Compliance
Questions & Answers about the Ombuds Office, the complaint procedure under the German Supply Chain Due Diligence Act, and the web-based whistleblowing system at Quality Group (“TQG”) Companies
What is an Ombuds Office / Complaints Office (“Whistleblowing System”)?
As part of its efforts to combat violations of legal regulations and/or internal compliance rules, as well as violations of human rights and environmental due diligence obligations, TQG has appointed an external lawyer to serve as the Ombudswoman and point of contact for our Whistleblowing System. The Ombudswoman is available to all whistleblowers who wish to submit a confidential report regarding irregularities at TQG.
Who can contact the Whistleblowing System?
Our Whistleblowing System, which is operated by our Ombudswoman, is generally available to anyone who can report unlawful conduct. This may include employees, customers, or other third parties. We accept all reports where you suspect a violation and that within the specified subject area.
What topics can reports cover?
The Whistleblowing System is available for reports regarding violations of laws and regulations, as well as human rights and environmental risks and breaches of due diligence obligations, provided that these affect our company, our business area, or our suppliers throughout the entire supply chain.
The topics which may be reported include, in particular, the following:
- Corruption, money laundering, bribery, terrorist financing, violations of export controls
- Anti-competitive conduct
- Violations of the Code of Conduct and other internal TQG policies (e.g., purchasing policies)
- Product safety
- Discrimination, harassment, fundamental rights
- Health, operational safety, occupational health and safety
- Human resources issues, including failure to follow work instructions
- Data protection and information security violations
- Antitrust violations
- EU matters within the meaning of the EU Whistleblower Directive, 2019/1937, and the German Whistleblower Protection Act
- Violations of human rights and environmental due diligence obligations.
The Whistleblowing System is not intended for complaints related to day-to-day business operations. Reports submitted via the Whistleblowing System that concern matters outside the defined scope will be forwarded to the appropriate contacts, subject to the whistleblower’s consent, or the relevant contacts will be provided.
How can reports be submitted?
TQG:
Our employees may contact their managers, HR, or other departments within the company at any time to submit reports. For companies based in the U.S., the Chief Legal Officer there is also available as a point of contact (“Chief Legal Officer”). For all other companies, the General Counsel and Chief Compliance Officer is available as point of contact.
Whistleblowing System / Ombudswoman:
In addition, our employees, business partners, and other third parties have access to our Whistleblowing System, through which reports can be submitted to our Ombudswoman. You can submit your reports by phone, mail, email, or in person.
Attorney Dr. Kathrin J. Niewiarra, Ombudswoman
Philippistrasse 11
14059 Berlin, Germany
Email: TQGG@compliance-aid.com
Phone: +49 (0) 30 / 4036750-17
Reports can be submitted in German and English.
In addition, reports can be submitted to the Ombudswoman via our web-based whistleblowing system in over 26 languages:
https://compliance-aid-tqgg.hintbox.de/
How is anonymity ensured and the whistleblower protected?
The protection and confidentiality of the whistleblower are essential parts of our complaint procedure and are taken very seriously by us. Throughout the entire process, individual measures are developed and implemented on a case-by-case basis to ensure the whistleblower’s protection against discrimination or punishment as a result of submitting a report. Attempts at intimidation, threats, or discrimination against whistleblowers in the workplace will not be tolerated. If you experience intimidation, threats, or retaliation as a result of a report, please contact our Ombudswoman or the responsible departments at TQG.
As a lawyer, the Ombudswoman is also bound by the attorney-client privilege. All contact, as well as any information or reports, will be treated in strict confidence. This is safeguarded by a separate data protection agreement with TQG as the client.
Your identity will only be disclosed to TQG with your express consent. Should your information lead to an investigation by law enforcement authorities, your anonymity is guaranteed by the attorney-client privilege, even with respect to these institutions, to the extent permitted by law.
What happens to a report that has been submitted?
Summary:
The Ombudswoman reviews incoming reports and conducts an initial legal assessment. This is forwarded to the General Counsel and Chief Compliance Officer at TQG - or, if companies based in the U.S. are involved, to the Chief Legal Officer in the U.S. - for further review of the facts, provided the whistleblower has consented to the disclosure. Absolute confidentiality of the reports is guaranteed. If the reports can be substantiated, further measures will be taken. If the reports prove to be unfounded, the investigation will be closed. In addition, all personal data will be deleted in accordance with data protection regulations.
The individual steps:
Receipt of the report
The receipt of the report is documented, and the whistleblower receives an acknowledgment of receipt from the Ombudswoman no later than seven days after submission.
Review of the report
The Ombudswoman categorizes the report by topic and assesses its plausibility. If the report is plausible, it is forwarded to the General Counsel / Chief Compliance Officer or Chief Legal Officer for clarification of the facts, while maintaining confidentiality.
If the whistleblower so desires, the Ombudswoman will remain in contact with them throughout the entire process. However, the whistleblower alone decides how this contact is to be conducted.
If the report is not plausible, the proceedings are discontinued and the whistleblower is informed.
Investigation of the facts
The General Counsel / Chief Compliance Officer or Chief Legal Officer investigates the facts in consultation with the Ombudswoman, making full use of all available resources on a case-by-case basis, as needed, and in a timely manner. The first step is to verify whether sufficient information is available to investigate the facts. If this is not the case, the Ombudswoman will contact the whistleblower to request additional information.
If the whistleblower does not wish to be contacted and sufficient information cannot be gathered from other sources to clarify the facts, 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.
Development of solutions
If misconduct or a risk is identified, appropriate preventive and /or corrective measures will be developed based on the information gathered. To the extent that it is possible, reasonable, and desired by the whistleblower, the whistleblower will be involved in the development of the preventive and / or corrective measures.
No later than three months after the acknowledgment of receipt, the whistleblower will receive feedback from the Ombudswoman regarding the planned and already implemented measures, as well as the reasons for them, provided that this does not impair (internal) investigations or the rights of the individuals who are the subject of the report, and provided that this is possible within the bounds of what is legally permissible.
Initiation of Remedial Measures, Follow-Up, and Effectiveness Review
The agreed-upon preventive and /or corrective measures are implemented, and their implementation is monitored by the General Counsel, Chief Compliance Officer / Chief Legal Officer, or a committee designated for this purpose. In addition, TQG reviews the effectiveness of the complaint procedure annually and as needed. In particular, feedback from whistleblowers is taken into account for this purpose. Adjustments are made as necessary.
Are there any negative consequences to worry about if I file a report?
If you submit a report to the best of your knowledge and belief, you will not face any disadvantages within the company. However, if you knowingly submit a false or malicious report, or if you yourself have violated applicable rules of conduct, TQG reserves the right to take legal action.
What if the content of the report later turns out to be false?
What matters is that, at the time of the report, you believed or assumed the content to be true, and that you did not file the report with malicious intent. If, after the facts have been clarified, it turns out that the report was unfounded, you do not have to fear any negative consequences.
What happens if you yourself are involved in the misconduct?
Even then, you are encouraged to report the matter in question. During the investigation of the facts and any potential disciplinary action, this will be taken into account appropriately, to the extent permitted by law.
Does using the Whistleblowing System incur any costs for the whistleblower?
There are no costs for the whistleblower.
Does submitting a report create an attorney-client relationship with the Ombudswoman?
No, no attorney-client relationship is established. The Ombudswoman remains an agent of TQG. However, the Ombudswoman’s legal relationship with TQG as the client provides a “(protective) effect” in favor of the whistleblower. This means the Ombudswoman can provide the whistleblower with informal advice on practical matters related to the specific case; however, she is not able to represent your legal interests as “your” lawyer.
