Universal Registration Document 2020

• a system to prevent conflicts of interest: the entities have put in place a system designed to prevent conflicts of interest and raise employee awareness of high-risk situations, provide a system for employees to declare their links to organisations in which they have a personal interest, and require managers to resolve conflicts of interest with respect for individual freedoms. A support guide, including case studies to help managers identify and handle conflicts of interest, was introduced early 2021;
• fight against fraud: In accordance with the “Fight against fraud”memorandum of instructions, executives are tasked with setting up systems within their entities to raise awareness among their staff, put in place checks to detect potential cases of fraud, investigate incidents, report proven cases and sanction those responsible;
• regulation of interest representatives: EDF is an interest representative within the meaning of the Sapin II law. In this respect, it is registered on the list of interest representatives managed by the HATVP (French High Authority forTransparency in Public Life). The network managers RTE, Enedis⁽¹⁾, and Dalkia are also registered: they each declare interest representation actions carried out during the year. The list of persons in charge of an interest representation identified in the register will be updated regularly. EDF also files with theHATVP⁽²⁾ an annual declaration relating to interest representation actions carried out that mentions actions aimed at influencing a public decision, with national public officials identified by the legislator. Lastly, lobbying has been added to the new version of the code of conduct;
• at the European level, EDF is listed on the Transparency Register of the European Parliament and the European Commission (no. 39966101835-69), regularly updates its data and applies the related code of conduct. In addition, in order to continue to raise awareness of ethical issues among interest representatives, theEuropean Affairs Department has published its own internal ethics charter (EULobbying Rules), available on the EDF website. EDF presents its positions publicly via this transparency register⁽³⁾, and via associations of which it is a member⁽⁴⁾.Its main messages are also posted on social media (LinkedIn, Twitter). TheEuropean Affairs Department has introduced a regular internal control process for these associations to ensure that they match its raison d’être, following which decisions may be taken (withdrawal or new membership) where necessary. The estimated annual cost of the activities covered by the European Transparency Register since 2016 is around €2 million, with a downward trend. In 2020, the main initiatives focused, in particular, on the following priorities: support for the climate ambition (-55%) and the development of low-carbon electricity generation sources (including offshore), acceleration of the electrification of the economy, promotion of low-carbon hydrogen and support for the sustainable finance action plan and taxonomy;
• regulation of financing of political parties: The EDF group complies with the laws and regulations in force concerning the financing of political parties. Such financing may take place only in countries that allow it, and only with due regard to the principle of neutrality. In accordance with the legislation in force inFrance, EDF makes no payments to political parties. The Group’s Italian and UK subsidiaries have written directly into their codes of conduct the prohibition of financing political parties. In countries where it is allowed (such as the UnitedStates), EDF group companies may determine whether they wish to provide financial support. Every year, the Group companies concerned must report any financing to their parent company. In 2020, EDF Renewables made payments in the United States, consisting of US$55,000 in the form of Political ActionCommittee contributions and US$662,750 in the form of Corporate contributions.

3.3.2.2.2 Prevention of harassment and discrimination

Banning all harassment or discrimination, and preventing and dealing with any physical or psychological violence, intolerance or injustice in the workplace are some of the requirements of the Group Ethics Charter. This commitment is part of the regulatory and judicial context which, in many countries, incriminates not only the actions and behaviours themselves, but also employers who fail to implement sufficient preventative measures. More specifically, executives must take all necessary steps to prevent discrimination, harassment and physical and emotional abuse within their entities by striving to make employees aware of the risks of harassment and discrimination. They must also provide regular information about the Group whistleblowing system and take appropriate disciplinary action in the event of proven wrong doing.

Two reference guides designed to prevent and combat bullying and sexual harassment have been distributed, primarily to managers, the HR department and the Ethics and Compliance Managers of entities. They have been published in a simplified format for all employees. Two training courses are now available, for all employees, on e-Campus. One covers identifying and understanding the links between stereotypes and discrimination, through a serious game called Vivre ensemble la diversité (experiencing diversity together). The other course is an anti-sexism course (“Sexisme, pas notre genre” ) to help employees understand sexism in the workplace.

3.3.2.2.3 Financial ethics

The Ethics and Compliance Policy sets out the requirements to be followed to prevent market abuse, the risk of money laundering and the financing of terrorism.An Ethical Code for Trading in Securities, updated in 2020, complements this Policy.The Group Ethics & Compliance Policy also sets out the requirements concerning compliance with the European EMIR regulation. The practical implementation of this EMIR regulation by the EDF group, the implications for entities as well as the related processes and controls are described in the EDF group EMIR Policy Paper support guide.

3.3.2.2.4 Compliance with the REMIT regulation

In accordance with the Group Ethics & Compliance Policy, entities concerned must put in place a European REMIT regulation compliance programme. A “Group Compliance Officer” was appointed in September 2017 and was tasked with preventing risks of non-compliance, by developing an appropriate control environment. The practical implementation of this REMIT regulation by the EDF group, the implications for entities as well as the related processes and controls are described in a memorandum of instructions. An online staff training tool has been set up. It is freely available on VEOL, the EDF group intranet.

3.3.2.2.5 Preventing breaches of competition law

EDF group has made awareness of and adherence to competition law a major priority for its employees. With this in mind, the Group has implemented a Competition Law Compliance Programme since 2010. The programme, which is binding on all employees, aims to ensure that all operations of subsidiaries and entities of the Group in France and worldwide comply with competition law. After rolling out an e-learning module between 2010 and 2015 which trained over 5,400 employees, in France and abroad, since 2016 a more non-specialised Serious Game called: “Cap Antitrust” is accessible to all employees on the Group’s internal training portal, in multiple languages (French, English and Italian).

3.3.2.2.6 Personal data protection

EDF, which appointed a Personal Data Officer (PDO) in France as early as 2006, appointed its Data Protection Officer (DPO), pursuant to EU regulation 2016/679 of 27 April 2016 known as the general data protection regulation (GDPR). The DPO is the Lead Manager for the Group. Around twenty DPOs have now been appointed in French and European subsidiaries and Personal Data Contacts (Relais informatique et libertés) are present in all entities. The DPOs are responsible for ensuring compliance with regulations relating to the protection of personal data within the Group, whether with regard to the personal data of its customers, employees, service providers or partners. Regular awareness-raising initiatives are conducted in the fields of personal data protection and privacy and a new e-learning training course has been rolled out for all employees.