Compliance

In order to ensure your anonymity, we have commissioned an external law firm to anonymize the reports. We receive your complaints without any contact details. The law firm is an independent legal law firm.

You can use the reporting system to report violations of our Code of Conduct or violations of the law. Including issues related to bribery and corruption, competition law, fraud, financial crime, product safety and quality, harassment or discrimination, international trade controls, the protection of personal data, rights and protection of persons, serious environmental damage or conflicts of interest.

In order to be able to handle your complaint as precisely as possible, we would like to ask you to include the following information in your email:

1. Reason for the complaint
2. Are you an employee of the affected division?
3. Affected department of the complaint
4. Persons involved
5. Location of the complaint

The CERTINA GROUP, hereinafter referred to as the “Company” or “CERTINA”.

At CERTINA, integrity and compliance with laws and internal regulations are our top priorities. In order to ensure compliance with these values and to avoid or minimise possible risks from violations, it is crucial that misconduct is detected, clarified and remedied at an early stage. Any indication of possible misconduct will be taken seriously and will lead to an investigation according to an objective and transparent procedure without any bias.

Violations of laws and internal regulations carry the risk of significant damage to the company, the management, every responsible manager and every affected employee. In addition to high fines, which can also affect CERTINA as a company, the persons involved are threatened with external personal consequences, which can include fines or, depending on the case, imprisonment, as well as internal personal consequences. In addition, compliance cases can lead to reputational and economic damage (e.g. negative media coverage, loss of revenue), claims for damages (e.g. from customers) and exclusion from public tenders (“blacklisting”).

The management is legally obliged to investigate any suspicion of illegal or inappropriate behavior of which it becomes aware on its own initiative. Compliance violations and violations of the law found in the process must be remedied immediately and sanctions must be considered. In addition, the management is obliged to check whether civil law claims for damages can be asserted against the offender. In order to comply with the legal obligations, the management of CERTINA has set up a whistleblower platform and established a process for clarifying incoming information.

The presentation and explanation of whistleblowing at CERTINA on the basis of this document takes into account various legal requirements for whistleblower systems and whistleblower protection, such as the EU Whistleblower Directive 2019/1937, corresponding implementation laws, the Act on Corporate Due Diligence in Supply Chains (LkSG), etc. Information from whistleblowers helps CTRINA to counteract violations at an early stage and to reduce the damage to our company, our employees and our business partners.

Circumference

Who can inform about a violation?

All CERTINA employees, customers, suppliers and other third parties (e.g. directly affected, persons with knowledge of a (possible) violation by a direct/indirect supplier) have the opportunity to contact us via various channels to report violations.

What can be reported?

Violations of internal regulations and/or applicable laws can be reported through multiple channels. Indications or suspicions of violations can also be reported and are taken seriously. Therefore, the term “violations” in this document refers to both actual and potential violations within the meaning of § 2 HinSchG. The following behaviors/facts come into consideration, for example:

• Bribery or corruption
• Other criminal offences (e.g. theft, trafficking or consumption of illegal drugs, violence or threats of violence and damage to property)
• Unethical behavior, including a violation of company policies
• sexual harassment, discrimination, victimisation or bullying
• Violations of legislation requiring product safety and compliance
• Violations of competition and antitrust law
• Violations of legal provisions with requirements for the protection of personal data within the scope of the GDPR.

Notifiable behaviors are not exclusively personal, work-related complaints. A personal, work-related complaint is a complaint about a matter related to an employee’s current or past employment that has or may have a personal impact on the person in question, but which does not have a wider impact on the company. Examples of personal, work-related complaints include:

• interpersonal conflicts between employees
• Decisions regarding the hiring, transfer or promotion of the employee
• Decisions on the hiring conditions of employees
• Decisions on the suspension or termination of an employment relationship
• Disciplinary measures.

Personal, work-related complaints should be reported to the responsible manager, the HR department or the works council.

Who is responsible for the whistleblower system?

The Human Resources department is responsible for the management of CERTINA’s whistleblower system. The persons entrusted with the management of the whistleblower system ensure impartiality, are independent, are not subject to instructions and are obliged to maintain confidentiality. Indications of possible violations are processed by a CERTINA case handler.

Indications of violations of global minimum labour standards to which CERTINA has committed itself can be reported to CERTINA. In addition to the recognition of the ILO core labour standards and the recognition of the Universal Declaration of Human Rights, these minimum labour standards include principles of good occupational health and safety, opportunities for professional and personal development, the right to appropriate remuneration, the prohibition of child and forced labour and the prohibition of discrimination of any kind.

Anonymity and confidentiality

The anonymity of whistleblowers in reporting is permissible (as far as legally possible). Information disclosed in the course of an investigation will be kept confidential to the extent possible and appropriate.

Protection of whistleblowers (no retaliation)

CERTINA prohibits and does not tolerate any kind of retaliation (e.g., adverse actions, disciplinary measures, threats, intimidation) for reporting a violation in good faith or otherwise cooperating in the investigation of a violation. Any violation should be reported through one of the reporting channels provided by CERTINA in order to ensure that management is aware of it and thus provides adequate protection for whistleblowers. Reporting knowingly false information (“malicious report”) is itself a violation, and actions taken as a result of such malicious reporting do not constitute retaliation.

Other Data Subjects

In its investigations, CERTINA strives to protect the legitimate interests of other persons affected by a disclosure. Bringing another person under suspicion can have serious consequences. In its investigations, CERTINA strictly adheres to the principles of the “presumption of innocence” and the “need to know” principle. It is important that the whistleblower system is used responsibly. CERTINA will not support actions that could make employees victims of unfounded or false accusations.

How to report violations

1. Direct contact: An open communication culture is an essential component of well-functioning compliance. Employees must be able to address errors openly and, above all, at an early stage. Even if you suspect a compliance violation, you can always contact your supervisor, even if it is not an official reporting channel. There is explicitly no obligation to report to the manager.
2. Internal reporting offices: CERTINA has commissioned an external law firm to anonymize the reports. We receive your complaints without any contact details. The law firm is an independent legal law firm.

Rights and obligations of the whistleblower

1. Confidentiality: The identity of the whistleblower is protected with the utmost care. CERTINA safeguards the interests of the whistleblower by providing a secure whistleblowing system and ensuring that all information received is kept confidential.

2. Protection against retaliation: CERTINA prohibits and does not tolerate any retaliation for reporting a breach in good faith or otherwise cooperating in the investigation of a violation. We apply the EU Directive (EU) 2019/1937 (the so-called Whistleblower Directive and the corresponding implementing laws of the EU member states) and, in various jurisdictions worldwide, the respective local laws and guidelines for the protection of whistleblowers and the prevention of retaliation. Other people involved in an investigation are similarly protected.

3. Notification for valid reasons: All reports must be based on valid reasons (CERTINA must have verifiable and serious information about a breach) that lead the whistleblower to believe that the reported fact is true (report in good faith). No financial benefits are offered or granted to whistleblowers. Whistleblowers may be subject to appropriate action if it is found that false information has been knowingly reported, depending on the applicable jurisdiction.

4. No investigation by whistleblower: For legal and security reasons, we do not expect a whistleblower to independently investigate compliance violations. The initial collection of information for reporting, on the other hand, is permissible and can help to enable a targeted and efficient investigation. In such a case, the procurement of and/or access to the information must be in accordance with the laws and regulations.

Principles of the investigation

Examinations are carried out in accordance with the following principles:

1) Basic principle

We investigate any indications of compliance violations or risks through internal investigations based on transparent and clearly defined processes. In this way, we ensure that our internal standards are consistently implemented and that our management and executives live up to their legal and corporate responsibility.

2) Compliance with legal requirements

Our investigations are always carried out in accordance with all applicable laws and regulations.

3) Right to be heard

No one has to worry about facing consequences from an investigation until they have had the opportunity to comment on the allegations.

4) Strict “need to know” principle

Only people who are actually needed for an examination are involved in our activities. The information on the results of the investigation will only be made available to those parties who actively need it for further proceedings or to comply with legal obligations.

5) Confidentiality

All information collected in the course of compliance investigations will be treated confidentially. The identity of the whistleblower is protected with the utmost care.

6) Fairness and mutual respect

The investigations will be conducted fairly and with respect for all parties concerned, following an objective and transparent process without any bias. The “presumption of innocence” applies to all internal investigations. Any kind of coercion, threat or the like is not permitted. The investigation activities are carried out without undue delay, in order of priority and urgency, and taking into account costs and effort.

7) Usability of the results

Compliance investigations are conducted in such a way that the results can generally be used in court

Data Protection

When conducting internal investigations, CERTINA ensures that the requirements of the applicable data protection laws are complied with. If you would like specific information or have questions about the processing of your personal data, you can contact CERTINA’s Data Protection Officer using the contact details below:

Data Protection Officer: Phillip Hess

CERTINA Holding AG
Robert-Koch-Str. 5a
D-82031 Grünwald
Phone: +49 (0) 34946694400

E-mail: phillip.hess@certina-group.com