This Whistleblowing Alert Procedure supplements the provisions of the Dassault Systèmes Code of Business Conduct.
It has been drafted and updated in application of French anti-corruption and duty of vigilance laws, and the European Directive of October 23, 2019 on the protection of whistleblowers[1].
It is intended to apply within each of the companies of the Dassault Systèmes group[2] (hereinafter "3DS"), it being specified that any country-specific provisions appear in Appendix B of this Procedure.
This Whistleblowing Alert Procedure is intended to apply to whistleblowers.
1. Who can be a Whistleblower?
A "Whistleblower" is an individual who reports or discloses, in good faith, information concerning a Breach (as defined in article 3 below).
A Whistleblower may make his or her Alert within or outside the scope of his/ her professional activity. If the information has not been obtained in the course of professional activities, the Whistleblower must have personal knowledge of the facts. In any case, he/she must belong to one of the following categories of persons:
• 3DS employees: managers, employees and trainees of 3DS, whatever their function, hierarchical position or place of work, whether they are in the process of being recruited or have already been recruited (on condition that the information has been collected as part of the application process), whether they work full time or part time, on permanent or fixed-term contracts;
• Former 3DS employees, provided that the information was collected in the context of the employment relationship;
• External and occasional contractors/employees of 3DS, in particular service providers to whom a @3ds.com address has been assigned, whatever their mission and whether or not they are in the process of negotiating their contract;
• 3DS contractors and their subcontractors who are natural persons, or in the case of legal entities, members of their administrative, management or supervisory bodies, as well as members of their staff;
• Shareholders and holders of voting rights at the 3DS General Meeting;
• Members of the administrative, management or supervisory bodies of 3DS.
3DS undertakes to process any alerts, even those made by persons others than those above.
2. Is there an alternative to using the 3DS Whistleblowing Alert Procedure?
Use of this Whistleblowing Alert Procedure is neither mandatory nor exclusive.
Alerts may be made by any means. Whether received within or outside the framework of this Procedure, 3DS will treat all alerts it receives by applying the confidentiality and non-retaliation principles provided in this Procedure. (See article 5).
In certain countries, a whistleblower can simultaneously or alternatively send a Whistleblowing Alert to external authorities, as may be designated by law of the applicable country.
Please refer to Appendix B of this Whistleblowing Alert Procedure for details of country-specific whistleblowing provisions.
3. What breaches can be reported?
If he or she considers it justified, any Whistleblower with knowledge of:
• Conduct or situations likely to constitute a breach of the 3DS Code of Business Conduct, in particular acts of corruption or influence peddling, as described in the 3DS Code of Business Conduct and Anti-Corruption Policy;
• A criminal offence, a violation (or attempted concealment of a violation) of the law or regulations or of an international commitment ratified or approved by France or of European Union law, or any law applicable to 3DS;
• A threat or harm to the public interest;
• Risks of serious violations of human rights and fundamental freedoms, human health and safety rules, or harm to the environment;
(hereinafter "Breaches", or individually a "Breach")
may report, in good faith, such Breach in accordance with the Whistleblowing Alert Procedure set forth herein (hereinafter an “Alert").
To the extent permissible under local law, certain facts cannot be reported if they are covered by:
• Secrets of National defense and security ,
• Protected or classified information,
• Information in judicial deliberations,
• The confidentiality of an investigation or judicial inquiry,
• Attorney-client privilege
• Medical confidential information.
4. How do I make an Alert?
4.1 Who should I contact to make a Whistleblowing Alert?
Any Whistleblower wishing to alert 3DS of a Breach may send his/her Report, together with any information and/or documents supporting the Alert, to the 3DS Business Ethics & People Ethics managers[3] (together the "Reporting Officers"):
• Preferably in writing
- by e-mail to: people.ethicscommittee@3ds.com
- or by completing an online webform for the Dassault Systèmes Ethics Committee available on the following link
• Or orally
- by leaving a telephone voice message on a dedicated voicemail
- or through an in person meeting[4].
Please, refer to Appendix C to find the number of the voice mail pertaining to your country.
Only Reporting Officers have access to the mailbox and voicemail. They act in the name and on behalf of the 3DS Ethics Committee.
In the event that the reported Breach involves one or more Reporting Officers, the Whistleblower may contact by email the CEO of 3DS, who will refer the matter directly to the 3DS Ethics Committee, whose mission is to ensure compliance with the values of 3DS, as described in the 3DS Code of Business Conduct.
In certain countries, Whistleblowers may alternatively have the right to use local channels to make an Alert. Please, refer to Appendix B of the Whistleblowing Alert Procedure to find details of your country specific whistleblowing provisions.
4.2 What are good reporting practices? How to report effectively?
To facilitate efficient processing of Alerts, a Whistleblower is advised to:
• Identify herself/himself,
• Indicate whether he/she is acting in a professional capacity, specifying whether he/she falls in the category of the persons listed above (see article 1 "Who can be a Whistleblower?") and, if not, whether he/she has personal knowledge of the alleged facts,
• Describe the situation accurately, providing objective facts, dates and names of people involved,
• Present factual evidence (e.g. reports, documents, correspondence) helping to verify the alleged facts, so that a thorough investigation can be carried out and any slanderous actions discouraged.
The wording used to describe the alleged facts must honestly reflect the alleged facts as well as any elements of uncertainty.
Subsequently, exchanges between the Whistleblower and the Reporting Officers will take place by email and/or telephone contact, 3DS internal instant messaging and/or other means available on the 3DEXPERIENCE platform. The Reporting Officers may also propose meetings, including remote meetings by videoconferencing.
4.3 Can Whistleblowing Alerts be anonymous?
Alerts may be anonymous. However, anonymous Alerts make it difficult to carry out a thorough investigation in order to establish the facts and communicate with the Whistleblower.
5. How does 3DS protect a Whistleblower?
5.1 3DS commits to maintaining confidentiality
3DS commits to maintaining the confidentiality and integrity of the information collected within the framework of a Whistleblower Alert, in particular the identity of the Whistleblower.
3DS undertakes to keep the identity of a Whistleblower confidential.
Except with the express consent of the Whistleblower, his/her identity (or elements enabling his/her identification) will only be communicated to persons specifically responsible for the processing of Alerts within 3DS (in particular investigations and their follow-up) and under the condition that this communication is necessary for the processing of the Alert. These persons are bound by a strict confidentiality obligation under the terms of the Charter of the Dassault Systèmes Ethics Committee.
3DS also undertakes to keep confidential and to guarantee the integrity of the information collected in the context of an Alert, as well as:
• The identity of the persons targeted by the Whistleblowing Alert,
• The identity of any third party mentioned in the Alert.
The identity of the Whistleblower (or elements that would enable him/her to be identified) and the identity of the person targeted (or elements that would enable him/her to be identified), may always be communicated by 3DS to a judicial authority. The Whistleblower is then informed, unless this information could compromise the legal proceedings.
5.2 3DS formally prohibits all retaliatory measures
Retaliation is strictly prohibited. A Whistleblowing Alert cannot give rise to retaliatory measures.
3DS prohibits any form of retaliation, including attempted retaliation, against any Whistleblower who files a Whistleblowing Alert in good faith.
A retaliatory measure may include, for example: (i) being excluded from a recruitment process or from access to an internship or a period of professional training, (ii) being punished or dismissed, or (iii) being subjected to coercion, intimidation, harassment, ostracism or reputation attacks on social media, or (iv) being subjected to a discriminatory measure, direct or indirect, in particular with regard to remuneration, profit-sharing measures or the distribution of shares, training, reclassification, assignment, qualification, classification, professional promotion, transfer or renewal of contract. Depending on the facts and circumstances, acts of moral harassment may also constitute retaliation.
As this Whistleblowing Alert Procedure is not mandatory, 3DS also prohibits sanctions or retaliatory measures against persons who file an Alert outside of this Whistleblowing Alert Procedure.
Improper use of the Whistleblowing Alert Procedure (for the sole purpose of harming the interests of an Employee or of 3DS in particular) may expose its initiator to disciplinary sanctions as well as legal proceedings.
In some countries, individuals who help a Whistleblower to file a Whistleblowing Alert ("facilitators") are protected under the conditions laid down by applicable law, in particular against retaliation. Country-specific provisions are listed in Appendix B of this Procedure.
6. How does 3DS manage Whistleblowing Alerts?
Alerts are analyzed impartially, with the utmost care, and are subject to verification, investigation if appropriate, and any action deemed necessary, in compliance with applicable law and regulations.
Reporting Officers may request additional information from the Whistleblower to assess the accuracy of the allegations made.
Alerts are handled by the Reporting Officers under the authority of the Dassault Systèmes Ethics Committee.
The Dassault Systèmes Ethics Committee meets once a month. Its members are, as of the date of this Procedure, the Company Secretary, the Human Resources Director, the Legal Director, the Internal Audit Director, the Director in charge of People Ethics, the Director of Business Ethics and Compliance, and the Group Compliance Officer.
The Committee ensures compliance with the rules set out in the 3DS Code of Business Conduct, and is tasked with systematically investigating events of non-compliance with the 3DS Code of Business Conduct brought to its attention, in particular through the Whistleblowing Alert Procedure.
The Ethics Committee:
• Is informed of any breaches of 3DS's specific ethics and compliance policies, recommendations and processes,
• Examines the action plans implemented,
• In the case of complex management issues or local conflicts of interest, defines, conducts and monitors these plans before issuing its conclusions and recommendations to the 3DS 's operational organizations.
The Ethics Committee is informed when an investigation is closed if the allegations are inaccurate or unfounded, or if the Alert has become irrelevant.
7. What information is provided at each stage of the reporting process?
7.1 The Whistleblower is informed of the receipt of his/her Alert, in writing, at the latest within seven (7) working days of such receipt.
If the Alert is deemed inadmissible or cannot be processed for lack of details, the Whistleblower is informed by e-mail of the reasons why 3DS cannot follow up.
When it is possible to follow up on the Alert, the Whistleblower is informed, in writing, of the action taken upon receipt of the Alert in order to assess the accuracy of the allegations and, where appropriate, to remedy the subject of the Alert, at the latest within a period not exceeding three (3) months from acknowledgement of receipt of the Alert.
These time limits do not apply to anonymous Alerts.
In the case of anonymous Alerts, the Whistleblower receives this information only if he/she has provided a contact email or address to respond to.
7.2 The person who is the subject of the Alert is informed of the existence of an Alert concerning him or her and of the processing of his or her personal data in this context within a reasonable period of time, in principle one (1) month from the processing of the Alert. However, this information may be deferred when it is likely to seriously compromise the achievement of the objectives of the processing of the Alert, as in the case of a risk of destruction of evidence. In this case, the information will be provided as soon as the risk has been eliminated, in particular during the first interview with the person concerned or, failing that, at the latest at the end of the processing of the Alert. Except with the express consent of the Whistleblower, the information will not contain any information relating to his or her identity.
7.3 Persons involved in the collection or processing of the Alert (in particular witnesses) will be informed of the processing of their personal data as soon as possible and at the latest at the time of the first contact.
7.4 Once the Alert has been processed, the Whistleblower will be informed by e-mail that the procedure has been closed.
If a disciplinary sanction or legal proceedings are instituted against the person concerned as a result of the Alert, the latter may obtain access to this information in accordance with the applicable rules.
8. How are personal data processed in the context of the Whistleblowing Alert Procedure?
Personal data collected in the context of this Whistleblowing Alert Procedure are processed by 3DS as the data controller.
This personal data will only be communicated (i) to the Reporting Officers, (ii) to persons specifically responsible for the management of Alerts within 3DS (in particular investigations and their follow-up) and on condition that this communication is necessary for the processing of the Alert, and (iii) to the competent authorities having the right to request the communication of this data.
A detailed explanation of how 3DS protects your personal data can be found in Appendix A of the Procedure.
Appendix A - Protection of Personal Data in the Context of The Whistleblower Alert
How is Personal Data protected in the context of this Whistleblowing Alert Procedure?
The personal data collected in the context of this Whistleblowing Alert Procedure are processed by 3DS as the data controller.
This personal data will only be communicated (i) to the Reporting Officers, (ii) to persons specifically responsible for the management of Alerts within 3DS (in particular investigations and their follow-up) and on condition that this communication is necessary for the processing of the Alert, and (iii) to the competent authorities having the right to request the communication of this data.
- Who is concerned by the protection of personal data?
As part of this Whistleblowing Alert Procedure, 3DS will collect and store the personal data of the following persons (the "Data Subjects"):
• The authors of the Whistleblower Alert ;
• The people targeted by the Alert;
• Persons involved in the collection or processing of Alerts, in particular witnesses, facilitators and third parties in contact with Whistleblowers.
- What personal data is collected?
Personal data collected as part of the Whistleblowing Alert Procedure may include:
• The identity, function and contact details of the Data Subjects,
• Reported facts and information gathered in the course of verifying reported facts,
• Reports on verification operations and action taken on Alerts.
In view of the nature of the processing and depending on the nature of the Alert, 3DS may also collect sensitive personal data within the meaning of the applicable Personal Data Protection Regulations.
For this reason, 3DS has carried out a Data Protection Impact Assessment (DPIA) to ensure that the said processing presents all the appropriate guarantees to safeguard the rights and freedoms of the Data Subjects. This impact analysis has been assessed and validated by the 3DS Data Protection Officer.
In accordance with the principle of minimization, 3DS ensures that only the data necessary for the purposes of processing is actually collected and processed, reminding the authors of Alerts that the information communicated within the framework of the Whistleblowing Alert Procedure must remain factual and present a direct link with the subject matter of the Alert.
- How long does 3DS keep personal data?
Personal data is retained by 3DS for the duration of the processing of the Alert, without prejudice to legal retention obligations and statute of limitation periods.
As a general rule, Alerts may only be kept for as long as is strictly necessary and proportionate for their processing and for the protection of the Whistleblower, the persons they concern and the third parties they mention, taking into account the time required for any further investigations. More specifically, the personal data of Data Subjects are kept:
• in active base for a reasonable period after receiving the Alert until the final decision is made on the follow-up of the Alert;
• in the form of intermediate archives (i.e. archives accessible by authorized persons only, on a need-to-know basis related to their functions) after the final decision has been taken, for a reasonable period, strictly proportionate to their processing and to the protection of the Whistleblower, the persons they concern and the third parties they mention, taking into account the deadlines for any additional investigations.
When the Alert is followed up, in particular by disciplinary proceedings or legal action against the targeted person or the perpetrator of an abusive Alert, the data relating to the Alert is kept until the end of the legal proceedings, the statute of limitations or the expiration of legal remedies.
Archives are kept in accordance with the general archive retention policy applied within 3DS, for a period not exceeding, in all cases, the duration of legal proceedings.
- What are the purposes of personal data processing by 3DS?
The personal data collected as part of the Whistleblowing Alert Procedure is used solely for the purposes of processing the Alert (receive and process the Alert, manage checks, investigations and analyses, define the follow-up of the Alert, as well as protect the Data Subjects as provided for by this procedure), and defend or exercise rights before any jurisdiction in order to comply with applicable legal obligations and/or the legitimate interest of 3DS.
- How does 3DS manage the transfer of personal data?
For the purposes of verifying or investigating Alerts, personal data processed may be transferred to countries where 3DS is present; the list of these countries is regularly updated and accessible on the following page of the 3DS website.
In order to guarantee a sufficient level of protection for transfers to countries that are not considered by the authorities of the Data Subject's country (e.g. the European Commission) as offering an adequate level of protection of personal data, the transfer will be based on guarantees recognized by the authorities of the Data Subject's country as offering adequate protection of personal data (e.g. standard contractual clauses issued by the European Commission, or any other relevant mechanism). Data Subjects may request more information about the mechanism used by 3DS to transfer their personal data by sending a request directly via the following form.
- What are the rights of data Subjects?
Subject to applicable regulations on the protection of personal data, all Data Subjects have the right to access, rectify and restrict the processing of their personal data.
The right of access may be limited according to the person exercising it, the stage of the investigation and the risks of identifying the Whistleblower.
The right of rectification may only concern factual data, the material accuracy of which can be verified by 3DS on the basis of evidence, and without deleting or replacing the data, even if erroneous as originally collected. However, in accordance with applicable regulations on the protection of personal data, Data Subjects may not exercise their rights to the erasure, opposition and portability of their personal data insofar as their processing in application of the present Procedure is necessary to comply with legal obligations to which 3DS is subject.
All these rights may be exercised by sending a request via the following contact form.
According to applicable data protection legislation, Data Subjects have a right to file a complaint with their local data protection authority. If they are located in the European Union, Lichtenstein, Norway or Iceland, they have a right to file a complaint with the Commission Nationale de l'Informatique et des Libertés (CNIL).
- Who do I contact if I have questions about my personal data?
Any interested party may contact the 3DS Data Protection Officer by sending a request via the following contact form.
Appendix B - Specific Country-By-Country Whistleblowing Alert Provisions
The provisions of this appendix B set out the specific features of Whistleblowing Alerts rules on a country-by-country basis.
AUSTRALIA
A. Benefit of legal protection
The Corporation Act and Tax Administration Act, hereafter referred to as “the Laws,” provide additional protections beyond those outlined in this Procedure for Whistleblowers who meet the qualifications under the Laws. Generally, a disclosure qualifies under the Laws if it is made with reasonable grounds by a Whistleblower, about a Reportable Concerns to an Eligible Recipient, both as defined below.
B. Eligible Recipients
In addition to the Reporting Officers, Reportable Concerns can also be disclosed to an officer, senior manager, internal or external auditors of Dassault Systemes Australia Pty Ltd. (“Eligible Recipients”).
The disclosures to a legal practitioner for the purposes of obtaining legal advice or legal representation in relation to the operation of the Whistleblower provisions in the Laws are also protected.
C. Reportable Concerns
“Reportable Concerns” involve any information concerning misconduct, or an improper state of affairs or circumstances in relation to Dassault Systèmes Australia Pty Ltd.
Examples of Reportable Concerns include:
- Bribery or corruption;
- Tax evasion or misconduct in tax affairs;
- Financial fraud;
- Illegal activities (engaging in insider trading, misreporting financial information, negligent acts, a breach of trust or a breach of duty);
- A danger to public safety or the stability of or the confidence in financial system.
Generally, disclosures concerning personal work-related grievances do not meet the criteria for protection under the Laws, but they may still be covered by other applicable local regulations.
Examples of personal work-related grievances include:
- Disputes between employees that do not constitute a breach of conduct or
- Disputes between the Whistleblower and Dassault Systèmes Australia Pty Ltd relating to the employees performance or compensation.
A Whistleblower that reports a situation related to a work-related grievance may benefit from the protection under the Laws if:
- It includes information about misconduct, or
- If Dassault Systèmes Australia Pty Ltd has breached employment or other laws punishable by imprisonment for a period of 12 months or more, engaged in conduct that represents a danger to the public,
- Or the disclosure relates to information that suggests misconduct beyond the Whistleblower’s personal circumstances;
- The Whistleblower suffers from or is threatened with detriment for making a disclosure.
D. Facilitators
In addition to the individuals listed in this Procedure (“Who can be a Whistleblower?”), a relative, dependant or spouse of current and former employees, contractors, consultants, services providers, suppliers and business partners may benefit from the protection the Laws.
E. External reporting procedure
A Whistleblower may also report to:
- The Australian Securities and Investments Commissions(ASIC)
- The Australian Prudential Regulation Authority(APRA)
- In relation to Tax Disclosers, The Commissioner of Taxation>(ATO)
- Any other prescribed Commonwealth authority or regulator.
BRAZIL
A. Reportable Concerns
In accordance Federal Law No. 12,846/2013 (“Brazilian Clean Companies Act” or “BCCA”), the following breaches can also be reported:
- Offering improper benefits, either directly or indirectly, to public officials or affiliated parties;
- Providing financial support, sponsorship, or any form of subsidy for engaging in illegal activities outlined in the BCCA;
- Employing a third party to conceal true intentions or the identities of beneficiaries involved in an action;
- Obstructing or attempting to influence investigations or audits conducted by public agencies;
- Engaging in bid rigging or committing fraud in bidding processes or associated public contracts.
FRANCE
A. Benefit of legal protection
To benefit from the protection of the Waserman law and its implementing decree (see paragraph 1 of this Procedure), in addition to good faith, a Whistleblower must act “without any direct financial compensation”.
B. Facilitators
In France, facilitators, who also benefit from protection, are defined as any natural person or legal entity with a non-profit purpose (for example, a union or an association) that assists a whistleblower in making their report.
C. External reporting procedure
The whistleblower may send an external alert, either after having sent an internal alert, or directly to the competent authorities among those designated by Decree no. 2022-1284 of October 3, 2022 relating to the procedures for collecting and processing alerts issued by whistleblowers and establishing the list of external authorities instituted by Law no. 2022-401 of March 21, 2022 aimed at improving the protection of whistleblowers.
This appendix to the Decree lists the competent authorities by subject matter. It is available here.
FINLAND
A. Facilitators
Protection applies to a facilitator assisting the Whistleblower to file a Whistleblowing Alert, third persons who are connected with the Whistleblower and who could suffer retaliation in a work-related context, such as colleagues or relatives of the Whistleblower, and legal entities that the Whistleblower own, work for, or are otherwise connected within a work-related context.
B. External Reporting Procedure
A Whistleblower may send an external alert to the Office of the Chancellor of Justice.
GERMANY
A. Alternative local reporting Channel
A Whistleblower may elect to file an alert locally. The contact detail is: DE.Ethics@3ds.com
B. Facilitators
The following third parties (Facilitators) are protected from retaliation:
- Natural persons who support the Whistleblower in reporting internally, externally or making a public disclosure in a work-related context, if:
- The information is true or the supporting person has reasonable grounds to believe that the information is true; and
- The report relates to a reportable breach pursuant to HinSchG (i.e., German implementation law) or the supporting person has reasonable grounds and reasonable suspicion to assume this;
- Protected parties also include:
- Third parties who have a professional or personal relationship to the Whistleblower (e.g., a colleague) and who may suffer from retaliation in a work-related context, unless retaliation is not a consequence of the report by the Whistleblower;
- Legal entities and other associations of persons that are legally connected with the Whistleblower, employ the Whistleblower or have another professional ties with the Whistleblower.
C. Reportable concerns
A Whistleblower will be protected from retaliation if the report is based on reasonable grounds and reasonable suspicion. Information about concerns need to be obtained in a work-related context.
The following concerns shall also be reportable:
- Violations regarding public procurement and concession procedures and pertaining to the legal protections in any such procedures above the relevant EU thresholds;
- Violations under the Financial Services Supervisory Act;
- Violations of tax laws applicable to companies;
- Violations in the form of agreements aimed at obtaining a tax advantage in an abusive manner which is contrary to the objective or purpose of the tax law applicable to corporations and partnerships.
D. External Reporting Procedure
The whistleblower may send an external alert, either after having sent an internal alert, or directly to the following competent authorities:
- BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) regarding reports concerning financial services, financial products or the financial markets, money laundering or the financing of terrorism;
- Federal Cartel Office (Bundeskartellamt) regarding reports concerning violations regarding competition law and for the law in force regulating digital markets;
- Federal Office of Justice (Bundesamt für Justiz) regarding reports concerning all other violations.
IRELAND
A. External Reporting Channel
A Whistleblower may send an Alert to the prescribed persons listed in Protected Disclosures Act 2014 (Disclosure to Prescribed Persons) Order 2020. In general, prescribed persons have regulatory functions in the area which are the subject of the allegations. Here is a link to the full list of prescribed persons: http://www.gov.ie/prescribed-persons/
A disclosure to a Prescribed Person is a protected disclosure if both these conditions are met:
- The Whistleblower reasonably believes that the relevant wrongdoing is within the remit of the Prescribed Person;
- The information disclosed and any allegations in it are substantially true.
A Whistleblower may also send an Alert to the Office of the Protected Disclosures Commissioner, who can identify a suitable Prescribed Person or other suitable person competent to take appropriate action to follow up on the Alert.
ITALY
A. Facilitators
The following third parties are protected from retaliation:
- Facilitators, being a natural person who advise a Whistleblower in the reporting process in a work-related context and whose advice is confidential;
- Third parties who have a professional or personal relationship to the Whistleblower (e.g., a colleague) and who may suffer from retaliation in a work-related context;
- Legal entities and other associations of persons having legal capacity that are legally connected with the Whistleblower, employ the Whistleblower or have another professional tie with the Whistleblower.
B. External Reporting Procedure
A Whistleblower may send an external alert to the following competent authority: ANAC (“Autorità Nazionale Anticorruzione”). However, a Whistleblower will benefit from Legal protection only if:
- a report has been sent to the company and the latter has not followed up on the relevant report;
- there are reasonable grounds to believe that if the report is sent internally to the company, it would not be followed up or there is a risk of retaliation for the Whistleblower;
- there are reasonable grounds to believe that there is an imminent or manifest danger to the public interest.
Details for the ANAC can be found here.
JAPAN
A. Who can be a Whistleblower?
Whistleblowers who benefit from protection under the Japanese Whistleblower Protection Act (the “Japanese Act”) are:
- Employees (in the same meaning as that in 1.A in this Procedure) working for 3DS and located in Japan (“3DS Japan”),
- Contractors working for 3DS Japan who are natural persons, provided that they are subject to control and oversight by 3DS Japan to the same extent as employees,
- Temporary staff working for 3DS Japan who are dispatched from a third-party staffing agency,
- Former employees, contractors (natural persons) or temporary staff who had been working for 3DS Japan but left 3DS Japan within one year before making the Alert,
- Employees, contractors (natural persons) or temporary staff working for contractors (legal entities) with which 3DS Japan enters into an agreement as a contractee or those who left such contractors within one year before making the Alert, and
- Directors and statutory auditors of 3DS Japan and those of contractors (legal entities) with which 3DS Japan enters into an agreement as a contractee.
Shareholders and holders of voting rights (in the same meaning as that in 1.A in this Procedure) at 3DS Japan are not included as Whistleblowers who benefit from the Japanese Act.
B. External reporting procedures
A Whistleblower may, simultaneously with or alternatively to sending an Alert to Reporting Officers or a local point of contact as described in D. below, send an Alert to (i) competent administrative authorities in Japan and (ii) any other person or entity if it is deemed necessary to report a certain fact (the “Reportable Fact”) to such person or entity in order to prevent the occurrence thereof or the spread of further damages caused thereby, such as mass media (including persons or entities who have been or are likely to be damaged by the Reportable Fact, but excluding those who are likely to cause harm to the competitiveness or other legitimate interests of 3DS Japan).
C. What breaches can be reported?
A Breach shall also include a criminal offence, a violation (or attempted concealment of a violation) of the Japanese laws or regulations in general.
D. Alternative local reporting Channel
Whistleblowers may elect to file an alert locally.
The Reporting Officers as defined in 4.1 of the Whistleblowing Procedure shall include a “person who receives a whistleblower alert, and is engaged in the activities for investigating the Reported Facts and taking remedial measures” (公益通報対応業務従事者) (the “Engaged Person”) under the Japanese Act.
In addition to the Reporting Officers, a person in Human Resource department in 3DS Japan who is responsible for the receipt and the investigation of Alerts and/or the implementation/management of remedial measures shall be nominated as the Engaged Person who shall comply with the relevant confidentiality obligations under the Japanese Act. If a Whistleblower wishes to send his/her Alert to the Engaged Person in Japan above, he or she may send the e-mail to Japan.Ethics@3DS.com.
LITHUANIA
A. External Reporting Procedure
A Whistleblower may send an external alert to the following competent authority: The Prosecutors Office of the Republic of Lithuania.
NETHERLANDS
A. Alternative local reporting Channel
Whistleblowers may elect to file an alert locally. The contact detail is: NL.Ethics@3ds.com
B. Facilitators
The following third parties are protected from retaliation:
- A natural or legal person who advises a Whistleblower in the reporting process in a work-related context and whose advice is confidential;
- Involved third-party (betrokken derde), being an individual or legal entity connected with a Whistleblower and who/that could suffer a damage as a consequence of the filing of an Alert by the Whistleblower;
- Independent officer(s) to whom the suspected suspicion of wrongdoing can be reported and which independent officers can carefully follow-up on that report.
C. External Reporting Procedure
A Whistleblower may send an external Alert to the following competent authorities:
- Netherlands Authority for consumers and Markets (Autoriteit Consument en Markt);
- Netherlands Authority for the Financial Markets (Autoriteit Financiële Markten);
- Netherlands Data Protection Authority (Autoriteit Persoonsgegevens);
- Dutch Central Bank (De Nederlandsche Bank N.V);
- Dutch Whistleblower Authority (Huis voor Klokkenluiders);
- Inspection Healthcare and Youth (Inspectie gezondheidszorg en jeugd);
- Dutch Health Authority (Nederlandse Zorgautoriteit);
- Authority Nuclear Safety and Radiationprotection (Autoriteit Nucleaire Veiligheid en Stralingsbescherming).
SPAIN
A. Facilitators
The following third parties are protected from retaliation:
- Natural persons who, within the framework of the organization in which the Whistleblower provides services, assist the Whistleblower in the process,
- Natural persons who are related to the Whistleblower and who may suffer retaliation, such as co-workers or family members, of the Whistleblower, and
- Legal persons, for whom he/she works or with whom he/she maintains any other type of relationship in a work context or in which he/she holds a significant participation.
B. External Reporting Procedure
The whistleblower may send an external Alert, either after having sent an internal Alert, or directly to the following competent authorities:
- Independent Authority for the Protection of the Informant (Autoridad Independiente de Protección del Informante, AAI);
- At a regional level, other authorities may be appointed (e.g., The Independent Whistleblower Protection Authority in Catalonia –the Anti-Fraud Office of Catalonia–, in accordance with Law 3/2023, of 16 March, on tax, financial, administrative and public sector measures for 2023; or the Andalusian Office against Fraud and Corruption in Andalusia, in accordance with regulation of 20 March 2023, of the Andalusian Government). These regional bodies shall be competent in the regions in which the companies are domiciled, as a general rule.
SWEDEN
A. External Reporting Procedure
The national competent authorities for external reporting and information on their respective areas of responsibility, can be found on the following link.
UNITED STATES
The following supplemental provisions apply to reporting within or from the U.S. relating to conduct connected to 3DS’s business or personnel in the U.S.
Whistleblowers are entitled to escalate reports to applicable federal or state regulators directly at any time (this includes communicating to, cooperating with, responding to any inquiry from or providing testimony to any regulatory or investigatory agency or authority), including without limitation, the United States Securities and Exchange Commission (SEC), United States Department of Labor: Occupational Safety and Health Administration (OSHA) and Whistleblowers are entitled to remain anonymous in doing so. Per 3DS policy and applicable laws, retaliation against 3DS employees for engaging in activities protected under those laws is prohibited.
Nothing in this Policy is intended to prevent, restrict, limit, impede or otherwise interfere with rights of a Whistleblower to:
- Provide truthful disclosures to or communicate with any US federal or state law enforcement agencies, administrative, regulatory or self-regulatory agency;
- File a charge or complaint or initiate an investigation with an applicable government agency;
- Make other disclosures that are protected under U.S. laws, including for example, to the extent applicable, reporting possible violations of law in accordance with Section 21F of the U.S. Securities Exchange Act of 1934 and related rules;
- Communicate with any government agency or otherwise participate in any investigation or proceeding that may be conducted by any government agency, including providing documents or other information, without notice to or permission by 3DS;
- Receive any award for information provided to any government agency; or
- Engage in legally protected communications, including without limitation protections for non-supervisory employees under Section 7 of the U.S. National Labor Relations Act to discuss the terms and conditions of their employment with co-workers or exercising protected rights under section 7.
A Whistleblower will not be held criminally or civilly liable under any trade secret law for any disclosure of a trade secret that is made in confidence to a government official, or to an attorney and solely for the purpose of reporting or investigating a suspected violation of law or that is made in a document filed in court in a lawsuit.
Appendix C – Voicemails Telephone Numbers Dedicated To Whistleblowing Alerts by Country
You will find these phone numbers by clicking on the following link where you can leave a message on the voicemail corresponding to your country, on which you can make an alert.