code of conduct - bertelsmann.com … · in this code of conduct may exist. in such cases,...

www.integrity.bertelsmann.com

Codeof Conduct

02

08

18

26

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&regulatoryrelations

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

04

08

10

11

12

13

14

15

16

17

18

19

20

21

22

23

Contents


03

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

24

25

26

27

28

29

30

32

33

33

34

36

39

40

41

42

43

Bertelsmann Code of Conduct

Statement from the Bertelsmann Executive Board on the importance of the Code of Conduct

04 www.integrity.bertelsmann.com

1Statement from the Bertelsmann Executive Board on the importance of the Code of Conduct

05


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.


Statement from the Bertelsmann Executive Board on the importance of the Code of Conduct

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

07



Principles

2Principles


09


Principles

2.1General requirements

11

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


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


Principles

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

13


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


Principles

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

15



Principles

2.2Interactions with business partners and third parties

17


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

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


Principles

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

19


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.


Principles

2.2.4 Fair competition

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.

21



Principles

2.3Handling of information

23


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.

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.


Principles

2.3.2 Intellectual property protection

2.3.3 Data privacy & protection

25


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.

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.


Principles

2.3.4 Financial integrity

27


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.

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.


Principles

2.3.6 Statements regarding products & services

29


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.


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

31


>Bertelsmann’sOneVoicePolicystatesthatmediainquiriesaboutourcompaniesshouldbeimmediatelyreferredtocompanypublicrelationsdepartments,seniormanagementortheirdesignees.


Principles

2.4People & environment

33


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

3Decision-making guide


Decision-Making Guide

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.

35


Your Contacts for the Code of Conduct


37


4Your contacts for the Code of Conduct

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.



39


Youcancontactapersoninyourimmediateworkingenviron-menttodiscussquestionsregardingtheCodeofConductortoreportviolations;forinstance:

>Yoursupervisor>Theseniormanagementofyourcompany>TheHumanResources,Legal,FinanceorAuditdepartments,

or,ifapplicable,youremployeerepresentatives.

AlistofpeopletocontactwithinspecificBertelsmannsubsid-iariescanbefoundonlineatwww.integrity.bertelsmann.com.

4.1 In your immediate working environment

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

[email protected]


Audit

Phone+49(0)5241-80-72239

Fax+49(0)5241-80-1206

[email protected]

Human Resources

Phone+49(0)5241-80-41800

Fax+49(0)5241-80-6610

[email protected]

Legal

Phone+49(0)5241-80-2192

Fax+49(0)5241-80-62192

[email protected]

Legal—Antitrust

Phone+49(0)5241-80-2192

Fax+49(0)5241-80-62192

[email protected]

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



41


4.3 Internet-based systemYoumayalsoreportsubstantialviolationsagainsttheCodeofConduct,specificallyillegalbusinesspractices,usinganinternet-basedsystem.Thesystemisavailableinmul-tiplelanguagesandallowsforaconfidentialandspeciallyencrypted,securedialoguewiththeBertelsmannIntegrity&ComplianceDepartment.

www.reportconcerns.com

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)



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

43


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


45


TTaxevasion15

Terrorismfinancing17

Theft15,29

Thirdparties16,17,30,33,38

Threat29

Tradecontrol17

UUnfairmethodsof

competition20

Useofworkmaterials15

WWorkingconditions33

Workmaterials15

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.

code of conduct - bertelsmann.com … · in this code of conduct may exist. in such cases,...

Documents