code of conduct - bertelsmann · 41 42 44 bertelsmann code of conduct. ... , the divisional groups...

www.integrity.bertelsmann.com

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&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

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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

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,businesspartners,societyandtheenvironmentisanintegralpartofourcompany’svaluesystem.ThisiscodifiedintheBertels-mannEssentials,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

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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

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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


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

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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

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

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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.


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.

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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.

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

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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.

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

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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.

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

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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.


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

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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

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



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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.

[email protected]



Hungary

06-8098-3443

India

000800-440-1670

Indonesia

0180-344-1638

Ireland

1800-812860

Italy

800-924608

Ivory Coast*

00-111-11;

877-566-2837

Japan

0120-929820

Luxembourg

800-23167

Malaysia

1800-880750

Mexico

001-888-311-5054

Morocco*

002-11-0011;

855-763-7336

Netherlands

0800-020-2008

New Zealand

0800-688932

Norway

80030118

Peru*

0-800-70-088;

877-566-2837

Philippines

1800-1441-0390

Poland

00800-442-1121

Portugal

800-844713

Romania

0800894895

Russia

810-800-2296-1044

Singapore

800-448-1603

Slovakia

0800-004687

Slovenia

080080374

South Africa

0800-981849

South Korea

080-9110880

Spain

900-812435

Sweden

020-160-5682

Switzerland

0800-562108

Taiwan

0800666323

Thailand

001800-441-5516

Turkey*

0811-288-0001;

877-566-2837

Ukraine

0-800-50-2885

United Kingdom

0800-783-1506

Uruguay

000-411-002-3356

USA

877-278-0303

Venezuela

08001008834

*Pleasedialthefirstphonenum-

berandwaittobeprompted.Then

dialthesecondphonenumber.

Alistoftoll-freephonenumbers

isalsoavailableonlineat

www.integrity.bertelsmann.com.

Toll-freephonenumberstoreachBertelsmannombudspersons:

Argentina

0800-6661083

Australia

1800-125084

Austria

0800-295622

Belgium

0800-80765

Brazil

0800-891-0198

Canada

877-604-9203

Chile

800-551900

China (Netcom)

10800-744-0355

China (Telecom)

10800-440-0336

Colombia

01800-518-1048

Croatia

0800-222448

Costa Rica

08000111099

Cyprus

800-92441

Czech Rep.

800-700558

Denmark

80-600096

Estonia

800-004-4356

Finland

0800-919670

France

0805-540186

Germany

0800-664-7879

Greece

00800-4414-5906

Hong Kong

800-930367

43



Index

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

Contacts7,11,12,36–43

Contribution19

Copyright24,29

C 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

IImportcontrol17

Individualrights33

Informationtechnology

security 29

Insiderinformation27,30

Insidertrading27

Integrity&Compliance

department7,38,40,41

Intellectualproperty15,24,

29,30

Internet-basedsystem41

Intimidation12,13

JJournalisticindependence23

Index

45


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

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 · 41 42 44 bertelsmann code of conduct. ... , the divisional groups...

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