Compliance Data

Reporting on Breaches

Number of Consultations on Compliance over the Past Three Years

FY2018 FY2019 FY2020
Number of Reports Number of Reports Number of Reports
Disciplinary
actions
Warnings Disciplinary
actions
Warnings Disciplinary
actions
Warnings
Overall Number of Reports 108 2 60 94 4 44 78 2 34
Compliance Violations 62 2 60 48 4 44 36 2 34
Violation of Internal Rules 62 2 60 48 4 44 33 2 31
Violation of Laws and Regulations 0 0 0 0 0 0 3 0 3
No Violation 46 - - 46 - - 42 - -
Harassment: Number of Reports 79 2 47 70 3 35 54 1 22
Compliance Violations 49 2 47 38 3 35 23 1 22
Violation of Internal Rules 49 2 47 38 3 35 23 1 22
Violation of Laws and Regulations
(Violation of Human Rights, etc.)
0 0 0 0 0 0 0 0 0
No Violation 30 - - 32 - - 31 - -
Misconduct: Number of Reports 21 0 9 23 1 9 17 1 7
Compliance Violations 9 0 9 10 1 9 8 1 7
Violation of Internal Rules 9 0 9 10 1 9 8 1 7
Violation of Laws and Regulations
(Bribery, Accounting Fraud, Disguised Contracting, etc.)
0 0 0 0 0 0 0 0 0
No Violation 12 - - 13 - - 9 - -
Fraud (personal use of company funds):
Number of Reports
5 0 3 1 1 0 2 0 1
Compliance Violations 3 0 3 1 1 0 1 0 1
Violation of Internal Rules 3 0 3 1 1 0 1 0 1
Violation of Laws and Regulations 0 0 0 0 0 0 0 0 0
No Violation 2 - - 0 - - 1 - -
Other: Number of Reports 3 0 1 0 0 0 5 0 4
Compliance Violations 1 0 1 - - - 4 0 4
Violation of Internal Rules 1 0 1 - - - 1 0 1
Violation of Laws and Regulations 0 - - 0 - - 3 0 3
No Violation 2 - - 0 - - 1 - -

Disciplinary Actions against Confirmed Violations

A compliance violation or Breach of Internal policies such as "Global Compliance Policy" and "NTT Data Group Security Policy (GSP)" is dealt with using the disciplinary measures taken in accordance with the disciplinary code established at each Group company. This includes pay cuts and work suspension, and may also be reflected in assessments (evaluations) and personnel transfers.

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