Blue Cap : Complaint Procedure Rules under the Supply Chain Due Diligence Act (LkSG) (BlueCap Verfahrensordung Beschwerdeverfahren LkSG ENG v2.0)
B7E.DE
Rules of Procedure
for the Complaint Pross of Blue Cap Group
pursuant to § 8 Supply
Chain Due Diligence Act (LkSG)
Table of Contents
Preamble
3
1 Purpose and Objective
3
2 Scope of Application
3
3 Competence
4
4 Complaint Channels
4
5 Reporting Procedure
4
6 Procedure following a Report
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6.1 Receipt of the Report
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6.2 Examination of the Complaint and Discussion with the Informant
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6.3 Development of a Solution with the Informant
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6.4 Procedure in case of violations in the supply chain
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6.5 Review and Conclusion
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6.6 Documentation
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7 Protection of the Whistleblower and Persons Involved in the Investigation
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7.1 Protection of the Identity of Whistleblowers from Retaliation
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7.2 Confidentiality and Non-disclosure
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7.3 Protection against Sanctions
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8 Implementation and Effectiveness Review
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Document information
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Preamble
Respect for human rights and the environment is essential for Blue Cap AG and its subsidiaries (herein- after collectively referred to as 'the Blue Cap Group') over which it exercises control. The Blue Cap Group believes that sustainable value creation is only possible through a comprehensive consideration of eco- nomic, environmental, and social aspects and objectives.
For this reason, we began in 2020 and 2021, together with the management of our subsidiaries, to develop a comprehensive sustainability strategy in the areas of environment, social issues, and governance (ESG). It is important to us to align our business activities with internationally recognized principles and commitments and to address and enforce respect for human rights not only as an integral part of our corporate culture but also appropriately within our supply chain.
With these procedural rules, Blue Cap AG establishes clear guidelines to ensure that every incoming report is handled carefully and transparently and complies with the legal requirements of § 8 LkSG.
1 Purpose and Objective
These procedural rules describe the internal complaint procedure of Blue Cap AG in accordance with § 8 (2) LkSG. The complaint procedure enables employees and external individuals to report risks or violations of human rights or environmental obligations that may have arisen from the economic activities of the Blue Cap Group in its own business area or that of an immediate supplier.
In addition, the procedural rules clarify how to handle such reports. It should be noted that informants should never fear sanctions for making a good-faith report. Additionally, maximum confidentiality is assured to informants.
The complaint procedure is not intended for submitting general complaints about other employees.
2 Scope of Application
These procedural rules apply to all companies within the Blue Cap Group. Our complaint channel is open to directly and indirectly affected persons who may face possible human rights or environmental risks or threats.
All reports of human rights and environmental risks within the meaning of § 2 (2) LkSG, or of already occurred violations of the corresponding human rights and environmental protection goods, can be submitted through the complaint procedure.
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3 Competence
The Compliance Office of Blue Cap AG is responsible for conducting the complaint procedure.
In carrying out the complaint procedure, the responsible employees of the Compliance Office are obliged to examine and assess complaints objectively and impartially, considering all relevant aspects of human rights and environmental risks and obligations. They are not bound by instructions from Blue Cap AG in carrying out the complaint procedure and are required to maintain confidentiality
4 Complaint Channels
All employees and external individuals can submit reports via telephone, email, or postal mail as follows:
Employees may also opt to submit reports to their supervisors, management, or directly to Blue Cap's Compliance Officer.
5 Reporting Procedure
All directly and indirectly affected persons are encouraged to report known issues, misconduct, hazards, etc., in accordance with these procedural rules, openly and directly, preferably with their contact details. In cases where it seems unreasonable for the informant to submit a report attributable to them, anonymous reports can also be made.
Each report should be as specific as possible. The informant should provide detailed information about the matter being reported to ensure it can be assessed correctly.
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6 Procedure following a Report
6.1 Receipt of the Report
The informant will receive an acknowledgment of receipt within 7 days if they have waived anonymity. Based on the actual report and the initial assessment available, it will be examined whether it constitutes a complaint within the scope of § 8 LkSG.
6.2 Examination of the Complaint and Discussion with the Informant
If the complaint falls within the scope of the LkSG and sufficient information is available to examine the situation, the matter will be investigated thoroughly, maintaining confidentiality and adhering to data protection requirements.
If necessary and to the extent possible with non-anonymous reports, the responsible department will discuss the matter with the informant.
If the report was received via the Blue Cap AG hotline and further investigation is deemed necessary, this decision will be documented and communicated to the informant (unless anonymous). The information will be forwarded to the responsible department within the company or subsidiary, which will then conduct internal investigations. Blue Cap AG will only pass on the information to the company if, and to the extent that, the informant has authorized it by releasing the complaint from confidentiality. The informant's name will only be disclosed to the company if they have given prior consent.
If a report turns out to be false or cannot be adequately substantiated with facts, this will be documented accordingly, and the procedure will be terminated immediately. No negative consequences should arise for the informant concerned.
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6.3 Development of a Solution with the Informant
To the extent possible, the responsible body will inform the informant about the progress of the procedure. This information will be provided before the expiration of 3 months from the confirmation of receipt of the report by the responsible body, provided that the informant has waived anonymity.
In coordination with the informant, a proposal for remedial measures will be developed if possible and de- sired. If necessary, agreements for compensation may be made.
The corrective actions and outcomes should be implemented to deter potential misconduct and prevent it from recurring
6.4 Procedure in case of violations in the supply chain
If the complaint concerns companies that are actually suppliers to the Blue Cap Group or are assumed to be indirect suppliers within the scope of § 2 para. 8 LkSG, the Compliance Office contacts the respective supplier through the purchasing department of the relevant subsidiary company.
After verifying the facts, it will be established whether there is a heightened risk of human rights or environmental issues, or whether the relevant human rights or environmental obligations have already been breached.
In the case of a heightened risk, the Compliance Office and the purchasing department of the involved subsidiary company will review the existing preventive measures. If needed, they will implement additional preventive measures according to § 6 LkSG. The purchasing department of the involved subsidiary company typically has the duty to carry out these measures.
In the event of a violation of human rights or environmental obligations, the Compliance Office, together with the purchasing department of the relevant subsidiary company, will decide on appropriate corrective actions in accordance with § 7 LkSG.
The responsibility for implementation regularly falls to the purchasing department of the relevant subsidiary company.
6.5 Review and Conclusion
The outcome should be assessed with the whistleblower, as long as they have waived their anonymity.
6.6 Documentation
All complaints received are registered, and the process steps and actions taken for each are clearly docu- mented. The Compliance Office is responsible for maintaining records of the procedures that fall under this procedural order in accordance with § 10 LkSG.
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7 Protection of the Whistleblower and Persons Involved in the Investigation
7.1 Protection of the Identity of Whistleblowers from Retaliation
Blue Cap AG safeguards whistleblowers by protecting their identity; moreover, it does not tolerate any acts of coercion or bias against individuals who report (potential) breaches of due diligence duties under the LkSG with honest intentions. If there are signs of possible retaliation, the relevant authority must be notified immediately. The following measures help protect whistleblowers:
7.2 Confidentiality and Non-disclosure
The provisions of points b. - d. equally apply to persons who have participated in the investigation of the suspicion.
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7.3 Protection against Sanctions
No one who reports a concern in good faith or who assists with the inquiry of a related allegation should face adverse outcomes because of their report or assistance.
If a whistleblower or a person participating in the investigation believes they have been disadvantaged, discriminated against, harassed, or similar as a result, they must inform their respective superior. Any disadvantage, discrimination, harassment, or similar treatment towards the whistleblower or a participating person is not tolerated. The affected company will examine the circumstances of the respective case and may take temporary or permanent measures to protect the whistleblower or the participating person and safeguard the interests of the company. The company will inform the parties involved in writing about the results of the investigation.
Any employee or supervisor who dismisses, demotes, insults, or discriminates against a whistleblower or a person participating in the investigation due to the report or participation can expect consequences.
8 Implementation and Effectiveness Review
The management of the subsidiary companies within the Blue Cap Group is responsible for announcing this procedural order and ensuring its implementation. This includes creating conditions that enable whistle- blowers to make reports confidentially across all companies in the Blue Cap Group. The management board monitors the implementation of the procedural order. It reviews, among other things, the effectiveness of measures taken in response to suspicions expressed under this procedural order. Management may designate positions within the company to assist in monitoring. Blue Cap AG reviews the effectiveness of the complaint procedure annually and on an ad-hoc basis.
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Document information
Approval
Owner
Human Rights Officer
Approver
Board
History of Changes
Version
2.0
Date of Approval
02.12.2024
Date of release
09.12.2024
Changes
Version 1.1
Extension update
Version 2.0
Layout changes; text improve-
ment
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Disclaimer
Blue Cap AG published this content on December 17, 2024, and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on December 17, 2024 at 08:52:05.342.