Compliance

Transparency and responsible conduct form the foundation of TKMS's corporate identity. Responsible conduct is achieved through strict compliance with applicable rules and laws. Compliance is therefore a top priority and is driven by the zero-tolerance principle. The TKMS whistleblower system was set up to ensure this standard is maintained in the long term. It offers the opportunity to report actual or suspected violations of applicable law or internal regulations to us in a confidential environment. The opportunity to submit reports is available to all employees, as well as customers, suppliers and other third parties.

Reliable reports help us to address non-compliant activities at an early stage and, if necessary, reduce or prevent damage to our company, our employees and our business partners, and to engage in sustainable prevention.

What should be reported through the TKMS whistleblower system? 

Reports may concern all forms of actual or suspected misconduct. These include, among others:

• Human rights violations, 

• Breach  of environmental obligations, 

• Criminal offences (For example, bribery, corruption, fraud, embezzlement),

• Breach of the Money Laundering Act,

• Breach of equality and anti-discrimination legislation , 

• Breach of competition, antitrust or state aid law,

• Insider trading or market manipulation,

• Conflicts of interest,

• Breach of sactions or export violations,

• Breach of data protection regulations.

 

TKMS undertakes to protect whistleblower from any kind of retaliation or discrimination that may result from the report in accordance with the law. This includes, in particular, discrimination, dismissal, blocked promotions or negative performance appraisals. Even the threat or attempt of such discrimination is prohibited. Violations of the confidentiality requirement and deliberate obstruction of reporting will be prosecuted and sanctioned. Protection only ceases to apply if the whistleblower demonstrably abuses the system to their advantage by deliberately providing false or misleading information.

How to report to TKMS

TKMS electronic whistleblower system: You have the option of reporting violations via the TKMS electronic whistleblower system. The electronic whistleblower system is operated by otris software AG and can be accessed here:  https://sicher-melden.de/TKMS

Hotline: Contact Compliance Investigations TKMS via our Hotline: (+49) 0173 356 9099.You will be connected directly and confidentially to the responsible TKMS Compliance Officer Investigations.

E-Mail: Contact Compliance Investigations TKMS via Email: whistleblowing@tkmsgroup.com 

Post: Contact TKMS Compliance Investigations via letter: TKMS GmbH zu Händen Compliance Investigations Werftstraße 112-114 24143 Kiel. 

If you report a matter, you will receive confirmation of receipt within the statutory period after submitting the report and, once the investigation has been completed, you will receive personal feedback on the status of the investigation, insofar as this is legally permissible and required. Questions may arise during the investigation; these will be raised with you via the same communications method you chose to raise the concern. 

Note on the use of the electronic TKMS Whistleblower System

As a whistleblower, you have the option of submitting a report easily, securely and, if desired, anonymously via our electronic whistleblower system. Compliance Investigations guarantee impartiality. Incoming reports are treated with strict confidentiality. TKMS takes all possible measures to ensure that t no one suffers any disadvantages solely on the basis of a report made to the best of their knowledge. When investigating reports, TKMS also takes into account the legitimate interests of the persons affected by a report. Please bear in mind that suspicions and accusations against a person can have serious consequences for that person. TKMS therefore urges you to use the system responsibly. 

Upon receipt of a report, Compliance Investigations will examine whether the report falls within the scope of the Whistleblower Protection Act. If the report does not fall within this scope, it will forward the report to the relevant department for further assessment. If the report falls within the scope of the Act, the necessary follow-up measures will be initiated and the whistleblower will be informed. Depending on the circumstances, it may be necessary to involve other internal departments to evaluate the incident. 

The electronic whistleblower system is operated by an external provider, otris AG, on behalf of TKMS. The system is regularly certified by external experts with regard to data security and data protection. Employees of otris AG have no access to the report and the underlying data and facts. Information on the handling of personal data in the electronic whistleblower system is stored directly in the system.

 

Data Protection

When conducting internal investigations, Compliance Investigations and, where applicable, local investigators ensure that the requirements of the applicable data protection laws are complied with. 

The controller within the meaning of Art. 4 (7) GDPR for the processing of personal data is TKMS GmbH, Werftstraße 112-114, 24143 Kiel, Germany Tel: +49 431 700 0 / Fax: +49 431 700 2312 / Email: communications@tkmsgroup.com. The responsible data protection officer can be contacted by email at daten-schutz@tkmsgroup.com or by post at TKMS GmbH – Attn: Data Protection Officer, Werftstraße 112-114, 24143 Kiel.

The processing of personal data (‘pb`) is carried out in accordance with Art. 6 (1) sentence 1 lit. f EU GDPR on the basis of TKMS's legitimate interest in detecting and preventing legal violations and misconduct. There is a legitimate interest in detecting and preventing legal violations and misconduct, as these can lead to considerable economic damage and a significant loss of reputation. In Germany, pb data is processed in accordance with Section 10 HinSchG. 

The central office responsible for managing the TKMS electronic whistleblower system is TKMS Compliance Investigations. A strict ‘need to know’ principle applies. This means that only those persons who are actually required for an investigation are involved in the process and informed. Information about the results of investigations is made available only  to those parties who  need it for further proceedings or to fulfil legal obligations. The compliance officers entrusted with managing the whistleblower system ensure impartiality, are independent, not subject to instructions and bound to confidentiality, and process reports of possible violations. Reports of violations outside the core compliance topics may, depending on the individual case, be forwarded to the responsible specialist departments or processed in cooperation with them. Compliance Investigations conducts compliance investigations on all core compliance topics and coordinates internal or official proceedings (e.g. by law enforcement agencies, antitrust authorities). 

If you would like specific information or have questions about the processing of your personal data, you can contact the data protection officer by email at datenschutz@tkmsgroup.com. Detailed information on data protection at TKMS can be found on our website under the Data Protection tab or, if you use the TKMS electronic whistleblower system for your report, in the ‘Information on the processing of personal data in investigation proceedings’ provided.

The identity of the whistleblower is protected with the utmost care. The identities of whistleblowers will only be disclosed to third parties with their consent, unless there is a  legal obligation to disclose.

Personal data will be stored for as long as is necessary for the analysis and final evaluation of the information, or if there is a legitimate interest on the part of the company, or if this is required by law. After completion of the proceedings, this data will be deleted in accordance with the statutory provisions.

Your personal data will be protected by data security measures that comply with current legal data protection regulations. For further information, please refer to the general information on data protection published on the TKMS Group website. 

External offices of the authorities

Whistleblowers have the option of contacting the relevant external reporting offices of the federal government directly, for example the Federal Office of Justice, the Federal Financial Supervisory Authority (BaFin) or the Federal Cartel Office. If the complaint can also be handled by a state authority, it is recommended that the relevant reporting office of the state be contacted.

In such cases, the investigation of the report and the implementation of the provisions of the Whistleblower Protection Act are the sole responsibility of the external reporting office.

TKMS cannot be held liable for the implementation of these procedures, the duration of processing or any protective measures.