ALTANA

Reporting compliance infringements on the Compliance Hotline

If you wish to use the ALTANA Compliance Hotline to report illegal conduct on the part of ALTANA, ALTANA employees or an ALTANA supplier, there are one or two things to keep in mind. The information below seeks to provide you with answers to such questions as “What can I report?”, “How do I report a compliance infringement”, and “What happens to my report?”

  1. What can I report using the ALTANA Compliance Hotline?

The Compliance Hotline is available for reporting illegal conduct that might be particularly damaging for the ALTANA Group and its reputation. It covers illegal conduct in the areas of:

  • Corruption, accepting an undue advantage, and granting an undue advantage
  • Antitrust violations
  • Money laundering
  • Manipulation of accounting
  • Environmental protection

  1. How do I report a compliance infringement, and what do I need to bear in mind when doing so?

When reporting an infringement, you should remember that it is especially important that you provide as exact and detailed as possible a description of the incident along with any additional documentation, if we are to properly investigate and clear up the compliance infringement.

To allow us to get back to you with any queries we might have, it would be sensible if you left us your name and contact details. This information will be treated in strictest confidence, and the Chief Compliance Officer will only pass on the information about you to the Management Board and the Audit Committee of the Supervisory Board of ALTANA AG.

You can also make your report anonymously. In our experience, however, this tends to hamper research, precisely since it rules out the possibility of us getting back to you with queries.

Your report on illegal conduct should include the following information:

  • The name of the company or companies at which the compliance infringement occurred
  • As detailed as possible a description of the facts of the compliance infringement
  • Any evidence, documents or files supporting the compliance infringement
  • Whether we might contact you, if we have any further queries and, if so, how
  • Whether you wish your report to be treated in confidence

  1. To whom do I report the compliance infringement on the ALTANA Compliance Hotline?

The report will go directly to the Chief Compliance Officer at ALTANA AG. Please use the following address and telephone number to make your report:

ALTANA AG
Chief Compliance Officer
Abelstrasse 43
46483 Wesel
Germany
Tel +49-(0)281-670-10540
Fax +49-(0)281-670-60500
compliance-hotline@remove-this.altana.remove-this-also.com

  1. What happens to my report?

After receiving a report about a compliance infringement, the Chief Compliance Officer will first check, together with the Head of Internal Audit at ALTANA AG, whether the compliance infringement really does involve illegal conduct in an area for which the Compliance Hotline is provided. If this is not the case, the person making the report will be notified, provided the report is not anonymous. If a situation is involved in one of the areas covered by the ALTANA Compliance Hotline, the Chief Compliance Officer and the Head of Internal Audit will pass on the case to the Management Board of ALTANA. Together with at least one member of the Management Board, the next course of action will then be discussed and decided on. In this instance, too, the person making the report will be notified, provided the report is not anonymous.

If the compliance infringement reported on the ALTANA Compliance Hotline involves the manipulation of accounting data, the Head of the Audit Committee of the Supervisory Board of ALTANA will automatically be informed about the report. Should an internal investigation – organized according to the individual case – confirm the information received, corrective action will be taken to remedy the compliance infringement. In addition, further measures may be initiated appropriate to the circumstances.