Report a potential violation | whistleblower system

1. What are the duties of the attorney-of-trust?

Information that is of a potential infringement of law or internal rules can be addressed to him. The attorney-of-trust provides a legally protected and confidential space outside of the company. He explains the informant’s rights as well as further procedures. The attorney-of-trust only communicates the informant’s case to the contact person at ARI-Armaturen with the informant’s consent. The attorney-of-trust can be involved in the process. As a trusted third party, he is available to the informant at all times as a contact person.

2. Who can contact the attorney-of-trust?

Any employees and external parties, such as suppliers or service providers.

3. What information does the attorney-of-trust receive?

The attorney-of-trust receives reports regarding infringements of laws and internal rules. The intention is the investigation and prevention of criminal acts such as economic offences, breaches of accounting rules as well as financial losses. Breaches of the internal code of conduct, such as, for example, discriminatory acts, can also be reported.

4. Can I be certain that the attorney-of-trust only passes on information to the extent that I allow him to?

Yes. Only the informant decides what information he provides to the attorney-of-trust and what information the attorney-of-trust shall pass on, as a second step, to the company. Only in the event of misuse, i.e. in the event of intentionally false information, is the attorney-of-trust authorised to pass on information without the informant’s consent. The attorney-of-trust shall explain this when initial contact is made.

5. Do I have to pay a fee for contacting the attorney-of-trust?

No, anyone can contact the attorney-of-trust free of charge.

6. Can I also contact the attorney-of-trust anonymously?

Yes. Informants can also contact the attorney-of-trust anonymously. This applies also to the initial contact with the attorney-of-trust. If desired, the attorney-of-trust then preserves the anonymity of the informant with respect to ARI-Armaturen.

7. What happens with my information?

The information is considered and analysed in compliance with the law and internal rules, while taking into account the interests of all involved parties. After prior investigation, the attorney-of-trust passes on the report to his contact person at ARI-Armaturen.

8. Am I allowed to contact the attorney-of-trust regarding the status of the process?

The informant can ask the attorney-of-trust at any time about the status of the matter. The informant will be notified by the attorney-of-trust of the result of any legal action after conclusion of the process.

9. Does the attorney-of-trust become “my lawyer”, when I contact him?

No, the attorney-of-trust is not permitted to represent informants in a judicial or administrative proceeding. For this reason, the attorney-of-trust cannot and may not initiate any steps to assert the individual rights or claims of the informant in court.

10. Is the attorney-of-trust independent?

Yes. The attorney-of-trust carries out his activity as an autonomous and independent advocate and is not subject to any instructions from ARI-Armaturen regarding the handling of the content of the matter. After conducting his own investigation as required, the attorney-of-trust decides whether and to what extent he is permitted to pass on to ARI-Armaturen the matter disclosed to him.

11. How can initial contact be made?

Initial contact can be made by telephone, by email, by SMS, by post or even in a face-to-face meeting.

12. Can I continue to contact the departments at ARI-Armaturen that have been in charge of this up to now in the company?

Yes. Within ARI-Armaturen, the supervisors, the works council and the management continue to be available as contact persons.

13. Do I receive protection as an informant?

Yes. Informants are protected. No retaliatory actions aimed at the informants will be tolerated.

14. What measures are taken to prevent the misuse of the institution of an attorney-of-trust, respectively the whistleblowing system?

When an attorney-of-trust is appointed, in spite of any doubts relating to misuse or denunciation, such cases happen very rarely. However, at the start of the meeting, the attorney-of-trust explains that misuse of the whistleblowing system is not tolerated and that in the event of intentional, and hence deliberate misuse, the attorney-of-trust is obliged to pass on the personal data of the informant to the company. In any event, intentional misuse of the whistleblowing system has legal consequences.

15. How are data protection and data security observed?

The attorney-of-trust ensures compliance with all legal obligations such as preserving records and data protection regulations. The personal data is limited to information on the identity of the informant and other persons involved. ARI-Armaturen’s data protection officer verifies regularly that the whistleblowing management complies with data protection.

16. Will I be given notice of dismissal immediately if I am mentioned in a report to the attorney-of-trust?

No. There is a presumption of innocence. Every case is pursued in compliance with the law and internal rules and takes into account the interests of all involved parties. Possible measures are only decided upon the conclusion of the process.

17. What happens if I provide a lead, but this lead then proves to be false?

As long as the information was provided in good faith, i.e. was not intentionally false, the informant shall not be affected by any consequences.

18. Do I have to contact the attorney-of-trust if I suppose that there has been a breach of the law?

No, contacting the attorney-of-trust is voluntary as an additional resource.

19. Can I go to see the attorney-of-trust in person?

Yes. There is the option to go to see the attorney-of-trust in person for a confidential meeting at any time.

20. Will I be informed when my report has been fully processed?

Yes. The informant will be notified by the attorney-of-trust of the result of any possible legal action after conclusion of the process.

21. Does the attorney-of-trust have to disclose my identity if he is interrogated in a criminal or civil proceeding as a witness?

No. If the attorney-of-trust is interrogated in a criminal, civil or other type of proceeding as a witness, he will only disclose the name and identity of the informant consulting him when both the company and the informant have expressly permitted him to do so.

22. Can I contact the attorney-of-trust first and thereafter decide at the end of the meeting whether the circumstance and/or my particulars are passed on to ARI-Armaturen?

Yes. Initially, the attorney-of-trust can be contacted in a completely confidential manner. The attorney-of-trust explains to the informant his rights at the start of the meeting. Only at the end of the meeting does the informant decide whether and in what manner the information is to be passed on to ARI-Armaturen.

23. Should I contact the attorney-of-trust if I could have committed a criminal offence myself?

The attorney-of-trust can also be contacted when the informant may have committed a criminal offence himself. On the one hand, the attorney-of-trust can explain to the informant his rights, and on the other hand, report oneself has a positive value in the context of the existing employment relationship and can serve as a mitigating factor in any later judicial proceeding.

24. Is the attorney-of-trust obligated to pass on the lead regarding a criminal offence directly to the prosecution office?

No. Only in very narrowly defined exceptional cases, in the event of very serious criminal offences, is anyone obligated to pass on the information regarding a criminal offence to a prosecution office.

25. How is information processed if the contact person in the company himself is affected?

In this case, the attorney-of-trust can contact the company’s management directly.

26. How long does it take for a result to become available?

This cannot be answered in general terms. Information that can be processed conclusively within a few hours. In the case of extensive investigations, processing can take several weeks.