Questions & Answers about the Ombudsman's Office, the complaint procedure under the Supply Chain Due Diligence Act and the internet-based whistleblower system at The Quality Group GmbH and its subsidiaries (“TQGG”)

 

I. What is an ombudsman's office / complaints office (“whistleblower system”)?

In its efforts to combat violations of legal regulations and/or internal compliance rules, as well as breaches of human rights and environmental due diligence obligations, TQGG has appointed an external lawyer as ombudsperson and contact person for our whistleblower system. The ombudsperson is available to all whistleblowers who wish to confidentially report irregularities at TQGG.

 

II. Who can contact the whistleblower system?

Our whistleblower system, operated by our ombudsman, is generally available to anyone who can report unlawful conduct. This includes employees, customers, or other third parties. We accept all reports where you suspect a violation and which fall within the specified subject area.

 

III. On which topics can suggestions be made?

The whistleblower system is available for reporting violations of laws and regulations, as well as human rights and environmental risks and breaches of due diligence, provided these affect our company, our business unit or our suppliers along the entire supply chain.

 

The topics covered in the reports include, in particular, the following:

• Corruption, money laundering, bribery, terrorist financing, violations of export controls
• Anti-competitive behavior
• Violations of the TQGG Code of Conduct and other internal guidelines (e.g. purchasing guidelines)
• Product safety
• Discrimination, bullying, fundamental rights
• Health, operational safety, occupational safety
• Personnel issues, including disregard for work instructions
• Data protection and information security breaches
• Antitrust violations
• EU matters within the meaning of the EU Whistleblower Directive, 2019/1937
• Violations of human rights and environmental due diligence obligations.

 

The whistleblower system is not intended for complaints related to day-to-day operations. Information submitted through the whistleblower system that concerns matters outside the defined scope will be forwarded to the appropriate contact persons, subject to the whistleblower's consent, or the appropriate contact persons will be designated.

 

IV. How can tips be submitted?
TQGG:

Our employees can contact supervisors, the HR department, the General Counsel or other departments within the company at any time with information.

Whistleblower system / Ombudsman :

Furthermore, our employees, business partners, and other third parties have access to our whistleblower system, through which reports can be submitted to our ombudsperson. You can submit your reports by telephone, mail, email, or in person.

 

Lawyer Dr. Kathrin J. Niewiarra, Ombudswoman

Philippistrasse 11

14059 Berlin

Tel.:

TQGG@compliance-aid.com

 

Tips can be submitted in German and English.

Furthermore, reports can be submitted to the ombudsperson via our electronic whistleblower system in over 26 languages:  www.compliance-aid-tqgg.hintbox.de

V. How is anonymity ensured and the whistleblower protected?

The protection and confidentiality of whistleblowers are essential components of our complaints procedure and are taken very seriously. Throughout the entire process, individual measures are developed and implemented on a case-by-case basis to ensure the whistleblower's protection from discrimination or punishment as a result of their reporting. Intimidation, threats, or workplace discrimination against whistleblowers will not be tolerated. If you experience intimidation, threats, or reprisals as a result of reporting a whistleblower, please contact our ombudsperson or the relevant departments at TQGG.

 

As a lawyer, the ombudsperson is also bound by professional confidentiality. All contact, information, and advice will be treated with absolute confidentiality. This is ensured by a separate data protection agreement with TQGG as the client.

 

Your identity will only be disclosed to TQGG with your explicit consent. Should your information lead to investigations by law enforcement authorities, your anonymity is guaranteed by attorney-client privilege, even with respect to these institutions.

 

VI. What happens to a submitted tip?

Summary:

The ombudsperson reviews incoming reports and conducts an initial legal assessment. This is forwarded to Svenja Wachtel, General Counsel at TQGG, for further examination of the facts, provided the whistleblower has consented to this disclosure. Absolute confidentiality is guaranteed. If the reports can be substantiated, further measures will be initiated. Should the reports prove to be unfounded, the investigation will be terminated. Furthermore, all personal data will be deleted in accordance with data protection regulations.

 

The individual steps:

 

Receipt of the notification

The receipt of the tip is documented and the whistleblower receives an acknowledgment of receipt from the ombudsperson no later than seven days after submission.

 

Verification of the notice

The ombudsperson assesses the topic and examines the plausibility of the tip. If the tip is deemed plausible, it is forwarded to Svenja Wachtel, General Counsel, for further investigation of the facts, while maintaining confidentiality.

 

If the whistleblower so desires, the ombudsperson will remain in contact with them throughout the entire process. However, the whistleblower alone decides how this contact is maintained.

 

If the tip is not plausible, the procedure will be discontinued and the whistleblower will be informed.

 

Clarification of the facts

The General Counsel, in consultation with the Ombudsperson, investigates the matter on a case-by-case basis, according to need and in a timely manner, utilizing all available resources. First, it is verified whether sufficient information is available to clarify the facts. If not, the whistleblower is contacted by the Ombudsperson to request further information.

If contact is not desired and sufficient information for clarifying the facts cannot be gathered otherwise, the proceedings will be discontinued. If no misconduct or risk can be identified within the company or among its business partners or suppliers, the proceedings will also be discontinued. The whistleblower will be informed accordingly.

 

Developing solutions

If misconduct or a risk is identified, appropriate preventive and/or remedial measures will be developed based on the information gathered. If possible, appropriate, and desired by the whistleblower, they will be involved in developing these preventive and/or remedial measures.

 

The whistleblower will receive feedback from the ombudsperson no later than three months after the confirmation of receipt regarding the planned and already taken measures and the reasons for them, provided that this does not impair (internal) investigations and the rights of the persons who are the subject of a report, and that this is possible within the bounds of what is legally permissible.

 

Initiation of corrective measures and follow-up as well as effectiveness review

The agreed-upon prevention and/or remedial measures will be initiated and their implementation monitored by the General Counsel or a committee appointed for this purpose.

Furthermore, TQGG reviews the effectiveness of the complaints procedure annually and on an ad hoc basis. In particular, feedback from whistleblowers is used for this purpose. Adjustments are made as needed.

 

VII. Are there negative consequences to be expected if I file a report?

If you provide information to the best of your knowledge and belief, you will not suffer any disadvantages within the company. However, if you knowingly submit a false or malicious report, or if you yourself violate applicable rules of conduct, TQGG reserves the right to take legal action.

 

VIII. What if the content of the report subsequently turns out to be false?

It is important that you believed or assumed the content was true at the time of the report and that you did not make the report with malicious intent. If, after clarification of the facts, it turns out that the report was unfounded, you have nothing to fear in terms of negative consequences.

 

IX. What happens if you yourself are involved in the wrongdoing?

You are also encouraged to report the matter in question. This will be duly considered during the investigation and any potential sanctions, to the extent legally possible.

 

X. Does the whistleblower incur any costs by using the whistleblower system?

There are no costs for the whistleblower.

 

XI. Does the notification create a client relationship with the ombudsperson?

No, no client-attorney relationship is established. The ombudsperson is and remains an agent of TQGG. However, the legal relationship between the ombudsperson and TQGG as the client creates a protective effect in favor of the whistleblower. This allows the ombudsperson to provide informal advice to the whistleblower on practical matters related to the individual case, but she cannot represent the whistleblower's legal interests as their lawyer.