Ombudsperson

Anyone can contact the ombudsperson who has indications of actual or suspected legal violations, breaches of the Code of Conduct, or violations of policies related to a company within the Piepenbrock Group. This applies to employees of these companies, members of corporate or management boards, as well as business partners or third parties.

The ombudsperson accepts reports on actual or suspected violations of laws, breaches of the Code of Conduct, or breaches of company policies that have already occurred or are highly likely to occur. Reports can also concern human rights and environmental risks, as well as violations of human rights or environmental obligations arising from the business activities of a company within the Piepenbrock Group in its own business area or of an direct or indirect supplier.

The ombudsperson is not available for general complaints, product and warranty inquiries, or individual legal advice. Only reports should be submitted for which the reporting party has sufficient reason to believe that the information provided or disclosed by them is true. Deliberately false reports may lead to criminal liability or damages for the reporting party. In case of doubt, relevant facts should be presented as assumptions, assessments, or statements by other persons.

The identity of the reporting party is protected by law, contractual agreements with the contracting companies, and the legal obligation of confidentiality. The identity of the reporting party will only be disclosed to the company if necessary for follow-up measures and if the reporting party expressly agrees. The identity of a reporting party who intentionally or grossly negligently reports false information will not be protected.

The ombudsperson also accepts anonymous reports. For effective investigation, it may be necessary to ask the reporting party for further details. Therefore, the ombudsperson will encourage the reporting party to provide their contact information for follow-up inquiries. The identity of the reporting party will be treated confidentially.

The ombudsperson is an attorney representing the company. Therefore, the company bears the costs. Anyone who reports false information intentionally or with gross negligence and thereby causes damage is obligated to compensate for the damage.

The ombudsperson will document the report and confirm receipt of the report to the reporting party within seven days. They will assess the validity of the report and, if possible and necessary, ask the reporting party for further details.

The ombudsperson provides a summary of the report, a recommendation for follow-up actions, and all necessary information for follow-up actions, while maintaining confidentiality, to the compliance and human rights officer of the Piepenbrock Group of companies. If specific information suggesting a violation or a risk, the compliance and human rights officer reviews the ombudsperson's recommendation, suggests remedial actions and follows up on the further processing and implementation of the measures.

The assessment is based on the applicable laws and the Code of Conduct of the Piepenbrock Group. The suitability, necessity, and appropriateness of a measure are decisive, considering the nature and severity of the risk or violation, the probability of occurrence and the risk of recurrence as well as the interests of those affected in their rights and the expected effectiveness of a measure.

The compliance and human rights officer is part of the legal department and is supported by employees from relevant departments in fulfilling these tasks. The compliance and human rights officer is independent in carrying out these tasks and is not bound by instructions in this regard. He is obliged to maintain confidentiality.

The ombudsperson provides feedback to the reporting party within three months of the receipt confirmation, including planned and already implemented corrective actions as well as the reasons for these measures. Should providing feedback compromise the rights of the individuals subject to a report or mentioned in the report, or hinder or prevent internal investigations, feedback may exceptionally not be provided or may be provided without specifying corrective actions or reasons.

A verbally submitted report will only be forwarded to the compliance and human rights officer if the reporting party expressly agrees. The reporting party may also decide not to disclose any information even after a confidential conversation.

Employers are not allowed to disadvantage or threaten employees in response to the submission of a report or assistance in its submission, provided there is at least sufficient reason to believe that the reported or disclosed information is true. A so-called burden of proof reversal applies in this case. For example, if an employee is terminated after submitting a report, the employer must prove that the termination was not due to the submission of the report.