Road Share - Case for Stricter liability (with notes) - Dec 2014 Parliamentary Reception
Code of Conduct - bertelsmann.de · in this Code of Conduct may exist. In such cases, employees...
Transcript of Code of Conduct - bertelsmann.de · in this Code of Conduct may exist. In such cases, employees...
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Codeof Conduct
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Contents
1 Statement from the Bertelsmann Executive Board
on the importance of the Code of Conduct
2 Principles
2.1 General requirements
2.1.1 Compliancewiththelaw
2.1.2 Freedomtospeakwithoutfearofretaliation
2.1.3 Mutualtrust&respect
2.1.4 Conflictsofinterest
2.1.5 Protectionofcompanyassets&anti-fraud
2.2 Interactions with business partners and third parties
2.2.1 Interactionswithbusinesspartners
2.2.2 Governmental®ulatoryrelations
2.2.3 Anti-corruption&anti-bribery
2.2.4 Faircompetition
2.2.5 Productsafety
2.3 Handling of information
2.3.1 Mediaindependence&responsibilities
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Contents
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2.3.2 Intellectualpropertyprotection
2.3.3 Dataprivacy&protection
2.3.4 Financialintegrity
2.3.5 Insidertrading
2.3.6 Statementsregardingproducts&services
2.3.7 Informationtechnologyuse&security
2.3.8 Confidentiality&publicrelations
2.4 People & environment
2.4.1 Humanrights,health&environment
2.4.2 Fairworkingconditions
3 Decision-making guide
4 Your contacts for the Code of Conduct
4.1 In your immediate working environment
4.2 The Bertelsmann Corporate Center
4.3 Internet-based system
4.4 Ombudsperson
Index
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Bertelsmann Code of Conduct
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Statement from the Bertelsmann Executive Board on the importance of the Code of Conduct
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1Statement from the Bertelsmann Executive Board on the importance of the Code of Conduct
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Bertelsmann Code of Conduct
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Dear colleagues,Economicsuccessandgoodcorporatecitizenshipareinseparableobjectivesofourcorporation.Assuch,respon-sibleandethicalbehaviortowardemployees,businesspart-ners,societyandtheenvironmentisanintegralpartofourcompany’svaluesystem.ThisiscodifiedintheBertelsmannEssentials,whichoutlinethegoalsandbasicvaluesofhowweconductourbusiness,whiletheBertelsmannCodeofConductprovidesfurtherdetail.
Itgoeswithoutsayingthatweconductourbusinessincom-pliancewithlawsandregulations.Violationsarenotonlyinconsistentwithourvalues;theyarealsoharmfultoourreputationandcanleadtosignificantlegalconsequences.Individualswhoactinanunlawfulmanner,orevenenrichthemselvesattheexpenseofthecompany,areharmingthecompany,itsshareholdersanditsemployees.Suchbehaviordiminishesthecompany’sfinancialsuccess,hampersitscapacitytoinvestandgrow,andcanultimatelyjeopardizethejobsitprovides.
TheCodeofConductservesasacommonguidelineforourdecisionsandouractions.Itoutlinesbindingminimumstan-dardsforresponsiblebehaviortowardbusinesspartnersandthepublic,aswellasforourbehaviorwithinthecompany.Byheighteningawarenessoflegalrisksitwillhelppreventanyviolationsofrelevantlaws.Allofus—SupervisoryBoard,ExecutiveBoard,andemployees—areobligatedtoadheretotheprincipleslaidoutinthisCode.ThisCodeisbindingforBertelsmannSE&Co.KGaA,BertelsmannManagementSEandallcompaniesthatBertelsmannSE&Co.KGaAcon-trols.BasedonthisCode,thedivisionalgroupsRTLGroupandGruner+JahrhaveestablishedtheirowncorrespondingCodesofConduct.
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Statement from the Bertelsmann Executive Board on the importance of the Code of Conduct
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WithrespecttotheCode,wewouldliketounderscorethefollowingthreepoints:
>Nothingcantaketheplaceofpersonalintegrityandsoundjudgment.Inordertoupholdourcorporateresponsibility,itisessentialthatallofusareawareofthelawsandregula-tionsrelevanttoourrespectivefieldsofwork,andtakepersonalresponsibilityforabidingbythem.
>Managershaveaspecialobligationtoleadbyexample.Embodyingourvalues,exemplifyingourcorporatecultureandtakingactionagainstanybusinessactivitiesthatareinconsistentwiththelaworourcompanyprinciplesarepartofeverymanager’sresponsibilitiesatBertelsmann.
>Thecompanyanditsmanagementalsohavetheresponsibil-itytocreateanenvironmentinwhichtopicscanbedis-cussedopenlyandwithoutfearofretaliation.Thisapplies,inparticular,toviolationsoftheCodeofConduct.Whoeverbecomesawareofanysuchviolationshouldbeabletoturntoapersontheycantrustwithintheirimmediateworkenvi-ronment.Ifthisisnotpossibleoradvisableinacertainsitua-tion,employeesatBertelsmanncanalwaysseekguidancefromothercontactpersons,inparticulartheircolleaguesintheIntegrity&Compliancedepartment.ThesecontactpersonsareintroducedinthisCode.
Thecontinueddevelopmentandsuccessofourcompanydependslargelyonoursharedcommitmenttosocialre-sponsibilityandourabilitytomaintainourreputationasatrustworthybusinesspartner.Thankyouforcontributingtothisgoalthroughtheintegrityofyourindividualactions.
TheExecutiveBoardBertelsmannSE&Co.KGaA
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Principles
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2Principles
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Principles
2.1General requirements
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We comply with all applicable local, national and international laws and regulations wherever we do business.
>Compliancewithallapplicablelocal,nationalandinterna-tionallawsandregulationswhereverwedobusinessiscriti-callyimportanttothesuccessofourcompaniesworldwide.Theviolationoflawsandregulationscanhavesevereconse-quences,suchascriminalconvictions,finesandreputationaldamage.
>AllBertelsmannmanagersareobligatedtobefamiliarwiththebasiclaws,regulationsandcorporatepoliciesthatarerelevanttotheirareasofresponsibility.Comprehensiveknowledgeofapplicablelawsandcorporatepolicyisespe-ciallyimportantforthosemanagerswho,becauseoftheirspecificfunctionsorappointedpositions,haveaspecialresponsibilityforensuringcompliance(e.g.,managingdirec-tors,managersinCompliance,Finance,HumanResources,Legal,Audit,RiskManagement).
>Inspecificcountries,industriesormarketsaswellaswithspecificbusinesspartners,stricterrulesthanthosedescribedinthisCodeofConductmayexist.Insuchcases,employeesshouldassumethatthestricterstandardapplies.
>Ifthereisanydoubtwhetheradecisionislegallysound,anin-houselawyerorotherappropriatepersonlistedinsection4(“YourcontactsfortheCodeofConduct”)shouldbecontactedforassistanceandclarification.
2.1.1 Compliance with the law
Bertelsmann Code of Conduct
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We encourage our employees to speak up freely and without fear of retaliation. Retaliation against employees who raise good-faith concerns about misconduct occur-ring in the company is prohibited.
>Beingabletospeakfreelyhelpstopreventmisconduct,andtodetectandcorrectit,shoulditoccur.Wethereforevalueanopenworkenvironmentwhereemployeescanapproachtheirsupervisorsormanagementtoraiseissuesorvoicecriticismwithoutanyconcerns.Managersareresponsibleforencouragingopendialogueandforsupportingtheirem-ployeesandaddressingtheirconcernsinafairandimpartialmanner.
>Intimidationorretaliationagainstemployeeswhoingoodfaithprovidereportsofsuspectedoractualmisconductmustnotbetolerated.Reportingmisconduct“ingoodfaith”meansthatanindividualbelievesthatwhatheorsheisas-sertingistrue,whetherasubsequentinvestigationprovesthatreporttobetrueornot.
>Ifemployeesfeeluncomfortableraisingconcernsdirectlywiththeirmanageroranotherpersonlocally,oriftheirat-temptstodosoareineffectual,weencouragethemtomakeuseoftheresourceslistedinsection4(“YourcontactsfortheCodeofConduct”).Contactinformationisalsoavailableonlineatwww.integrity.bertelsmann.com.
2.1.2 Freedom to speak without fear of retaliation
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Principles
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We treat each other in a mutually respectful and trusting manner and seek to create a workplace environment that does not allow for discrimination.
>Everyindividualisentitledtofair,dignifiedandrespectfultreatment.Wearecommittedtoequalopportunitiesandencouragearespectfulanddiverseworkplaceinwhicheachindividual’suniquevalueisrecognizedandeachpersonistreatedwithcourtesy,honestyanddignity.Harassment,bul-lyingorintimidationisprohibited.
>Alldecisionswithrespecttorecruiting,hiring,disciplin-arymeasuresandpromotionaswellasotherconditionsofemploymentmustbeadministeredfreefromanyillegaldiscriminatorypractices.Wedonottoleratediscriminationagainstemployeesorapplicantsforemploymentbecauseofrace,nationalorethnicorigin,gender,pregnancy,maritalorparentalstatus,age,disability,religionorbelief,sexualorien-tationoranyothercharacteristicspecifiedunderapplicableanti-discriminationlaworcompanypolicy.
2.1.3 Mutual trust & respect
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We disclose potential or actual conflicts of interest in the work-place in a timely manner for proper review and resolution.
>Inourdailybusinesswemaybefacedwithsituationsinwhichadecisionthatisinthebestinterestofthecompanycompeteswithourpersonalinterests.Aconflictofinterestcanmakeitdifficultforanindividualtomakeimpartialdeci-sionsthatareinthebestinterestofthecompany.
>Employeeswitharealorpotentialconflictofinterestmustdiscloseittotheirmanagerortheircompany’sseniorman-agementforpromptresolution.
2.1.4 Conflicts of interest
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Principles
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We deal with company property, products and resources responsibly.
>Wevaluetheresponsibleuseandhandlingofanytangibleorintangiblecompanyassets,suchasproducts,workmateri-als,ITequipment,orintellectualproperty.
>Companyassetsshouldbeusedonlyfortheirintendedbusi-nesspurposesandnotforimproperpersonal,illegalorotherunauthorizedpurposes.
>Everyformoffraudisprohibited,regardlessofwhethercompanyassetsorthird-partyassetsareaffected.Adequatecontrolmeasuresshouldbeinplacetopreventanyformoffraudulentactivity(e.g.,fraud,embezzlement,theft,misap-propriation,taxevasionormoneylaundering).
2.1.5 Protection of company assets & anti-fraud
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Principles
2.2Interactions with business partners and third parties
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We act with integrity in our dealing with others, and also expect our business partners to obey the law.
>Ourbusinesspartners(e.g.,customers,suppliers,agentsandconsultants)expectthattheycanrelyonBertelsmannasapartnerthatconformstothelaw.Thisdemandsthatweknowourcontractualobligationstoourbusinesspartners.
>Weinturntakecarethatourbusinesspartners’practicesarebasedonrespectforthelaw.
>Nationalandinternationallawsregulatetheimport,exportordomestictradeofgoods,technology,services,thehandlingofspecificproducts,aswellascapitalmovementsandpayments.Adequateproceduresmustbeusedtoensurethattransactionswiththirdpartiesdonotviolatecurrenteconomicembargoesorregulationsoftrade,importorexportcontrols,orregulationsforthepreventionofterrorismfinancing.
2.2.1 Interactions with business partners
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We maintain proper and legally irreproachable relations with all government regulators and agencies.
>Businessrelationshipswithgovernmentalbodiesareoftensubjecttoparticularlystrictrequirements.Inallourdealingswithgovernmentandregulatoryagenciesandofficials,weconductourselvesinanhonestandtransparentmannerandactincompliancewithapplicablelaws.Dealingswithgovernmentalentitiesmayoccurintheordinarycourseofbusiness(obtaininglicensesorapprovalsorenteringintocontracts),whileengaginginpoliticallobbying,orwhenrespondingtogovernmentalorregulatoryrequestsorinquiriesofanynature(e.g.,subpoenas,investigations,legalproceedings).
>Itisrecommendedthatemployeeswhoreceiveanykindofgovernmentalinquiryimmediatelycontacttheircompany’sseniormanagementandin-houselegalcounselforassis-tancepriortotakingfurtheractioninordertoensurecom-pliancewithalllegalrequirements.
2.2.2 Governmental & regulatory relations
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2.2.3 Anti-corruption & anti-bribery
We condemn all forms of corruption and bribery.
>AtBertelsmann,offeringoracceptingabribe,inanyform,toorfromanypersonineitherthepublicorprivatesectors,isprohibited.
>Reasonableandbonafidehospitalityandpromotionalorotherbusinessexpenditures,thatseektomaintaincordialrelationsorpresentproductsorservices,arerecognizedasalegitimatepartofdoingbusiness.
>Suchadvantagesmay,however,onlybegivenoracceptediftheyservealegitimatebusinesspurposeanddonotservetoobtainorgrantanimproperadvantage.Theadvantagemaynothaveanunreasonablyhighvalueandmaynotexceedthelimitsofcustomarybusinesspracticeortherecipient’snormalstandardofliving.Generally,publicofficialsshouldnotbeof-feredanyadvantages.
>Cautionshouldbetakenwhenrequestsoroffersaremadeforsponsorshipora“charitablecontribution”toensurethatitisnotarequestfororofferofbriberyindisguise.
>TheBertelsmannGuidelinesonAnti-Corruption&Integrityprovidefurtherguidanceandareavailableatwww.anticorruption.bertelsmann.com
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We comply with applicable antitrust and competition laws and consult expert company counsel on anti-trust and competition issues.
>Invirtuallyallcountries,lawsprohibitrelationshipsorar-rangementswithcompetitors,suppliers,distributorsordeal-ersthatmayinterferewithcompetitioninthemarketplace.Suchlegalprohibitionsapplytoawiderangeofactivities,includingpricefixing,allocationsofcustomersorsalester-ritoriesbetweencompetitors,anti-competitiveboycottsandotherunfairmethodsofcompetition.Wearecommittedtofaircompetitionandcompliancewiththeselaws.
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2.2.4 Fair competition
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2.2.5 Product safety
We create and develop safe products and services for our customers.
>Weseeourselvesaspartnerswithourcustomers.Ourbusi-nesssuccessissupportedbyalong-lastingrelationshipwithourcustomers.Weare,therefore,committedtoprovidingourcustomerswithsafe,high-qualityproductsandservices.
>Ourproductsandservicesmustnotcontaindefectsorunsafefeaturesthatcouldleadtotheendangermentofhealthordamagetoproperty.
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Principles
2.3Handling of information
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2.3.1 Media independence & responsibilities
We observe editorial and journalistic independence in news gathering and distribution.
>Editorialandjournalisticindependenceisthefoundationofourpublishing,broadcastingandnewsreportingactivities.Weareawareofandtreatwithcaretheresponsibilitythatwe,asopinionmakers,havetowardthepublic.
>Wedonotexertinternalinfluenceonjournalisticnewsreport-inganddonotsuccumbtoexternalpoliticaloreconomicinfluence.
>Wecomplywithexistinglaws,regulationsandcorporatepoli-ciesregardingtheseparationofeditorialcontentandcom-mercialadvertising.
>Corporateseniormanagementdoesnotinterferewithedito-rialdecision-makingortheindependenceofoureditorialpersonnel.
>Editorialstaffiscommittedtorespectingprivacyandtotheresponsibletreatmentofinformation,opinionandimages.
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We respect and protect all forms of intellectual property and protected content.
>Asamediacompany,theprotectionofintellectualpropertyisofparticularimportanceforourbusiness.
>Protectedintellectualpropertyincludesanyproductsofthehumanmindirrespectiveoftheircommercialvalue.Thisincludes,butisnotlimitedto,literaryworks,music,films,TVprograms,visualworksandsoftwarethatisprotectedun-derrelevantlaws(copyright,trademark,patent)orbytradesecret.
>Intellectualpropertyinfringementincludes,butisnotlimitedto,thedisplay,distributionorperformanceofcopyrightedmaterialwithoutpermissionandthecreationanddistributionofunauthorizedcopiesofprotectedintellectualproperty.
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2.3.2 Intellectual property protection
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2.3.3 Data privacy & protection
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We collect, retain, use and transmit personal data and information in compliance with applicable law and policy.
>Whenwecollect,retain,useortransmitpersonaldata(e.g.,names,addresses,phonenumbers,datesofbirth,healthinformation)relatingtoemployees,orcustomersorotherthirdparties,wedosowithgreatcareandsensitivityandincompliancewithapplicablelawandpolicy.
>Personnelinvolvedinthecollection,retention,use,ortransmissionofpersonaldatareceiveadviceandsupportfromtheresponsiblelegaldepartmentsandcorporatedataprotectionofficers.
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We conduct our business and manage recordkeeping and financial reporting with integrity and trans-parency.
>Alltransactionsandrecordsrelatingtoourbusinessmustbemaintainedandhandledaccuratelyandappropriately.Alltransactions,assetsandliabilitiesmustbeproperlydocu-mentedandrecordedinaccordancewiththeBertelsmannSE&Co.KGaAFinancialReportingGuidelinesandlegalrequirements.
>Maintainingrecordkeepingintegrityrequiresapplyinghighstandardsofaccuracy,completenessandaccountabilityinallbusinessdealings.
>Financialaccounts,documents,contracts,andothercompanyinformationmaynotknowinglyincludeincorrectormisleadingentries.Anybalancesheetmanipulationisprohibited.
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2.3.4 Financial integrity
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2.3.5 Insider trading
We comply with applicable insider trading laws and company policy regarding insider information of our own or other businesses.
>Thelawprohibitstheuseaswellasthesharingwithothersofinsiderinformationinthetradingofsecuritiesorotherfinancialinstruments.
>Insiderinformationisconcreteinformationaboutanycircum-stancethatisnotpubliclyavailableandthat,ifmadepublic,couldsignificantlyinfluencethepriceofsecuritiesorsimilarfinancialinstruments.Examplesofsuchacircumstanceincludeprofitincreasesordrops,majorcontracts,planstomergewithoracquireacompany,significantnewproducts,orsignificantpersonnelchangesincompanyleadership.
>Thescopeoftherelevanttermsandobligationsoninsidertradingmayvaryfromcountrytocountry,suchthattheper-sonnelconcernedshouldseektheadviceandsupportofthecompany’sin-houselegalcounseltoensurecompliance.
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We do not knowingly engage in or promote misrepresentation or fraud in the marketing or advertising of our products and services.
>Honestyaboutourproductsandservicesmeansthatwealwaysmaketruthfulstatementsaboutourproductsandservices.
>Misleadingorfalseinformationregardingproductsorser-vicescanharmourcustomersaswellasourreputation.Thisviolatesourprinciplesandisprohibited.
>Itisespeciallyimportantforpersonnelworkinginmarketing,advertisingandsalestoobservetheseguidelines.
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2.3.6 Statements regarding products & services
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2.3.7 Information technology use & security
We make proper business use of workplace information technology and help to protect systems and equipment against internal and external threats.
>Inourdailybusinessweuseinformationtechnologyandprocessdataonaregularbasis.Thisrequiresappropriatesecuritypractices(passwordprotection,approvedtechnol-ogyandlicensedsoftware)toprotectintellectualpropertyandpersonaldata.Ignoringappropriatesecuritypracticescanleadtoseriousconsequences,suchasdataloss,identitytheftorcopyrightinfringement.
>Becauseofthedisseminationspeed,easyreplicationandpracticalindestructibilityofdigitalinformation,greatcareneedstobeexercisedinwhatise-mailed,recordedasvoice-mail,attachedordownloaded.
>Wecommitourselvestousingworkplace-relatedITsystemsforlegitimatebusinesspurposesandnotforpersonalusesthatareunreasonableorimproper,orforunethicalorillegalactivities.
>Allemployeesneedtobeawarethatworkplace-relatedITsystemsinallformsconstitutecompanyproperty.
>WehaveanobligationtotakepropermeasurestoprotectITsystemsagainstinternalandexternalmisuseorthreats(suchasmisusingassignedpasswordsordownloadinginappropri-atematerialsfromtheinternet).WeshouldseektheadviceofITpersonnelwheneverwehaveaquestionorconcern.
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Principles
We protect confidential information from unauthorized disclosure and use. We protect the reputation of our company in our public statements.
>Confidentialinformationisinformationthatisintendedforthenamedrecipient(s)only,notforinternaldisseminationorexternalrelease.Itmayinvolverecords,reports,contracts,financialandpersonneldata,investigations,lawsuits,cre-ativework,intellectualproperty,ornewbusinessplansorproducts,andmayappearinmanydifferentforms(digital,physical,etc.).
>Discussingconfidentialinformationinpublicplacesorengag-inginunauthorizedsharingofcompanyorcustomerinforma-tionwiththirdparties—forexample,withthemediaorthecompetition—constitutesabreachofconfidentialityandmayconstituteaviolationofapplicableantitrustlaws.
>Employeeswithaccesstoespeciallysensitiveinformation(financial,humanresources,legal,newproductdevelopment,insiderinformationonothercompanies,etc.)mustobservestrictconfidentialityevenwithcolleagues,andshouldseeklegaladvicebeforedisclosinganysuchinformationtothirdparties.Insuchinstances,itisimportanttoevaluatewhethertoenterintoconfidentialityagreements.
>Whenusingsocialmediaweareawareofourresponsibilitytoourcompany’sreputation.Wedonotshareconfidentialorsensitivecompanyinformationandrespecttheprivacyofourcolleaguesandbusinesspartners.
2.3.8 Confidentiality & public relations
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>Bertelsmann’sOneVoicePolicystatesthatmediainquiriesaboutourcompaniesshouldbeimmediatelyreferredtocompanypublicrelationsdepartments,seniormanagementortheirdesignees.
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Principles
2.4People & environment
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2.4.1 Human rights, health & environment
The respect for human rights and the protection of health and the environment, are integral parts of our corporate responsibility.
>Werespectthedignityandindividualrightsofemployeesandthirdpartieswithwhomwehavebusinessrelations.
>Weupholdboththerighttofreedomofassociationandtherighttoengageincollectivebargaininginaccordancewithapplicablelawsandregulations.Wecondemnforcedorchildlaborandanyformofexploitationordiscriminationandstrictlycomplywithapplicablelaws.
>Westriveforenvironmentallyresponsibleprocurementanduseofnaturalresources(energy,water,materialsandland)intheproductionanddistributionofourproductsandtheperformanceofourservices.
>Wewillprovideahealthyandsafeworkplaceforouremploy-eesbycomplyingwithallapplicablehealthandsafetylawsandstandards.Managersinparticularmustensurethatap-propriatehealth,safetyandsecuritypracticesandsafeguardsareinplacetocomplywithapplicablelawsandmanagementstandards.
Ensuring fair working conditions is an integral part of our corporate culture.
>Wecomplywithlegalrequirementsfortheprotectionoffairworkingconditions,includingthoseregulatingcompensation,workinghours,andprivacy.
2.4.2 Fair working conditions
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3Decision-making guide
34 www.integrity.bertelsmann.com
Decision-Making Guide
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If you are ever uncertain whether a particular action or decision is in accordance with the requirements of the Code of Conduct, then consider the following questions.
>Ismyactionordecisionlegalandconsistentwithcompanypolicies?
>CanImakeanimpartialdecisionthatisinthebestinterestofthecompanyandfreefromanycompetingpersonalinterests?
>CanImakethedecisioningoodconscience?>WouldIfeelcomfortableifmyactionordecisionweremade
public?Wouldmydecisionholduptoscrutinybyathirdparty?
>AmIconfidentthatmyactionordecisionwillnothurtourcompany’sreputation?
Ifyoucanconfidentlyansweryestoeachofthesequestions,itislikelythatyouractionordecisionisappropriate.Shouldyouhaveanydoubtsregardingoneofthesequestions,thendonotactormakeadecisionwithoutfirstseekingqualifiedadvice.Thenextsectiondescribestheavailableresourcesyoucanturnto.
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Your Contacts for the Code of Conduct
36 www.integrity.bertelsmann.com
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4Your contacts for the Code of Conduct
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At Bertelsmann, you will always find an open door if you need advice, want to discuss a concern about potential misconduct or want to provide suggestions for improving compliance procedures.Manyconcernsaboutworkplaceconductcanberesolvedbyraisingthemconstructivelywiththepersonsdirectlyinvolvedorbyseekingassistancefromlocalcontactpersons.Otherissues,suchasillegalbusinesspractices,mightbebetteraddressedwithsomebodyoutsideyourlocalenvironment.
Retaliationagainstemployeeswhoraiseconcernsingoodfaithaboutsuspectedmisconductisprohibited(see2.1.2“Freedomtospeakwithoutfearofretaliation”).EmployeeswhoexperienceretaliationshouldcontacttheBertelsmannIntegrity&ComplianceDepartment.
Thefollowingresourcesareavailablebothforemployeesandforthirdparties.
Your Contacts for the Code of Conduct
38 www.integrity.bertelsmann.com
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Youcancontactapersoninyourimmediateworkingenviron-menttodiscussquestionsregardingtheCodeofConductortoreportviolations;forinstance:
>Yoursupervisor>Theseniormanagementofyourcompany>TheHumanResources,Legal,FinanceorAuditdepartments,
or,ifapplicable,youremployeerepresentatives.
AlistofpeopletocontactwithinspecificBertelsmannsubsid-iariescanbefoundonlineatwww.integrity.bertelsmann.com.
4.1 In your immediate working environment
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Ifyouareuncomfortableaddressingyourconcernlocally,orifyourlocalquerieshavebeenineffective,youmayalsocontacttheappropriatedepartmentattheBertelsmannCorporateCenter,inparticulartheIntegrity&ComplianceDepartment.AkeyresponsibilityoftheBertelsmannIntegrity&ComplianceDepartmentistosupportrequestsrelatingtotheCodeofConductandtoensurethatreportsofviolationsareinvestigated.Investigationsareconductedwiththegreatestpossibleregardforconfidentialityandincompliancewithdataprotectionrequirements.
4.2 The Bertelsmann Corporate Center
Integrity & Compliance
Germany:
Phone+49(0)5241-80-42101
Fax+49(0)5241-80-642101
USA:
Phone+1212782-1057
Fax+1212782-1059
www.integrity.bertelsmann.com
Audit
Phone+49(0)5241-80-72239
Fax+49(0)5241-80-1206
Human Resources
Phone+49(0)5241-80-41800
Fax+49(0)5241-80-6610
Legal
Phone+49(0)5241-80-2192
Fax+49(0)5241-80-62192
Legal—Antitrust
Phone+49(0)5241-80-2192
Fax+49(0)5241-80-62192
The postal address for all these
departments is:
BertelsmannSE&Co.KGaA
Carl-Bertelsmann-Straße270
33311Gütersloh
Germany
Phone+49(0)5241-80-0
Fax+49(0)5241-80-62321
www.bertelsmann.com
40 www.integrity.bertelsmann.com
Your Contacts for the Code of Conduct
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4.3 Internet-based systemYoumayalsoreportsubstantialviolationsagainsttheCodeofConduct,specificallyillegalbusinesspractices,usinganinternet-basedsystem.Thesystemisavailableinmul-tiplelanguagesandallowsforaconfidentialandspeciallyencrypted,securedialoguewiththeBertelsmannIntegrity&ComplianceDepartment.
www.reportconcerns.com
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4.4 OmbudspersonYoumayalsocontactanexternalombudspersonappointedbyBertelsmann.Theombudsperson’sroleistoprovideaneutralandindependentchannelforinquirersseekingconfidentialguidanceinraisingandresolvinganysuspectedsubstantialvio-lationsagainsttheCodeofConduct,especiallyillegalbusinesspractices.Theombudspersonholdsallcommunicationswiththoseseekingassistanceinstrictconfidence,anddoesnotdiscloseconfidentialcommunications,includingtheidentityoftheinquirer,unlessgivenpermissiontodosobytheinquirer.
AllombudspersonsspeakEnglish.Youmaycommunicateinwritinginanylanguage.Formoreinformationonlanguageavailability,pleasegotowww.integrity.bertelsmann.com.
Ombudsperson for Europe, Africa, Asia and Australia(located in Germany)[email protected].+49(0)32-211112339Toll-free:0800-6647879(fromGermanyonly)
Ombudsperson for North and South America(located in the USA) [email protected].+1646-981-0753Toll-free:877-278-0303(fromUSAonly)
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Your Contacts for the Code of Conduct
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A Advertising23,28
Age13
Agents17
Antitrust20,30,40
Antitrustlaws20,30
Assets15,26
BBalancesheetmanipulation26
Boycott20
Bribe19
Bribery19
Bullying13
Businesspartners6–7,11,
17,30
CCapitalmovements17
Childlabor33
Collectivebargaining33
Companyproperty15,29
Competitionlaws20
Compliancewiththelaw
6–7,11,17,18,20,23,25,33
Concerns12,38,40
Confidentiality25,30,40,
41,42
Conflictsofinterest14
Consultant17
C Contacts7,11,12,36–43
Contribution19
Copyright24,29
CorporateCenter40
Corruption19
DDataprotection25,40
Dataprotectionofficer25
Digitalinformation29
Disability13
Discrimination13,33
EEconomicembargo17
Editorialindependence23
Embargo17
Embezzlement15
Environment6,33
Equalopportunities13
Ethnicorigin13
Exploitation33
Exportcontrol17
F Faircompetition20
Fairworkingconditions33
Financialintegrity26
Financialreporting26
Forcedlabor33
Fraud15,28
Freedomofassociation33
GGender13
Government18
Governmentregulators18
Governmentalbodies18
Governmentalrelations18
HHandlingofinformation
23,27
Harassment13
Health21,25,33
Hospitality19
Humanrights33
Index
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Index
IImportcontrol17
Individualrights33
Informationtechnology
security 29
Insiderinformation27,30
Insidertrading27
Integrity&Compliance
department7,38,40,41
Intellectualproperty15,24,
29,30
Internet-basedsystem41
Intimidation12,13
JJournalisticindependence23
LLegaladvice11,18,20,25,
27,30,38,39,40
Licenses18
MManagers7,11,12,33
Marketing28
Mediaindependence23
Misappropriation15
Misleadinginformation28
Moneylaundering15
NNationalorigin13
OOmbudsperson42f.
OneVoicePolicy31
PParentalstatus13
Passwords29
Personaldata25,29
Politicallobbying18
Pregnancy13
Pricefixing20
Privacy23,25,30,33
Productsafety21
Publicofficial19
Publicrelations30
Publicstatement30f.
RRecordkeeping26
Religion13
Reports40ff.
Respect13
Retaliation7,12
SSafety21
Sales20,28
Securities27
Security29,33
Separationofeditorialcontent
andcommercialadvertising23
Sexualorientation13
Sponsorship19
Socialmedia30
Speakingupfreely12
Statementsregarding
products&services28
Suppliers17,20
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TTaxevasion15
Terrorismfinancing17
Theft15,29
Thirdparties16,17,30,33,38
Threat29
Tradecontrol17
UUnfairmethodsof
competition20
Useofworkmaterials15
WWorkingconditions33
Workmaterials15
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Germany:
BertelsmannSE&Co.KGaA|Integrity&Compliance
Carl-Bertelsmann-Straße270|33311Gütersloh
Phone+49(0)5241-80-42101|Fax+49(0)5241-80-642101
[email protected]|www.integrity.bertelsmann.de
USA:
Bertelsmann,Inc.|Integrity&Compliance
1745Broadway|NewYork,NY10019
Phone+1212782-1057|Fax+1212782-1059
[email protected]|www.integrity.bertelsmann.com
Publicationdate:April2013
ForthemostcurrentversionoftheCodeofConduct,updates
andotherinformationonIntegrity&Complianceat
Bertelsmannpleasegotowww.integrity.bertelsmann.com.