » déployé dans le Groupe en neuf langues et suivi par près de 50 000 employés. Par ailleurs de nombreuses instructions couvrent tous les domaines à risques, tels que les relations avec les consultants, les contributions charitables ou politiques, les joint-venture et consortiums, les conflits d’intérêt.

En 2007 et en 2010, le Code d’Ethique est remis à jour et complété. Traduit en 22 langues, ce document fournit les principes majeurs, les engagements et les règles de comportement essentielles que doit respecter chaque collaborateur.

Pour aborder toutes les questions d’éthique rencontrées, en particulier sur le terrain, Jean-Daniel Lainé s’appuie sur les responsables Conformité du siège, des 4 secteurs du Groupe et de ceux situés dans 9 pays dans lesquels cette fonction a été créée (Afrique du Sud, Allemagne, Brésil, Chine, Etats-Unis, Inde, Mexique, Royaume-Uni et Russie). Pour promouvoir la culture d’intégrité dans les pays où le Groupe est présent, il créé un réseau de 300 ambassadeurs Ethique & Conformité recrutés sur la base du volontariat.

Couronnant les efforts consentis par le Groupe pour renforcer ses règles d’éthique et procédures de contrôle, l’agence indépendante ETHIC Intelligence a certifié les processus de l’entreprise en 2009, certification renouvelée pour deux ans en septembre 2011.

Jean-Daniel Lainé continuera à mettre son expertise au service d’autres entreprises qui souhaitent consolider leurs règles en matière d’Ethique et de Conformité.

Jean-Daniel Lainé, ingénieur ESME, IAE Paris et ancien auditeur de l’Institut des Hautes Etudes de Défense Nationale a débuté sa carrière à la Compagnie Electro-Mécanique (CEM) en 1972. Au moment de la reprise de la CEM par Alstom en 1983, il  intègre le nouveau Groupe et y occupe différents postes opérationnels dans les secteurs de l’énergie et des transports. Il travaille ensuite au développement stratégique, puis au réseau international en charge des régions Europe, puis Etats-Unis, et aux ressources humaines. En 1999, il est nommé directeur du bureau du Président d’Alstom, puis, en 2004, Directeur de la Conformité pour les secteurs Energie. En 2006, il devient Directeur de l’Ethique et de la Conformité du Groupe.

Romain Marie, 49 ans, est diplômé de l’Institut de Sciences Politiques de Paris et détient un master en économie. Il entre chez Alstom en 2003 après avoir occupé diverses fonctions d’audit, (Arthur Andersen and PWC) et de contrôle financier (VALEO) dans le conseil et l’industrie. Il est directeur financier de la ligne des matériels roulants chez Alstom Transport en 2003-2004, puis rejoint le siège en 2005 pour y diriger l’Audit et le Contrôle.

Contacts presse 
Virginie Hourdin / Isabelle Tourancheau