Supplier Code of Conduct - Bertelsmann SE & Co. …€¦ · 08 18 26 Contents 1 Preamble 1.1 Introduction 1.2 Application of the Supplier Code of Conduct 2 Integrity 2.1 Compliance

www.integrity.bertelsmann.com

Supplier Code of Conduct

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Contents

1 Preamble

1.1 Introduction

1.2 ApplicationoftheSupplierCodeofConduct

2 Integrity

2.1 Compliancewiththelaw

2.2 Compliancewithforeigntradelaw

2.3 Protectionagainstcorruptionandbribery

2.4 Protectionofassetsandproperty

2.5 Faircompetition

2.6 Protectionofintellectualproperty

2.7 Dataprivacyandprotection

2.8 Financialintegrity

2.9 Conflictsofinterest

2.10 Confidentialityandbusinessinformation

2.11 Insidertrading

2.12 Informationsecurity

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Contents

2 www.integrity.bertelsmann.com

3 Employees

3.1 Humanrights

3.2 Prohibitionofforcedandchildlabor

3.3 Fairworkingconditions

3.4 Anti-discriminationandharassment

3.5 Healthandsafety

4 Environment

4.1 Responsibleuseofnaturalresources

5 Implementation

5.1 Observation

5.2 Supplychaincompliance

5.3 ViolationsoftheBertelsmannSupplierCodeofConduct

6 Reportingviolations

7 Contact

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BertelsmannSupplierCodeofConduct

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Preamble

Economicsuccessandgoodcorporatecitizenshipareinsepa-rableobjectivesforourcompany.Assuch,responsibleandethicalbehaviortowardemployees,businesspartners,societyandtheenvironmentareintegralpartsofourcompany´svaluesystem,includingitsaffiliatedcompanies.Complyingwiththelawandlegislationinourbusinessactivitiesisamatterofcourseforus.TheBertelsmannSupplierCodeofConductisbasedontheprinciplesofinternationallyrecognizedstandardsforrespon-siblecorporategovernance.Theseinclude,forexample,theUnitedNations(UN)GlobalCompact,theGuidelinesformultinationalenterprisespublishedbytheOrganizationforEconomicCo-operationandDevelopment(OECD)andthelaborandsocialstandardsoftheInternationalLabourOrgani-zation(ILO).

Thiscommitmentmustalsobereflectedintherelationshipswemaintainwithbusinesspartners.

1.1 Introduction

1Preamble

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ThatiswhytheBertelsmannSupplierCodeofConductsetsforththemandatoryminimumrequirementsforourbusinesspartnersintheirbusinessrelationshipwithBertelsmann.Thecontinuityandfurtherdevelopmentofsuccessfulbusinessrelationshipsdependtoalargeextentonasharedcommit-menttointegrityandsocialresponsibility.

WethereforeexpectfromourbusinesspartnersthattheyimplementandcomplywiththeBertelsmannSupplierCodeofConduct.

Wethankallbusinesspartnerswhoshareourcommitmenttoresponsibleandethicalconductinbusiness.

BusinesspartnersforthepurposesofthisSupplierCodeofConduct,whoweexpecttocomplywiththestandardssetdownherein,shallincludeallthirdpartieswhoactfor,onbehalfof,ortogetherwithBertelsmann.Theseinclude,amongothers,suppliers,salespartners,consultants,agents,sub-contractors,minorityshareholders,salesrepresentativesandfreelancecollaborators.

1.2 Application of the Supplier Code of Conduct


2.1 Compliance with the law

2Integrity

Integrity

Our business partners shall adhere to applicable law at the local, national and international level.

>Theobservanceofallapplicablelawsandregulationsisamatterofcourseforus.Wealsoexpectthisfromourbusi-nesspartners.Thisistheonlywayinwhichatrustingandlong-termbusinessrelationshipcanbeensured.

>Allbusinesspartnersshallbefamiliarwiththelaws,regu-lationsandguidelinesthatarerelevanttotheirrespectiveactivitiesfor,togetherwithoronbehalfofBertelsmann.

>Inspecificcountries,businessareasormarkets,stricterrulesthanthosedescribedinthisSupplierCodeofConductmaybeinplace.Insuchcases,thestricterrulesaretobeapplied.

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2.2 Compliance with foreign trade law


Our business partners shall comply with foreign trade regulations.

>Nationalandinternationallawsregulatetheimport,exportanddomestictradeofgoods,technologiesorservices,thehandlingofspecificproducts,andcapitalmovementsandpayments.Adequateproceduresmustbeusedtoensurethattransactionswiththirdpartiesdonotviolatecurrenteconomicembargoesorregulationsoftrade,importandexportcontrolorregulationsforthepreventionofterrorismfinancing.

Our business partners shall con-demn any form of corruption and bribery.

>Forourbusinesspartners,anyformofactiveorpassivecorruptionisprohibited,irrespectiveofwhetheritconcernspublicofficialsoroccursinotherbusinessdealings.

>Ourbusinesspartnersshallonlygrantbenefits(e.g.invita-tionsorgiftsconnectedwithpublicitymeasures,donationsorsponsorships)totheextentpermittedbylaw.

2.3 Protection against corruption and bribery


Our business partners shall condemn any form of fraud and other fraudulent behavior toward Bertelsmann and third parties.

>Everyformoffraud(e.g.fraud,embezzlement,theft,misap-propriation,taxevasionormoneylaundering)isprohibited,regardlessofwhethercompanyassetsorthird-partyassetsareaffected.

2.4 Protection of as-sets and property

2.5 Fair competition

Our business partners shall observe the applicable antitrust and compe-tition law.

>Ourbusinesspartnersarecommittedtofairandunrestrictedcompetitionasacoreelementofafreeeconomy.Theyre-frainfromenteringintorestrictiveagreementswithcompeti-tors,suppliers,distributors,retailersandcustomersaswellasfromrestrictivemarketpractices.Thisincludes,butisnotlimitedto,agreementswithcompetitorsaboutprices,agree-mentsaboutmarketallocationbycustomersorregionswithcompetitors,boycotts,aswellastheunlawfulexchangeofcompetitivelysensitiveinformationwithcompetitors.

Integrity

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Our business partners shall respect and protect any type of intellectual property.

>Intellectualpropertycoversanyworksofintellectualcreationirrespectiveofitscommercialvalue.Thisincludes,butisnotlimitedto,literaryworks,music,films,TVprograms,visualworksandsoftwarethatareprotectedunderrelevantlaws(e.g.copyright,trademark,designorpatent)astradesecretsorasknow-how.

>Intellectualpropertyinfringementsinclude,butarenotlimit-edto,theperformance,distributionordisplayofcopyrightedmaterialwithoutpermissionandthecreationanddistributionofunauthorizedcopiesofintellectualproperty,bothinphysi-calordigitalform.

>Asamediacompany,theprotectionofintellectualpropertyisofparticularimportanceforBertelsmannandisthereforealsoexpectedfromourbusinesspartners.

2.6 Protection of intel-lectual property


2.7 Data privacy and protection

Our business partners shall observe the applicable laws and rules when personal data and information are collected, stored, processed or trans-ferred.

>Whencollecting,storing,processingortransferringpersonaldata(e.g.name,address,telephonenumber,dateofbirth,healthinformation)relatingtoemployees,customersorotherthirdparties,ourbusinesspartnerstakegreatcareandmaintainstrictconfidentiality,whilealsoobservingappli-cablelawsandrules.

2.8 Financial integrity

Our business partners shall conduct their business, store documents and perform financial reporting with integrity.

>Businesstransactions,assetsandliabilitieswillberecordedanddocumentedinaccordancewithlegalrequirements.

>Documentsrelevanttofinancialreportingmaynotknow-inglyincludeincorrectormisleadingentries.Anybalancesheetmanipulationisprohibited.

Integrity

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Our business partners shall disclose potential or actual conflicts of inter-est and resolve these as quickly as possible.

>BusinesspartnerswhoareaffectedbyapotentialoractualconflictofinterestintheiractivitiesinrelationtoBertelsmannareobligedtodiscloseandresolveitpromptly.

2.9 Conflicts of interest

2.10 Confidentiality and business information

Our business partners shall protect confidential information from unau-thorized disclosure and misuse, just as they shall protect Bertelsmann’s reputation when making public statements.

>Ourbusinesspartnersshallensurethatconfidentialinfor-mationanddataarestoredcarefully,thatinformationisnotforwardedormadeavailabletounauthorizedpersonsandisonlyusedfortheagreedbusinesspurposes.

>Thediscussionofconfidentialinformationinpublicandsocialmediaortheunauthorizeddisclosureofinformationaboutthecompanyoritscustomerstothirdparties,suchasthemediaorcompetitors,shallconstituteabreachofconfi-dentialityandmayalsoconstituteanantitrustviolation.


2.11 Insider trading

Our business partners shall comply with applicable insider trading laws.

>Thelawprohibitstheuseaswellasthesharingwiththirdpartiesofinsiderinformationinthetradingofsecuritiesorotherfinancialinstruments.

>Insiderinformationisspecificinformationaboutanycir-cumstancesthatarenotpubliclyavailableandwhich,ifmadepublic,couldsignificantlyinfluencethepriceofsecuritiesorsimilarfinancialinstruments.Examplesofsuchcircumstancesinclude,amongotherthings,profitincreasesordrops,majorcontracts,planstomergewithoracquireacompany,significantnewproductsorperson-nelchangesinacompany’sleadership.

>Ifsuchinformationbecomesknowntoourbusinesspart-ners,theywilldealwithitinaccordancewiththeprovi-sionsoninsidertrading.

Integrity

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Our business partners shall use information provided to them by Bertelsmann exclusively to fulfill their tasks within the scope of providing services for Bertelsmann and shall protect it from internal and external misuse.

>SensitiveinformationisregularlyusedandprocessedwithITsystemsinthecourseofeverydaybusiness.Thisrequiresappropriatesecuritymeasures(processes,approvedtech-nologiesandlicensedsoftware)inordertoprotectintellectu-alpropertyandpersonaldata.Ignoringappropriatesecuritymeasurescanleadtoseriousconsequences,suchasdataloss,identitytheftorcopyrightinfringement.

>OurbusinesspartnersundertaketouseinformationprovidedbyBertelsmannexclusivelytofulfilltheircontractualobliga-tionsandnotfortheirownorpersonalpurposesthatareun-reasonableorimproper,orforunethicalorillegalactivities.

>Itisthetaskofourbusinesspartnertoensurethatallneces-sarymeasuresaretakentoguaranteethesecurityofsen-sibleinformationandtoprotectitfrominternalandexternalmisuseandthreats.

2.12 Information security


3.1 Human rights

Employees

Our business partners shall respect and support the protection of univer-sally recognized human rights and make sure that they are not com-plicit in violations of human rights.

>OurbusinesspartnerssupporttheprinciplesoftheUniversalDeclarationofHumanRights,theUNGlobalCompact,theUNGuidingPrinciplesonbusinessandhumanrightsandthecorelaborstandardsoftheILO.

3Employees

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3.2 Prohibition of forced and child labor


Our business partners shall not use or tolerate any form of forced or child labor.

>OurbusinesspartnersdonottolerateanychildlaborinthemeaningofILOConventions138and182andnationallaws.Theminimumageofachildorjuvenilepersonmustnotbebelowtheageatwhichcompulsoryschooleducationendsinthecountryinwhichthebusinesspartnerisoperating.

>Ourbusinesspartnersalsodonotcondoneforcedlabor,i.e.allworkorservicewhichisexactedfromanypersonunderthethreatofanypenaltyandforwhichthesaidpersonhasnotofferedhimselfvoluntarily,modernformsofslaveryandtraffickingforlabor.


Our business partners shall adhere to the statutory regulations on fair working conditions and allow their employees to speak up freely and without fear of retaliation.

>Thestatutoryregulationstoensurefairworkingconditions,includingthoseonpayment,workingtimesandtheprotec-tionofprivacy,areobservedbyourbusinesspartners.

>Furthermore,ourbusinesspartnersrecognizetherightstofreedomofassociationandcollectivebargaininginaccor-dancewithvalidlawsandprovisions.

>Attemptstointimidateandretaliateagainstemployeeswhoreportactualorsuspectedmisconductingoodfaitharenottoleratedbyourbusinesspartners.Ourbusinesspartnersprovidetheiremployeestheopportunitytoreportpotentialcomplianceviolationsinconfidence.

3.3 Fair working conditions

Employees

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3.4 Anti-discrimination and harassment

3.5 Health and safety


Our business partners shall provide a workplace environment that does not allow for discrimination.

>Ourbusinesspartnersdonottoleratediscriminationagainstemployeesorapplicantsforemploymentbecauseofrace,nationalorethnicorigin,gender,pregnancy,maritalorparen-talstatus,age,disability,religionorbelief,sexualorientationoranyothercharacteristicspecifiedunderapplicableanti-discriminationlaworcompanypolicy.

>Ourbusinesspartnersmaintainarespectfulanddignifiedrelationshipwiththeiremployees,freefromharassment,bullyingorintimidation.

Our business partners shall protect the health and safety of their em-ployees in the workplace.

>Ourbusinesspartnersprovideahealthyandsafeworkingenvironmentfortheiremployeesbyobservingthelawsandrulesonhealthandsafetyintheworkplace.


4.1 Responsible use of natural resources

BertelsmannSupplierCodeofConductEnvironment

Environment and climate protec-tion as well as the responsible use of natural resources are important parts of our business partners’ re-sponsibility toward the environment and society.

>Ourbusinesspartnersobservetheapplicableregulationsregardingenvironmentalprotection,inparticularregardingoperationalandproduct-relatedenvironmentalprotection.

>Weexpectfromourbusinesspartnersresponsiblesourcinganduseofnaturalresources.

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BertelsmannSupplierCodeofConduct Implementation

5Implementation

Our business partners shall guarantee that the Bertelsmann Supplier Code of Conduct is implemented and observed in the contractual relationship with Bertelsmann.

>OurbusinesspartnersguaranteethattheminimumstandardsofthisSupplierCodeofConductarecompliedwithinthecontrac-tualrelationshipwithBertelsmann.

>Tothisend,ourbusinesspartnerspassonthevaluesandprin-ciplesoftheSupplierCodeofConducttotheiremployeeswhoperformactivitiesforBertelsmannandworktowardensuringthattheseareobserved.

>Duetobusiness-specificrequirementssomeBertelsmanncom-panieshavedevelopedtheirownSupplierCodeofConductorundertakentoobserveacustomer’sCodeofConduct.ThesemayincludeadditionalrequirementsthatgobeyondtheminimumstandardsoftheBertelsmannSupplierCodeofConduct.InthesecasesourbusinesspartnerisalsoobligedtoobservethespecificSupplierCodeofConductthatappliesintheparticularcontrac-tualrelationshipwiththeBertelsmanncompany.

5.1 Observation


Implementation

5.2 Supply chain compliance

Our business partners shall make their best efforts to ensure that their own business partners, whom they appoint to work for or on behalf of Bertelsmann, are familiar with the minimum requirements of the Bertelsmann Supplier Code of Conduct and observe these.

>AstheminimumstandardsoftheBertelsmannSupplierCodeofConductshouldbeobservedalongtheentirevaluecreationchain,ourbusinesspartnersshallinformthirdpartiestheyappointwithinthescopeoftheiractivitiesforBertelsmann(e.g.,subcontractorsandconsultants)oftheBertelsmannSupplierCodeofConduct.OurbusinesspartnersworktoensurethatitisobservedbytheirthirdpartiesinthecontractualrelationshipwithBertelsmann.

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5.3 Violations of the Bertelsmann Supplier Code of Conduct

Violations of the Bertelsmann Supplier Code of Conduct may result in Bertelsmann taking appropriate actions.

>TheBertelsmannSupplierCodeofConductisanintegralpartofallcontractualagreementswithBertelsmann’sbusinesspartnerswithinthemeaningofPara.1.2ofthisCode.

>IncasesofsuspectedviolationsoftheBertelsmannSupplierCodeofConductthebusinesspartnersupportsanyexamina-tionconductedbyBertelsmann.

>IntheeventofviolationsoftheBertelsmannSupplierCodeofConduct,Bertelsmannreservestherighttorespondinamannerappropriatetotheseverityoftheviolation.Thisincludes,butisnotlimitedto,makingarequestfortheim-mediateremediationoftheviolation,assertingclaimsfordamagesorterminatingthecontract.IntheeventofseriousviolationsoftheBertelsmannSupplierCodeofConduct,Bertelsmannreservestherighttoterminatethecontractwithoutnotice.


BertelsmannSupplierCodeofConductReportingviolations

6Reporting violations

Various reporting channels are available both to our employees and our business partners for reporting compliance violations.

>Substantialcomplianceviolations,specificallyillegalbusinesspractices,canbereportedviaanInternet-basedsystem,whichisavailableinmultiplelanguages.Thisallowsforaconfidentialandspeciallyencrypted,securedialoguewiththeBertelsmannIntegrity&ComplianceDepartment.www.reportconcerns.com

>YoumayalsocontactanexternalombudspersonappointedbyBertelsmann,whoseroleitis,asaneutral,independentcontactperson,toofferadviceandsupportinordertoclarifyanysuspectedsubstantialcomplianceviolation.Theombudspersonholdsallcommunicationswiththoseseekingassistanceinstrictconfidence,anddoesnotdiscloseconfidentialcommunicationstoBertelsmann,includingtheidentityoftheinquirer,unlessgivenpermissiontodosobytheinquirer.ombuds@discussconcerns.com

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The Integrity & Compliance Department is available as a contact for business partners if they have questions or suggestions concerning the Bertelsmann Supplier Code of Conduct.

Bertelsmann SE & 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

[email protected]|www.integrity.bertelsmann.com

BertelsmannSupplierCodeofConduct Contact

7Contact

Bertelsmann SE & 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

[email protected]|www.integrity.bertelsmann.com

Publicationdate:September2017

ForthemostcurrentversionoftheBertelsmannSupplierCodeof

Conduct,updatesandotherinformationonIntegrity&Compliance

atBertelsmannpleasegotowww.integrity.bertelsmann.com.

http://www.integrity.bertelsmann.com