Compliance
Questions & Answers about the Ombuds Office, the complaints procedure under the German Supply Chain Due Diligence Act, and the web-based whistleblowing system at The Quality Group GmbH and its subsidiaries (“TQGG”)
What is an Ombuds Office / complaints office (“whistleblowing system”)?
As part of combating breaches of legal requirements and/or internal compliance rules, as well as violations of human rights and environmental due diligence obligations, TQGG has appointed an external lawyer as an ombudswoman and contact person for our whistleblowing system. The ombudswoman is available to all whistleblowers who would like to submit a confidential report about irregularities at TQGG.
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 fall within the specified subject area.
What topics can reports be submitted on?
The whistleblowing system is available for reports regarding breaches of laws and rules as well as human rights and environmental risks and due diligence violations, provided these affect our company, our business area, or our suppliers along the entire supply chain.
The report topics include, in particular, the following:
- Corruption, money laundering, bribery, terrorist financing, violations of export controls
- Anti-competitive conduct
- Violations of TQGG’s Code of Conduct and other internal policies (e.g., procurement policies)
- Product safety
- Discrimination, bullying, fundamental rights
- Health, operational safety, occupational health and safety
- HR matters, 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
- Violations of human rights and environmental due diligence obligations.
The whistleblowing system is not intended for complaints related to day-to-day operations. Reports submitted via the whistleblowing system that concern matters outside the defined subject area will be forwarded to the relevant contacts subject to the whistleblower’s consent, or the relevant contacts will be provided.
How can reports be submitted?
TQGG:
Our employees can contact their managers, HR, the General Counsel, or other internal departments at any time with reports.
Whistleblowing system / ombudswoman:
In addition, our whistleblowing system is available to our employees, business partners, and other third parties, allowing reports to be submitted to our ombudswoman. You can submit your report by phone, post, email, or in a personal meeting.
Attorney Dr. Kathrin J. Niewiarra, Ombudswoman
Philippistrasse 11
14059 Berlin
Email: TQGG@compliance-aid.com
Tel.: +49 (0) 30 / 4036750-17
Reports can be submitted in German and English.
You can also submit reports to the ombudswoman via our electronic whistleblowing system in over 26 languages:
https://compliance-aid-tqgg.hintbox.de/
How is anonymity ensured and the whistleblower protected?
Protecting the whistleblower and maintaining confidentiality are essential parts 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 is protected from disadvantage or punishment as a result of submitting a report. Attempts at intimidation, threats, or workplace disadvantages against whistleblowers will not be tolerated. If you experience intimidation, threats, or reprisals as a result of a report, please contact our ombudswoman or the responsible departments at TQGG.
As a lawyer, the ombudswoman is also bound by attorney-client confidentiality. Making contact as well as all information and reports are treated in strict confidence. This is safeguarded by a separate data protection agreement with TQGG as the client.
Your identity will only be disclosed to TQGG with the whistleblower’s explicit consent. If your information leads to investigations by law enforcement authorities, your anonymity is also protected vis-à-vis these institutions by attorney-client confidentiality.
What happens to a submitted report?
Summary:
The ombudswoman reviews incoming reports and carries out an initial legal assessment. This is forwarded to Svenja Wachtel, General Counsel at TQGG, for further review of the matter, provided the whistleblower has consented to the forwarding. Strictly confidential handling of the reports is guaranteed. If the reports can be substantiated, further measures are initiated. If the reports prove to be unfounded, the investigation is closed. In addition, all personal data is deleted in accordance with data protection requirements.
The individual steps:
Receipt of the report
Receipt of the report is documented, and the whistleblower will receive an acknowledgement of receipt from the ombudswoman no later than seven days later.
Review of the report
The ombudswoman categorizes the report by topic and checks its plausibility. If the report is plausible, it is forwarded to Svenja Wachtel, General Counsel, for clarification of the facts while maintaining confidentiality.
If the whistleblower wishes, the ombudswoman will remain in contact with them throughout the entire process. However, the whistleblower alone decides how this contact is arranged.
If the report is not plausible, the procedure is discontinued and the whistleblower is informed.
Clarification of the facts
In coordination with the ombudswoman, the General Counsel clarifies the facts on a case-by-case basis, as needed and in a timely manner, using all available resources. First, it is checked whether sufficient information is available to clarify the facts. If not, the whistleblower is contacted by the ombudswoman to request further information.
If contact is not desired and sufficient information cannot be gathered by other means to clarify the facts, the procedure is discontinued. If no misconduct or risk can be identified within the company or among business partners or suppliers, the procedure is also discontinued. The whistleblower will be informed accordingly.
Developing solutions
If misconduct or a risk is identified, appropriate preventive and/or remedial measures are developed based on the information collected. Where possible, appropriate, and desired, the whistleblower is involved in developing the preventive and/or remedial measures.
No later than three months after the acknowledgement of receipt, the whistleblower will receive feedback from the ombudswoman on the planned and already implemented measures and the reasons for them, provided this does not impair (internal) investigations and the rights of the persons concerned by a report, and insofar as legally permissible.
Initiation of remedial measures and follow-up, as well as effectiveness review
The decided preventive and/or remedial measures are initiated, and implementation is tracked by the General Counsel or a committee appointed for this purpose.
In addition, TQGG reviews the effectiveness of the complaints procedure annually and as needed. In particular, feedback from whistleblowers is taken into account. Adjustments are made if necessary.
Do I have to fear negative consequences if I submit a report?
If you submit a report 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 have violated applicable rules of conduct, TQGG 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 reporting, you believed or assumed the content was true, and that you did not make the report with abusive intent. If, after clarifying the facts, it turns out that the report was unfounded, you do not have to fear any negative consequences.
What happens if I am involved in the misconduct myself?
Even then, you are encouraged to report the matter in question. This will be appropriately taken into account during the investigation and any potential sanctions, insofar as legally possible.
Will the whistleblower incur any costs by using the whistleblowing system?
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 is and remains an agent of TQGG. However, due to the legal relationship between the ombudswoman and TQGG as the client, there is a “(protective) effect” in favor of the whistleblower. This means the ombudswoman can provide the whistleblower with informal advice on practical questions in individual cases, but she is not able to represent your legal interests as “your” lawyer.