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UK Modern Slavery Act 2015

INTRODUCTION

Modern slavery is a crime and a violation of fundamental human rights. It takes various forms, such as slavery, servitude, forced and compulsory labor and human trafficking, all of which have in common the deprivation of a person’s liberty by another in order to exploit them for personal or commercial gain.

Arvos Ljungström, a division of the ARVOS Group (“LJUNGSTRÖM”), is committed to combat slavery and human trafficking.

This statement is made pursuant to section 54(1) of the UK Modern Slavery Act 2015 and constitutes our Group’s slavery and human trafficking statement for the financial year ending on March 31, 2022 and was approved by the Executive Board of the ARVOS Group on September 24, 2021.

 

ORGANISATIONAL STRUCTURE

LJUNGSTRÖM is a global technology and innovation leader, specializing in full life-cycle services and solutions for thermal power plants and industrial facilities. With a history of heat recovery advances spanning 95 years, LJUNGSTRÖM is redefining clean thermal power technologies through its deep customer and technical knowledge, worldwide.

LJUNGSTRÖM serves the thermal power plant market with three key applications: air preheaters, gas-g​as heaters and AdvX™, based on our genuine Ljungström® technology platform.

LJUNGSTRÖM has under 700 employees in the USA, Germany, India, Japan, China and the Czech Republic, with approximately 30% in the USA.

 

OUR SUPPLY CHAINS

Our supply chains include procurement of steel, construction and erection services, manufacturing of machined and non-machined small and major metal parts to be integrated into our products and services. Steel purchases, primarily in the USA and Canada, account for a large portion of LJUNGSTRÖM’s total supply chain spends. Although we believe that there is limited incidence of modern slavery and human trafficking in the steel industry, especially in the United States and Canada, we remain extra vigilant in our developing countries where modern slavery and human trafficking are more prevalent.

OUR POLICIES ON SLAVERY AND HUMAN TRAFFICKING

We are committed to ensuring that there is no modern slavery or human trafficking in our supply chains or in any part of our business.

In light of the obligation to report on measures to ensure that all parts of our business and supply chain are slavery free, we have established a number of provisions in our Group’s Code of Conduct and in our Group’s Sourcing Policy to wit, in pertinent part:

 

16. Human Rights, Employment and Work Safety

Human Rights: ARVOS respects and supports the protection of internationally proclaimed human rights in line with the United Nations Universal Declaration of Human Rights.

International Labor Organization (ILO): ARVOS supports the principles laid down in the ILO’s Declaration on Fundamental Principles and Rights at Work. It supports the work of the ILO in formulating and enforcing international labor and social standards and creating work in conditions of human dignity as a core requirement for combating poverty.

Freedom of Association: ARVOS acknowledges and promotes the freedom of association and the right of workers to collective bargaining within the bounds of prevailing laws and statutes. ARVOS ensures that union representatives are not discriminated against.

Forced Labor: ARVOS does not tolerate any form of forced or compulsory labor.

Human Trafficking: ARVOS does not tolerate or condone or engage in any form of human trafficking or slavery in any part of its global organization.

Child Labor: ARVOS supports the elimination of exploitative child labor. It employs only workers who are at least 15 years, or if a higher age limit applies in the country, then this age limit is complied with.

ARVOS accepts only a minimum age of 14 years by way of an exception, if a statutory minimum age of 14 years applies in the country in which the work is being performed. ARVOS commits to complying with the Convention concerning the minimum age for admission to employment (Convention No 138 of the International Labour Organization) as well as the Convention concerning the prohibition and immediate action for the elimination of the worst forms of child labor (Convention No 182 of the International Labour Organization). If a national regulation concerning child labor provides for stricter measures, these shall have precedence.

Equal Employment Opportunities: ARVOS observes all regulations in the relevant countries providing for equal employment opportunities and does not tolerate any illegal discriminatory treatment of its Employees, unless national law expressly provides for selection according to specific criteria. It hires, compensates and promotes Employees on the basis of their qualifications and performance.

 

1. LABOR

ARVOS’ Suppliers and Contractors shall in particular comply with the following:

• Elimination of all forms of illegal, forced, or compulsory labor, including direct or indirect use of labor generated by humantrafficking
• Elimination of child labor: Suppliers and Contractors shall not employ persons not having reached the minimum age required for work and shall never support the use of child labor, except as part of an official government approved educational youth training scheme
• Elimination of discrimination of any kind in respect of employment and occupation
• Compliance with applicable laws and regulations related to maximum working hours and minimum days of rest
• Compliance with applicable laws and regulations related to the minimum level of wage
• Respect for freedom of association for their employees, in compliance with applicable laws
• Compliance with applicable laws and regulations related to

Those Sections demonstrate our commitment to acting ethically and with integrity in all our business relationships and to implementing and enforcing effective systems and controls to ensure slavery and human trafficking is not taking place anywhere in our supply chains.

 

DUE DILIGENCE PROCESSES FOR SLAVERY AND HUMAN TRAFFICKING

As part of our initiative to identify and mitigate risk we have nominated the responsible heads of supply chain of the purchasing business units and the heads other purchasing functions, who report to the Group Management who in turn reports to the Group’s Risk Management Function.

As part of our initiative to identify and mitigate risk we have made accountable the responsible LJUNGSTRÖM heads of supply chain to report any issues pertaining to modern slavery and human trafficking to the ARVOS Group Management, who in turn report any issues to the Group’s Risk Management Function for immediate action and remediation.

LJUNGSTRÖM reserves the right to audit our business partners and our supply chains to help:

• Identify and assess potential risk areas in our supply chains.
• Identify inappropriate employment practices.
• Mitigate the risk of slavery and human trafficking occurring in our supply chains.
• Monitor potential risk areas in our supply chains.
• Protect whistle blowers, including a world class anonymous whistle blower procedure.

SUPPLIER ADHERENCE TO OUR VALUES

At LJUNGSTRÖM we have zero tolerance for slavery and human trafficking. To ensure that all those in our supply chain and contractors comply with our values, we operate in line with principles of responsible sourcing, including paying employees at the prevailing minimum wage applicable within their relevant county of operations. Also, we have in place a compliance programme, which is designed to require our suppliers and other business partners to confirm adherence to the principles set forth above or to, at least, demonstrate that they have equivalent principles and policies in place (self-certification).

培训

To ensure a high level of understanding of the risks of modern slavery and human trafficking in our supply chains and our business, we provide training to our staff as part of our overall Compliance Trainings. This includes all employees in a live session conducted at least every other year on adherence to our Code of Conduct.

GOING FORWARD

Going forward, we will continue to be vigilant in this area and intend to increase our training and enforcement efforts in the LUNGSTRÖM division in developing countries where modern slavery and human trafficking have had the highest incidence.

Arvos Ljungstrom, a division of the ARVOS Group

Chattanooga, Tennessee U.S.A.
September 27, 2021
David Breckinridge, President

 

 

 

数据保护声明

 

1. 有关收集个人资料的信息

1.1 我们将在下面提供有关在作为客户、专业公司、供应商、业务合作伙伴或其他签订合同的合作伙伴（如作为申请或雇佣关系的一部分）签订雇佣合同时或在使用我们的网站时收集个人数据的信息。 个人数据属于可追溯到您个人的所有数据，如姓名、地址、电子邮件地址、用户行为。

1.2. 根据欧盟《一般数据保护条例》（GDPR）的第4 (7)条和成员国的其他国家数据保护法以及与数据保护相关的其他法律规定，责任方如下：

Arvos Ljungstrom LLC
LJUNGSTRÖM
3020 Truax Road, PO Box 372
美国纽约州威尔斯维尔，14895
电话: +1 585 593 2700
总裁: David Breckinridge
E-Mail: [email protected]

1.3. 当您通过邮件、电话、电子邮件或联系表单与我们联系时，我们将存储您提供的信息（您的电子邮件地址、姓名和电话号码，如果适用），以便回答您的问题。 对于在这种情况下收集的数据，一旦不再需要保留，我们将删除数据或根据法定保留义务限制对此类数据的处理。 此外，我们只在内容及服务或履行合同的必要范围内收集和使用我们网站的数据主体和用户的个人数据 – 其中包括用于提供正常功能的网站的数据。 通常只有在用户同意后，才能收集和使用我们网站的数据主体和用户的个人数据。 如果出于实际原因，无法事先征得用户同意和/或法律规定允许处理数据，则例外情况将适用。

1.4. 如果我们希望让分包服务提供商来提供我们的服务的个别功能，或者将您的信息用于促销目的，我们随后将详细告知您各自的流程。 在这种情况下，我们还将指出存储期的固定标准。

 

2. 您的权利 – 法律依据

2.1. 对于您的个人数据，您具有以下与我们有关的权利：

• 访问权利
• 纠正或删除的权利
• 限制处理的权利
• 反对处理的权利
• 数据可转让性权利。

2.2. 您还有权向数据保护监督机构投诉我们处理您的个人数据

2.3. 当数据主体同意我们处理个人数据时，GDPR的第6 (1)(b)条提供了个人数据处理的法律依据。当处理履行数据主体为缔约方的合同所需的个人数据时，GDPR的第6 (1)(b)条提供了法律依据。这也适用于实施合同前的措施所需的处理程序。如果为了遵守我们公司所承担的法律义务，需要处理个人数据，则GDPR的第6 (1)(c)条提供了法律依据。如果为保障数据主体或其他自然人的重要利益而必须处理个人数据，则GDPR的第6 (1)(d)条提供了法律依据。如果为保障我们公司或第三方的合法权益，需要进行数据处理，而数据主体的利益、基本权利及自由并不凌驾于上述权益之上，则GDPR的第6 (1)(f)条提供了法律依据。

 

3. 访问我们的网站时收集个人数据

3.1. 如果纯粹出于信息目的使用网站，即如果您没有注册或以其他方式向我们提供信息，我们只会收集您的浏览器传输到我们服务器的个人数据。 如果您希望查看我们的网站，我们会收集以下数据，这些数据在技术上是我们向您展示我们的网站并确保稳定性和安全性所必需的（法律依据 GDPR 第 6 (1) 条第 1 (f) 条）：

• IP地址
• 请求的日期和时间
• 与协调世界时（UTC）的时差
• 请求内容（特定页面）
• 访问状态/ http状态码
• 每次传输的数据量
• 请求来源网站
• 浏览器
• 操作系统及其界面
• 浏览器软件的语言与版本。

3.2. 除上述数据外，当您使用我们的网站时，cookie也会存储在您的计算机上。 Cookie是存放在您的硬盘上并分配给您正在使用的浏览器的小文本文件，它使设置cookie的网站（这里是我们的网站）能够接收特定信息。 Cookie无法运行程序或将病毒传输到您的计算机。 它们有助于使整体互联网体验更友好和更高效。

3.3. 使用cookies：

3.3.1. 本网站使用了以下类型的cookie，其范围和操作如下所述：

• 瞬态Cookies（适用于章节3.3.2.）
• 持久性Cookies（适用于章节3.3.3.）

3.3.2. 关闭浏览器时会自动删除瞬态cookie。 值得注意的是，这些cookie包括会话cookie。 这些cookie用于存储所谓的会话ID，通过会话ID可将浏览器的各种请求分配给公共会话。 在您再次访问我们的网站时，这些cookie可用于识别您的计算机。 退出或关闭浏览器时会删除会话cookie。

3.3.3. 将在指定的时间段之后自动删除持久性cookie，具体取决于cookie。 您可以随时在浏览器的安全设置中删除cookie。

3.3.4. 您可以根据自己的意愿配置浏览器设置，如拒绝接受第三方cookie或所有cookie。 请注意，您可能无法使用本网站的所有功能。

3.4. 一旦不需要使用数据来实现其收集目的，将删除不需要的所有数据。 如果收集数据用于提供网站，则会在相应会话完成时删除这些不需要的数据。

3.5. 如果数据存放在日志文件中，则最迟会在七天后删除这些数据。 也可以进一步存储。 收集用于提供网站的数据和将数据存放在日志中对于网站的运行至关重要。 因此，用户方不会反对。

 

4. 我们网站的其他功能与服务 – 外部服务提供商

4.1. 除了纯粹出于获取信息的目的来使用我们的网站以外，我们还提供您可能有兴趣使用的各种服务。 为此，您通常需要提供我们用于提供服务的其他个人信息，而上述数据处理原则适用于这些信息。

4.2. 在某些情况下，我们通过外部服务提供商来处理您的数据。 这些提供商都经过我们精心挑选和委托，并受我们的指示约束，我们会定期对其进行审核

4.3. 如果我们的服务提供商或合作伙伴的总部位于欧洲经济区（EEA）以外的国家，则我们会向您通告这一情况。

 

5. 反对或撤销处理您的数据

5.1. 如果您已经同意处理您的数据，您可以随时修改或完全撤销对这些数据的处理，无需提供任何理由。 您可以通过邮件、电子邮件、传真或发出同意声明时所使用的形式向我们发送该撤销要求（参见条款1.2. – 责任方）。 除了根据现有的基本关税所产生的邮费或运输费以外，这种情况不会产生额外费用。

一旦您将该撤销要求发送给我们，此类撤销将影响处理您的个人数据的合法性。

5.2. 如果我们通过参考利益平衡来支持处理您的个人数据，则您可以对处理提出异议。 如果我们不要求在处理时履行与您的合同，情况尤其如此。 在以下网站使用情况下，我们将在以下功能描述中另外显示这一情况。 在提出此类反对时，我们会要求您提供我们不应按所使用的方式处理您的个人数据的原因。 如果您提出反对意见以及原因，我们将检查情况，并调整或修改数据处理，或向您说明继续处理的强制性原因。

5.3. 当然，您可以随时反对以营销和数据分析目的来处理您的个人数据。 您可以通过以下联系信息向我们通知您反对将数据用于营销目的: [email protected]

 

6. 使用谷歌分析

6.1. 本网站使用了谷歌分析，这是一种由谷歌公司（“谷歌”）提供的网络分析服务。 谷歌分析使用了所谓的“cookies”，这是存放在您的计算机上的文本文件，用于允许分析您对网站的使用情况。 Cookie生成的有关您对本网站的使用信息通常会被传输到位于美国的谷歌服务器并存储在那里。 但是，由于本网站激活了IP匿名服务，谷歌事先会在欧盟成员国或欧洲经济区（EEA）的另一个协议缔约国缩短您的IP地址。 完整的IP地址只会被发送到位于美国的谷歌服务器，并在特殊情况下在那里缩短。 谷歌将代表本网站的运营商通过使用该信息来评估您对网站的使用情况，以编制网站活动报告，并向网站运营商提供与网站使用和互联网使用相关的其他服务。

6.2. 由谷歌分析作为谷歌分析的一部分所提供的IP地址将不会与其他谷歌数据合并。

6.3. 您可以通过浏览器软件的相应设置来阻止存储cookie，但是，我们在这里指出，在这种情况下，您可能无法完全使用本网站的所有功能。 您还可以通过下载和安装以下链接提供的浏览器插件来阻止谷歌收集和处理访问谷歌网站时通过cookie所产生的数据（包括您的IP地址）：https://tools.google.com/dlpage/gaoptout?hl=en.

6.4. 本网站使用了扩展名为“_anonymizeIp()”的谷歌分析。 因此，IP地址经过缩写处理，可以排除直接个人参考信息。 如果在收集的与您有关的数据中包含个人参考，则会立即将其排除在外，并立即删除个人数据。

6.5. 我们通过谷歌分析来分析并定期改进网站使用体验。 我们可以通过统计数据改进我们的产品，并使其与用户更贴切。 对于将个人数据传输到美国的特殊情况，谷歌已将数据提交给欧盟 – 美国隐私之盾：https://www.privacyshield.gov/EU-US-Framework。使用谷歌分析的法律依据为GDPR的第6 (1)条第1 (f)款。

6.6. 有关第三方提供商的信息：

Google Dublin, Google Ireland Ltd., Gordon House, Barrow Street, Dublin 4, Ireland, 传真：+353（1）436 1001。 服务条款：https://www.google.com/analytics/terms/gb.html，数据保护概述： https://www.google.com/intl/en/analytics/learn/privacy.html

7. 谷歌地图集成

7.1. 我们在网站上使用了谷歌地图。 这使我们能够直接在网站上向您呈现交互式地图，并使您能够方便地使用地图功能。

7.2. 在访问网站时，谷歌会收到您访问我们网站的相应子页面的信息。 此外，将传送本声明第3条的所述数据。 无论谷歌是否提供供您登录的帐户，或者您是否有用户帐户，都会执行该操作。 如果您通过谷歌帐户登录，则您的数据将会直接分配到您的帐户。 如果您不希望这些数据与您的谷歌配置文件相关联，则必须在激活按钮前退出登录。 谷歌会将您的数据存放为使用配置文件，并将其用于广告、市场调研和/或量身定制的网站设计。 在有些情况下，此类评估（甚至是对于未登录的用户）特别用于提供基于需求的广告，以及用于向社交网络的其他用户通知您在我们网站上的活动。 您有权反对生成这些用户配置文件，但您必须通过与谷歌联系来执行该操作。

有关数据收集的目的和范围以及插件提供商对数据的处理的更多信息，请参阅提供商的隐私政策。您可以在以下网址中找到有关您的权利和隐私保护设置的更多信息：https://www.google.de/intl/en/policies/privacy。谷歌也会在美国处理个人信息，并受欧盟 – 美国隐私之盾约束：https://www.privacyshield.gov/EU-US-Framework。 有关插件提供商收集数据的目的和范围及其处理的更多信息，请参阅提供商的隐私政策。 在那里，您还可以找到有关保护您隐私的权利和设置选项的更多信息：https://www.google.de/intl/en/policies/privacy。谷歌还在美国处理个人信息，并受欧盟-美国隐私盾的约束， https://www.privacyshield.gov/EU-US-Framework

 

8. YOUTUBE视频的集成

8.1. 我们已将YouTube列入到我们的在线服务中，这些视频存储在https://www.youtube.com中，可通过我们的网站直接访问。 播放视频时会传输用户数据。 我们对该数据传输没有影响。

8.2. 在访问网站时，YouTube会收到您访问我们网站的相应子页面的信息。 此外，将传送本声明第3条的所述数据。 无论YouTube是否提供供您登录的帐户，或者您是否有用户帐户，都会执行该操作。 如果您通过谷歌帐户登录，则您的数据将会直接分配到您的帐户。 如果您不希望与您的YouTube配置文件相关联，则必须在激活按钮前退出登录。 YouTube会将您的数据存放为使用配置文件，并将其用于广告、市场调研和/或量身定制的网站设计。 在有些情况下，此类评估（甚至是对于未登录的用户）特别用于提供基于需求的广告，以及用于向社交网络的其他用户通知您在我们网站上的活动。 您有权反对生成这些用户配置文件，但您必须通过将反对意见提交给YouTube来执行该操作。

8.3. 有关收集您的数据的目的和范围以及通过YouTube来处理这些数据的更多信息，请阅读隐私政策。 您也可以在以下网址中找到有关您的权利和隐私保护设置的更多信息：https://www.google.de/intl/en/policies/privacy。谷歌也会在美国处理个人信息，并受欧盟 – 美国隐私之盾约束：https://www.privacyshield.gov/EU-US-Framework.

 

9. 通过联系表单与电子邮件联系

9.1. 我们的网页上有电子表单，可用于以电子形式取得联系。 如果您使用该选项，我们将传输并保存您所提供的数据。 该数据包括：

 

必填字段：

• 姓名
• 电子邮件地址

可选：

• 公司名称
• 电话号码
• 询问

 

发送消息时，还将保存以下数据：

• IP地址
• 请求发送日期与时间

对于数据处理，我们会在发送过程的范围内征得您同意，并向您提交数据保护声明。 或者，您可以通过提供的电子邮件地址与我们联系。 在这种情况下，将保存通过电子邮件传送的用户个人数据。 在这方面，没有将数据转发给第三方。 该数据仅用于处理会话。

9.2.在用户同意的情况下，数据处理的法律依据由 Art. 6 (1)(a) GDPR。作为电子邮件的一部分传输的数据处理的法律依据由 Art 提供。 6 (1)(f) GDPR。如果电子邮件/邮件联系的目的是履行合同，Art。 6 (1)(b) GDPR 为处理提供了额外的法律依据。

9.3 输入屏幕上的个人数据处理仅用于联系目的。 在通过电子邮件建立联系的情况下，还包括处理数据所需的正当利益。 在发送过程中处理的其他个人数据用于防止滥用联系表并确保我们 IT 系统的安全。

9.4. 一旦不需要使用数据来实现其收集目的，将删除不需要的数据。 如果通过电子邮件传输联系表单输入屏幕中的个人数据，而对用户的相应会话已结束时，则是这种情况。 如果情况表明相关主旨已最后澄清，则说明会话已经结束。

 

10. 外部链接

如果您使用我们的互联网页面范围内所提供的外部链接，则该数据保护声明不会扩展到这些链接。 我们对通过链接提供的外部内容不承担任何责任，也不会将其内容作为我们的内容采用。

如果我们提供了链接，我们保证在设置链接时，未在链接的互联网页面上发现违反适用法律的行为。 但是，我们对其他提供商遵守数据保护和安全法规没有任何影响。 因此，也请了解其他提供商网站上所提供的数据保护声明。

 

 

 

WHISTLEBLOWING POLICY – Non-EU/Australia

Arvos Bidco S.à r.l. and their respective subsidiaries, (collectively, the “Company” or “ARVOS” or “LJUNGSTRÖM”) embrace and adopt this revised ARVOS/LJUNGSTRÖM Whistleblowing Policy (the “Policy”) for its employees who do not work in European countries or Australia, which provides the means for employees and business partners (e.g., vendors, suppliers, and customers) to come forward with credible and substantiated information about illegal conduct, violations of ARVOS/ LJUNGSTRÖM policies, or violations of ARVOS/LJUNGSTRÖM contracts, all for the purpose of creating transparency and a responsible corporate environment. In doing so, this Policy also provides that the Company will protect any individual from retaliation, if they have a reasonable basis and are reporting in good faith.

1. POLICY OBJECTIVE

The Company encourages ARVOS/LJUNGSTRÖM employees to report, as soon as possible, their concerns related to any illegal conduct they can reasonably substantiate or prove, serious violations of ARVOS/LJUNGSTRÖM policies (especially its compliance policies), or major violations of ARVOS/ LJUNGSTRÖM contracts harmful to ARVOS/ LJUNGSTRÖM or its customers. All reported concerns will be taken seriously, will be tracked individually, treated confidentially, investigated appropriately and conclusions will be shared with top management or the Board. The Company encourages as much substantiation, corroboration, evidence or supporting information as reasonably available to enable the Company to conduct a thorough investigation. In all instances, the anonymity of each reporting individual will be respected, and no unfair retaliation will be permitted.

2. BACKGROUND

This Policy is an essential element necessary to foster a work environment of openness, accountability, trust, and productivity. Protecting those who make reports under this Policy from unfair treatment, including retaliation, discrimination, or disadvantage, emboldens employees to report wrongdoing and increases the likelihood that wrongdoing is reported, uncovered, and brought to an end. For these reasons, persons in possession of such substantiated information are requested to report it.

The Company is committed to dealing responsibly and professionally with all genuine concerns. We expect all ARVOS/LJUNGSTRÖM employees to maintain high standards of behavior in accordance with the ARVOS/LJUNGSTRÖM values. Further, the Company abides by its Code of Conduct and all other Compliance Policies in its administration of this Policy and will not tolerate abuse of this Policy by reporting untrue or knowingly inaccurate which information.

3. WHAT IS ENCOURAGED BY THIS POLICY?

The Policy goals are met when an individual passes along information about a substantiated wrongdoing. For a matter to meet this goal, an individual who makes a disclosure must reasonably believe two things:

3.1 The first is that the reporting individual reasonably believes that the disclosure shows past, present, or likely future wrongdoing, which properly falls within one or more of the following categories:

• • Criminal offense
  • Failure to comply with the law
  • Endangering health and safety
  • Damage to the environment
  • Failure to comply with ARVOS/LJUNGSTRÖM code of conduct and corporate policies, including anti-corruption, anti-trust, anti-bribery, International Sanctions Policy, the use of data, and other policies identified by the Company
  • Covering up the wrongdoing in any of the above categories

  3.2 The second is that they are acting in public interest.

  Any other issues which are not covered by the categories above should be reported through the appropriate internal channel (e.g., HR, Compliance, Line Manager).

  4. WHEN TO REPORT A CONCERN

  Any person, including ARVOS/LJUNGSTRÖM employees, who have a reasonable belief of information that comprises such information described in the preceding paragraph, are requested to report that information. The Company encourages participation in the spirit of transparency and high standards of corporate conduct and ARVOS/ LJUNGSTRÖM values.

  However, the Policy is NOT designed to be a forum where disgruntled employees voice anonymously their criticism of management or their supervisor and such is unacceptable. Moreover, Whistleblowers should understand that false information or accusations submitted may result in decisions that affect other people’s lives and careers, and such malicious use of the Whistleblowing Policy is unacceptable. Therefore, honest whistleblowers should only submit information that they have a good reason to believe is true (see Section 3).

  Under no circumstances will there be any reprisal against anyone who reports information under the Policy in good faith. However, if after reporting the information the person reporting learns that the information provided is incorrect or has been innocently misinterpreted, please immediately report this in order to avoid an unnecessary waste of Company resources in investigating and more importantly to prevent damage to your colleague’s good reputation and career. Any malicious acts or attempts to cause damage to your colleague’s reputation and career could lead to civil and/or criminal liability in some jurisdictions. Note, acting maliciously or abusing the Policy never will be tolerated and could result in disciplinary measures up to and including dismissal in appropriate cases.

  5. HOW TO REPORT A CONCERN

  There are three ways that someone can report a good faith concern:

  • In person: You can speak with your line manager or another manager of trust about your concerns or with one of the following Compliance Officers who will not disclose your identity unless you agree:

  – Oliver Weingarth, Am Taubenfeld 21/1, 69123 Heidelberg, Germany,

  – Steve List, 2034 Hamilton Place Boulevard, Suite 220, Chattanooga, TN 37421, U.S.

  – Peter Bi, No 1515, Dazhong Mansion, West Zhongshan Road, Shanghai, China 200235

  – Katsuhiro Kurita, 7-1-18 Onoe-dori, Chuo-ku, Kobe City, Hyogo, Japan

  • Online: Visit the ARVOS Integrity Hotline at the below listed links and choose in which language you wish to complete the form:
  • for ARVOS on a server in a protected high security Access to this platform is granted to the information provider via the ARVOS website and the Compliance Section (icon “Reporting of Compliance Matters”):
    • • German
      • English
      • Chinese (SC)
      • Japanese
      • Czech
      • Polish

  You do not need to disclose your identity and can remain anonymous. In contrast to an e‐mail, it is not possible to trace your identity. You can create a mailbox, which is protected by a password created by you and to which only you have access. However, in order to facilitate a more fulsome investigation of the information reported, your identity would be appreciated. Note, the word “anonymous” is not equal to any of your reports using other person’s identity without having his/her prior authorization or even knowledge. If it has been found that you are pretending to be someone else or using another person’s identity, we reserve the right not to investigate your report. Furthermore, we will inform the actual person of your misuse of their identity and such behavior could lead to civil and/or criminal liability in some jurisdictions.

  If you wish to remain anonymous, the report will be received by an external contact person (“The Ombudsman”), who is the only other person who has access to the data on the Company’s account which is located on a highly secured server. Even the system administrator of ARVOS/LJUNGSTRÖM does not have access to the data. The ARVOS Ombudsman is the following German external Law Firm:

  Dr. Buchert & Partner Rechtsanwälte – Partnerschaftsgesellschaft mbB

  Bleidenstraße 1, 60311 Frankfurt am Main, Germany

  Phone: +49(0)69 710 33 33 0, Fax: +49 (0)69 710 34 44 4

  E‐Mail: kanzlei@dr‐buchert.de.

  Internet: www.dr‐buchert.de

  Dr. Buchert & Partner Rechtsanwälte has an extensive experience in dealing with compliance issues and operate independently without any ARVOS/LJUNGSTRÖM instructions on how to deal with a reported non‐compliance issue.

   

  The Ombudsman has the task to evaluate and, if necessary, to clarify the reported issue and to provide her assessment of the issue to the ARVOS/LJUNGSTRÖM Compliance Officers.

  • Call: Dial the above telephone number of The Ombudsman to report your concerns or call or write an E-Mail to one of the Compliance Officers:

  – Oliver Weingarth: E-Mail, [email protected]; Phone, +49 6221 753 2108

  – Steve List: E-Mail, [email protected]; Phone, +1 630 750 8000

  – Peter Bi: E-Mail, [email protected]; Phone: +86 139 1899 8885

  – Katsuhiro Kurita: E-Mail, [email protected]; Phone : +81 90 5129 6186

  6. INFORMATION NEEDED TO RAISE A CONCERN
     • When raising a concern under this procedure, you should provide at least the following information:
  • The nature of the concern and its key elements;
  • When it happened;
  • Who was involved and
  • The reason you believe it to be true (e., the substantiation/corroboration/evidence).
    • In addition to details of the concern, an employee should try to provide the following information:
  • The background behind the concern;
  • Whether the concern was already raised with anyone and the respective response;
  • Any other relevant dates; and
  • If applicable, any personal interests must be declared from the outset.
    • It is important that matters are not investigated by employees themselves. The employee should have a reasonable belief that wrongdoing, including breaches of the core values in the Company policies, laws or regulations, has occurred or is likely to occur.
  7. WHAT HAPPENS NEXT?
  • Within seven (7) days of the alert being made via our Integrity Hotline (either by disclosing identity and contact details or by having created an anonymous mailbox) a response will be sent to acknowledge the receipt of the concerns raised. Those raising a concern anonymously without creating a mailbox are encouraged to follow up by using the same way they have used when making the first contact.
  • The case will be reviewed internally and assigned for investigation. The person assigned the case will closely cooperate with one of the responsible Compliance Officers and the latter (or the Ombudsman) will maintain contact with the person making the report to help ensure clear communication about the progress of the case.
  • Once the investigation is concluded, the person who made the report will receive an explanation about how the concern has been addressed. If there are legal constraints, e.g., in a criminal investigation, the reporting person will receive sufficient information in order to see that the concern has been dealt with. If no further action is proposed, the Compliance Officer (or the Ombudsman) will inform the reporting person about reasons for this in writing.
  • If the investigation is not completed within 3 months or in the time originally estimated for the investigation, the Compliance Officer (or the Ombudsman) will provide regular updates to the reporting person.
  • Throughout any investigation, employees who make a report under the Policy are expected to continue their duties/role as usual, unless deemed inappropriate. An employee should not suffer any unfair or negative treatment as a result of raising a concern. Any such treatment should be raised and discussed with the responsible Compliance Officer.

  Effective February 1, 2022