Submitting a report

As one of the global market and innovation leaders, we at TK Elevator aim to act in an exemplary manner, particularly in our business relations. We live up to our Principle "Be honest and transparent". TK Elevator employees and other third parties affected by our actions can always raise their concerns. “Speaking up” is an integral part of our culture and always appreciated.

We encourage you to actively contribute to our compliance culture. That’s why we have created reliable reporting channels. They help us to ensure that any potential misconduct can be reported, thoroughly investigated and resolved.

The TK Elevator Ethics Line is open to all employees, but also to customers, suppliers, business partners, and other third parties. We guarantee every person who reports incidents in good faith the greatest possible protection of his/her identity. During its investigations, TK Elevator will also strive to protect the legitimate interests of other persons affected by a report. To inflict a suspicion on another person can have serious consequences for that person. In case of deliberately and intentionally false reporting, this can also have negative consequences for the person providing the information.

Incoming reports are carefully reviewed and processed by the TK Elevator Compliance Investigation Team. You can find here the detailed rules of procedure for our grievance mechanism / complaints procedure.

The TK Elevator Ethics Line includes the following reporting channels:

1. Supervisors, points of contact in the company or the compliance manager

In line with the commitment to honesty and transparency reflected in our common TKE Principles, we encourage you, as a TK employee, to address your concerns with your supervisor first. If you are not a TKE employee, you might first approach your point of contact in the respective group company. Of course, you may also approach the Compliance Manager who is responsible for your organization directly. Usually, this is the manager responsible for finance (e.g. the CFO). If you are unsure about your Compliance Manager’s name, please contact investigations@tkelevator.com. You will be given the correct contact person in a timely manner.

At TKE, we value and respect everyone who speaks up. Our leaders and Compliance Managers ensure that you are heard and that they have an open door to all those who wish to raise their concerns. If your supervisor, point of contact in the respective group company and/or Compliance Manager is unable to remedy the situation, he or she will forward your compliance-related report to the Compliance Investigations Team or, in case your report is not compliance-related, to the responsible other department, unless you object the forwarding.

2. Central reporting channels

If you feel more comfortable to report your concerns directly to our global Compliance Investigations Team, you are welcome to use one of the following reporting options:

Web-based platform

Our web-based online communication platform enables you to submit reports to our Compliance Investigations Team at the Global Business Support Center in Duesseldorf/Germany. It is possible to upload relevant documents and stay in touch via a mailbox set up solely for you. Any communication is confidential and protected.

You can reach the web-based platform via the following link: https://tke-wb.compliancesolutions.com/

or by scanning the QR code below:

E-mail

You can send your report to the following e-mail address: investigations@tkelevator.com

Only we, the Compliance Investigations Team, have access to incoming e-mails to ensure confidentiality.

Hotline

If you wish to submit a report by phone, you can call our hotline (voicemail or, in the US, operator) at the following telephone number:

German: + 49 711 95339978
English (Germany): + 49 711 95339979
English (US): + 1 (844) 9704154
Chinese (China): + 86 21 60314571
English (Japan): + 81 50 58653061
Portugues (Brazil): + 55 11 31817795
Spanish (Colombia): + 57 1 3810670

Postal and personal submission

If you would like to submit your report by postal mail or in person, you can contact our Compliance Investigations Team directly:

TK Elevator GmbH
TKE/LCL-CPL-INV
E-Plus-Strasse 1
40472 Duesseldorf

Regardless of the reporting channel chosen, you can also submit reports anonymously. If you do so, however, we will not be able to contact you for further questions or give you feedback concerning our investigation. We would therefore appreciate if you could please leave your contact details.

Compliance Officer

If you work for TK Elevator you can also contact your Compliance Officer. A detailed list of contacts is available on the intranet.

Please be assured: All messages, regardless of the reporting channel you choose, will be treated with the utmost confidentiality.

Reporting to external parties

We kindly ask you to communicate all information through the channels mentioned above so that we can investigate and resolve any issue properly. Of course, you are also free to submit reports to the relevant authorities.

Content of the report

Our TK Elevator Ethics Line can be used to report concerns or potential violations irrespective of the specific issue in question, whether it concerns our core Compliance topics such as corruption, antitrust, money-laundering, trade control, and data protection or fraud or any other topic from our Code of Conduct.

Please do neither hesitate to report potential health and safety or HR-related violations. This includes infringements of essential labor standard or human rights which occur within our own organization or our supply chain e.g. child or slave labor, unequal treatment, harassment or discrimination, infringements of laws on working time and minimum pay and violations of applicable environmental laws.

All reports will be treated confidentially. If your report has no compliance-related content, we will forward it to the responsible department for processing, while maintaining confidentiality.

You can foster a quick review and processing of your report, if you submit your report as concretely, detailed and promptly as possible. When submitting your report, please take the following question as a guidance: "Who did what, when, where and how?”

• Who?
  • Please provide precise information about the involved person(s). Please bear in mind that we may not be familiar with every department and function worldwide. Write out names in full, and indicate the department, function and company associated with the person.
• What and how?
  • Please give as precise information as possible about the reported incident and behavior: Explain your observations as completely as possible. Ideally, describe the incident chronologically and upload documents - if available - that support your report. Describe the reported behavior of the person(s) involved in the incident as precise as you can.
• Where?
  • Please describe the location(s) of the incident/conduct as accurately as possible, including the name of the Business Unit, company and branch office.
• When?
  • Please describe when the reported incident/behavior took place, whether it is still ongoing or has already ended.
  • To enable us to clarify and remedy misconduct immediately, we ask you to please submit your report promptly after your observations.
    
    

Protection of the whistleblower

The protection of whistleblowers who are acting in good faith is our highest priority. Reports have no negative legal or factual consequences influenced by TK Elevator. Your identity will be protected during an internal investigation to the best of our ability and requirements of the law. In the event of an official investigation, we may be obliged to disclose your identity to the authorities. If this is the case, we will inform you in advance.

We ask you to please handle the submission of any reports with respect and responsibility. Please bear in mind that investigations can have professional and personal consequences for the person(s) concerned. A case of a deliberate and intentional false reporting can have negative consequences for the person who is providing the information.