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Submitting a report

Whistleblowing system

Being compliant with laws, regulations and internal guidelines is of the highest importance for thyssenkrupp Elevator in order to protect the company, our colleagues and our business partners.

Any misconduct must be identified and comprehensively reviewed; questionable business practices must be discontinued immediately.

Your information and observations can help to identify possible misconduct and point out potential violations of rules. For this purpose, thyssenkrupp Elevator provides various reporting channels through which information can be submitted (so-called whistleblowing system). Please use these channels in a responsible manner.

In addition to the thyssenkrupp Elevator employees, the whistleblowing system is also open to all customers, suppliers, business partners and other third parties. We guarantee every whistleblower acting in good faith the greatest possible protection of his identity, in particular by the possibility of submitting anonymous information, if this is possible under national legislation. In addition, thyssenkrupp Elevator will provide the whistleblower with the best possible protection against negative consequences, which could result from a report.

During its investigations, thyssenkrupp Elevator will also strive to protect the legitimate interests of other persons affected by a report. Casting 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. It is essential that the whistleblowing system is used responsibly.

Incoming reports are carefully reviewed and processed by the thyssenkrupp Elevator Compliance Investigations team.

You can find the thyssenkrupp Elevator reporting channels here:

Reporting channels

Web-based whistleblowing system

The thyssenkrupp Elevator whistleblowing system is an online communication platform that enables to submit reports to the thyssenkrupp Elevator Compliance Investigations team electronically. It is also possible to upload relevant documents and stay in touch with the Compliance Investigations team via a personalized mailbox. Any communication is confidential and protected.

The new and separate whistleblowing system is currently being set-up and will be available shortly. Until then, we ask you to use the other reporting channels (e-mail, hotline, post and personal, Compliance Managers and Compliance Officers).

E-mail

You can send your report to the following e-mail address:

ET-investigations@thyssenkrupp.com

Only the thyssenkrupp Elevator Compliance Investigations team has access to incoming e-mails to ensure confidentiality.

Hotline

If you wish to submit a report by phone, you can reach the Compliance Investigations team between 09:00 and 18:00 Central European Time at the following telephone number.

Phone: +49 201 844-535355

Postal and personal submission

If you would like to submit your report by postal mail or personally, you can contact the thyssenkrupp Elevator Compliance Investigations team directly:

thyssenkrupp Elevator AG

ET/LCL-CPL-INV

thyssenkrupp Allee 1

45143 Essen

Other channels

Local Compliance Manager & Compliance Officer

If you work for thyssenkrupp Elevator, you can also contact your Compliance Officer or the Compliance Manager responsible for your company directly. A detailed list of contacts is available on the intranet.

External

We ask you to communicate information through the above channels so that the Compliance Investigations team can resolve the matter. Of course you are also free to submit reports to the relevant authorities.

Content of the message

The whistleblowing system essentially focuses on reports regarding the following topics:

- Corruption

- Antitrust

- Money laundering

- Export Control

- Fraud

- Data Protection

However, this list is not exhaustive. If you have observed other misconducts, please do not hesitate to report them, too!

If you don´t want to disclose your identity, the Compliance Investigations team will treat reports on other topics on a confidential basis. In those cases, the reports will be forwarded to the relevant departments within the group while maintaining your anonymity.

You can easily contribute to an efficient review and processing of your report. We ask you to submit your report as concretely, detailed and promptly as possible. When submitting your report, you can use the following question as a guide: "Who did what, when, where and how?”

  • Who?
    • Please provide as precise information as possible about the persons involved: Write out names in full, indicating 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 in as much detail as possible.
      Please bear in mind that the Compliance Investigations team may not be familiar with every department and function worldwide. Accurate and precise information will greatly facilitate processing.
  • 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 the Compliance Investigations team to clarify and remedy misconduct immediately, we ask you to submit your report promptly after your observations.

Protection of the whistleblower

The protection of whistleblowers acting in good faith is our highest priority. Reports have no negative consequences, either legal or factual, that can be influenced by thysenkrupp 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 required to disclose whistleblowers identity to the authorities. If this is the case, the Compliance Investigations team will inform you in advance.

We ask you to handle the submission of reports responsibly. Please bear in mind that investigations can have professional and personal consequences for the persons concerned. In case of deliberately and intentionally false reporting, this can also have negative consequences for the person providing the information.