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Whistleblower Protection

Reporting Procedure | Whistleblower Protection

Welcome to MOGUNTIA

Dear Whistleblower,

The internal reporting procedure under the German Whistleblower Protection Act (Hinweisgeberschutzgesetz – HinSchG) and the Austrian Whistleblower Protection Act (HinweisgeberInnenschutzgesetz) (collectively referred to as the “HinSchG” or the “Act”) is an important element in fostering a transparent and ethical corporate culture.

It enables employees and other eligible persons to confidentially report potential violations of certain laws, regulations, or internal policies without fear of retaliation.

The procedure is designed to be clear and easily accessible to ensure that you can submit concerns or information securely and confidentially. Below you will find information on:

  • Who may act as a whistleblower

  • What can be reported

  • How a report can be submitted

  • Who receives your report

  • How you will be informed about receipt of your report

  • How your personal data is protected

  • How confidentiality is ensured

  • How you are protected

  • How your report will be handled

1. Who May Be a Whistleblower

The group of persons protected under the HinSchG is broad. It includes all natural persons who, in connection with their professional activities, have obtained information about violations and report them (“reporting persons”), in particular:

  • Employees (including former employees), job applicants, interns, and temporary agency workers

  • Self-employed persons, freelancers, contractors, subcontractors, suppliers and their employees

  • Shareholders and members of management or supervisory bodies

2. What May Be Reported

2.1 Protected Reports

You are protected under the HinSchG if you report violations concerning:

  • Criminal offences under German law

  • Administrative offences (regulatory offences) where the violated provision serves to protect life, limb, health, or the rights of employees or their representative bodies (e.g. occupational health and safety regulations, violations of minimum wage legislation, or information and disclosure obligations towards works councils)

  • Violations of federal or state laws implementing European regulations

  • Violations of directly applicable EU legal acts in various areas, including but not limited to:

    • Anti-money laundering and counter-terrorism financing

    • Product safety

    • Transport safety

    • Transport of dangerous goods

    • Environmental protection and radiation protection

    • Food and feed safety

    • Pharmaceutical and medical device safety and quality standards

    • Consumer protection

    • Data protection and information security

    • Public procurement law

    • Accounting requirements for corporations

    • Competition law

2.2 Professional Connection Requirement

A report must relate to the company or another entity with which the reporting person has had or currently has professional contact.

3. Reporting Channels

3.1. Internal Reporting Channels

The following internal reporting channels are available:

a) Written Report

At the end of this document, you will find a link titled “Submit a Report.” By clicking the link, a reporting form will open. After completing the mandatory fields and entering your report, you may submit it to the responsible reporting office by clicking “Submit Report Now.” You will also be required to consent to the data protection provisions (see Section 6).

b) Oral Report

A telephone reporting hotline is available: NUMBER.
Outside regular business hours, an answering system will allow you to leave your report and the required information as prompted by the automated message.

c) Personal Meeting

Upon your express request, you may discuss your report in person within a reasonable timeframe or, with your consent, via video conference. If you wish to do so, please first use the written reporting channel described above and indicate your request for a personal meeting or video conference in the text field.

3.2 External Rreporting Channels

In addition to internal reporting offices, public authorities have established external reporting offices.

In Germany, a central external reporting office has been established at the Bundesamt für Justiz.
In Austria, the competent authority is the Bundesamt zur Korruptionsprävention und Korruptionsbekämpfung.

Further specialized external reporting offices in Germany include:

  • Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)

  • Bundeskartellamt

Information on federal external reporting procedures in Germany is available at:
www.bundesjustizamt.de

German federal states may establish their own external reporting offices for matters concerning state and municipal administrations.

Additionally, reporting channels exist at EU level, including those operated by:

  • The European Commission

  • The European Anti-Fraud Office (OLAF)

  • The European Maritime Safety Agency (EMSA)

  • The European Union Aviation Safety Agency (EASA)

  • The European Securities and Markets Authority (ESMA)

  • The European Medicines Agency (EMA)

As a whistleblower, you are generally free to choose whether to contact an internal reporting office or an external authority. However, the Act encourages the use of internal reporting channels where appropriate.

Please note that reports to the public (e.g. via press or social media) are only protected under strict legal conditions, particularly if a prior external report was unsuccessful or if there is an imminent or manifest danger to the public interest.

4. Reporting Office Officer

If you use the internal reporting channels, your report will be received by our long-standing General Counsel and Data Protection Officer, Mr. Ass. iur. Milan Trúsik. As a qualified legal professional, he possesses the required expertise and integrity necessary for this role.

5. Acknowledgment of Receipt

You will receive confirmation of receipt of your internal report in text form within seven days.

6. Data Protection

Personal data will be processed in the course of handling your report. The internal reporting system has been implemented in full compliance with applicable data protection requirements.

All personal data are processed in accordance with the EU General Data Protection Regulation (GDPR) and applicable national data protection laws.

When clicking “Submit Report Now,” you will be asked to consent to the applicable data protection provisions. The privacy policy is available at:

www.moguntia.com/privacy-policy/

7. Confidentiality

7.1 Confidentiality Obligation

A key element of the procedure is strict confidentiality. Internal reporting channels are designed to protect:

  • Your identity

  • The identity of persons concerned by the report

  • The identity of any other persons mentioned in the report

This information is accessible only to the Reporting Office Officer responsible for receiving reports and taking follow-up actions. Disclosure to others is permitted only with the explicit consent of the affected person.

7.2 Exceptions

Information about identities may only be disclosed in exceptional cases, such as in criminal proceedings upon request by law enforcement authorities.

7.3 No Obligation to Accept Anonymous Reports

Confidentiality does not mean anonymity. The Act does not require internal channels to allow anonymous reporting. We have chosen not to provide anonymous reporting. Therefore, you will be required to provide your name and contact details when submitting a report.

8. Protection of Whistleblowers

8.1 Protection Against Retaliation

The HinSchG prohibits retaliation, including threats or attempts thereof. Prohibited actions include, in particular:

  • Suspension or dismissal

  • Demotion or denial of promotion

  • Coercion, intimidation, harassment, or discrimination

  • Non-renewal of fixed-term contracts

  • Reputational damage

  • Negative performance assessments

The Act provides for a reversal of the burden of proof in favor of the reporting person. If a disadvantage occurs after a report has been made, the company must demonstrate that the measure was not connected to the report.

Whistleblowers may be entitled to compensation for damages resulting from prohibited retaliation. However, compensation for non-material damages (e.g. pain and suffering) is excluded.

8.2 No Protection for False Reports

Protection does not apply to reports that are knowingly false or made with gross negligence. In such cases, the reporting person may be liable for damages caused.

9. Handling of Reports and Follow-Up Measures

After submission and acknowledgment of receipt, internal investigations will be initiated and appropriate remedial measures assessed.

You will be informed within three months after acknowledgment of receipt about:

  • Planned or taken follow-up measures and the reasons for them; or

  • Closure of the procedure due to lack of evidence or other reasons.

All incoming reports are documented. Documentation will be deleted three years after conclusion of the procedure, unless longer retention is required and proportionate under the HinSchG or other applicable legal provisions.