Complaints under the Supply Chain Due Diligence Act
We have set up an internal complaints procedure in accordance with the Supply Chain Due Diligence Act (LkSG), which can be used to report human rights and environmental risks or violations.
Rules of procedure for the complaints procedure pursuant to Section 8 LkSG
]init[ AG für digitale Kommunikation (hereinafter: ]init[) assumes responsibility for respecting and strengthening internationally recognised human rights within its own business area and its supply chains. This also includes appropriate risk-based management.
To fulfil its human rights and environmental due diligence obligations, ]init[ implements the requirements of the LkSG. An essential component of these due diligence obligations is the establishment of an effective complaint’s procedure through which information on human rights and environmental risks or complaints about possible violations of human rights or environmental obligations can be submitted.
These Rules of Procedure provide information on the main features of the complaint’s procedure, the access to the procedure and its availability as well as the procedure and responsibilities within the framework of the complaint’s procedure.
The complaints procedure serves ]init[ as a useful early warning system that makes it possible to check information and promote compliance.
We are constantly developing the complaints procedure, in particular to ensure appropriate access. To this end, we encourage you to point out possible improvements to accessibility or the procedure.
Why a complaints procedure?
The complaints procedure is intended to provide information on human rights and environmental risks and on violations of human rights or environmental obligations (see Section 2 LkSG) that have been caused by the economic activities of a company in its own business area or by a supplier.
The complaints procedure is intended to offer every person the opportunity to submit relevant information or complaints relating to and against ]init[ in order to respond to
- human rights and environmental risks or
- Violations of human rights and environmental obligations to draw attention to this.
Who can submit complaints?
Anyone can submit information and complaints. This can be done from domestic or abroad.
How are complaining persons protected?
The LkSG obliges to maintain the confidentiality of identity and to provide effective protection against discrimination or penalisation on the basis of a complaint.
For this reason, the complaints office at ]init[ treats all information provided confidentially in accordance with the legal requirements and documents it in accordance with the legal requirements.
Only a small group of selected employees work for our internal complaint office. They are impartial, independent and not bound by instructions in the fulfilment of their duties and are obliged to maintain confidentiality and comply with data protection regulations.
The identity of a complaining person is therefore only known to the persons who are responsible for receiving the information or for taking follow-up measures, e.g. initiating a review.
We also make it possible to submit anonymous complaints, even if this is not required by law.
Even which complaining persons who are known by name do not have to fear reprisals or discrimination after submitting a complaint; these are not tolerated at ]init[.
What can be reported as a complaint?
Any indication of human rights and environmental risks and any suspicion of a breach of human rights and environmental obligations arising from the business activities of ]init[ in its own business area or within its supply chain can be reported (cf. Sections 2, 8, 9 LkSG).
How is the internal complaint system at ]init[ organised?
In order to make our internal complaint system as simple and trustworthy as possible for complaining persons, we have commissioned an external and independent law firm to receive and check the complaints in advance.
All employees and external persons can submit complaints via the following channels:
Complaint via the hotline
You can reach the complaint hotline by dialling +49 30 23 59 87 057. In this respect, appropriate accessibility is guaranteed on Monday to Friday between 9 a.m. and 6 p.m
Message via e-mail
Messages can also be sent by e-mail to the following e-mail address, which is received directly by the aforementioned external law firm: meldung.init@meldemanagement.de.
Employees can also use our internal complaints management system.
Although there is no legal obligation to do so, we also offer the option of anonymous communication between complaining persons and the complaints office in our internal reporting channel in order to reduce inhibitions and support our understanding of compliance.
]init[ processes every complaint submitted and initiates investigations if this is possible and necessary.
Regardless of which reporting channel the person providing the information chooses, we treat all information confidentially in accordance with the legal requirements.
How is the complaints procedure actually carried out?
The receipt of a complaint by our external law firm will be documented by the law firm; in the case of a non-anonymous complaint, the person submitting the complaint will receive a confirmation of receipt within one week.
If the identity of the complaining person is known, the law firm will contact the complaining person to discuss the facts of the case and, if necessary, request further information. The complaining person also has the opportunity to explain his or her expectations with regard to possible preventive and remedial measures.
After an initial review of the applicability of the LkSG and the plausibility of the notification has been carried out by the external law firm, the facts underlying the notification and the result of the plausibility check are forwarded to the internal complaints office set up at ]init[.
If the complaining person has given their consent to the external law firm that their identity may be transmitted to the complaint office, the identity data will also be transmitted.
The complaints office will then check whether there is sufficient information to examine and investigate the reported risk or suspected violation. If the identity of the complaining person is known to the complaint office, it will contact the complaining person if necessary in order to discuss the facts of the case and, if necessary, request further information. The complaining person also has the opportunity to outline their expectations with regard to possible preventative and remedial measures. If the identity is only known to the external law firm, contact will be made from there. Contact cannot be made in the case of completely anonymous complaints.
If neither sufficient information is available nor is it possible to contact the complaining person, the complaints procedure will be concluded on the basis of the information available.
Otherwise, the complaints office will investigate the complaint facts comprehensively and forward them to the responsible office within the company for further investigation, while maintaining confidentiality and the protection of personal data.
If the complaints office considers the reported risk or violation of human rights or environmental obligations to be given, a proposal for further action is drawn up, in particular for taking preventive and remedial measures. Where possible and appropriate, this is also done with the involvement of the person making the complaint.
Necessary measures are then defined and followed up internally.
The complaining person will be informed of the conclusion of the procedure as far as possible.
The processing time is highly case-dependent and can therefore take anywhere from a few days or weeks to several months. However, ]init[ endeavours to expedite the investigation and complete it promptly.
How is your personal data protected?
Without your consent, your identity will not be disclosed to the persons authorised to process the complaints. However, depending on the information provided, it may not be possible to rule out the possibility of drawing conclusions about the person providing the information.
We process personal data as part of the complaint system solely for the purpose of investigating the complaint information, preventing the reported risk in the future or ending any violation of human rights and environmental obligations.
The legal basis for data processing is the fulfilment of a legal obligation (Art. 6 para. 1 lit. c GDPR in conjunction with Section 8 LkSG), as we are legally obliged to operate a complaints procedure. In addition, data processing is necessary to safeguard our legitimate interests (Art. 6 para. 1 lit. f GDPR), as we have a great interest in the early detection, clarification and prevention of violations of the law and misconduct.
If you have given your consent, your personal data will be processed on the basis of Art. 6 para. 1 lit. a GDPR.
]init[ ensures that your personal data is only accessible to a limited number of authorised persons who need to know this data in order to process the complaints and investigate the reported information. Every person who has access to the data is obliged to maintain confidentiality.
Under certain circumstances, there may be a legal obligation to pass on information about you to other bodies (e.g. authorities or courts).
Further data protection information on our complaint system can be found below.
Data protection information on the complaints system of ]init[ AG
Here you can find out how we handle your personal data when you use our complaints system.
I. Receiving complaints via the external hotline
In order to make our internal complaints system as simple and trustworthy as possible for complaining persons, we have commissioned the external and independent law firm Orth Kluth Rechtsanwälte Partnerschaftsgesellschaft mit beschränkter Berufshaftung (mbB) - hereinafter referred to as "Orth Kluth" - to receive and review complaints in advance.
Orth Kluth carries out the receipt and preliminary examination of complaints on its own responsibility and not within the framework of commissioned processing.
In this respect, the following data protection information from Orth Kluth applies to the receipt of complaints via the external hotline:
Orth Kluth Rechtsanwälte accepts complaints for the internal complaints office of ]init[ AG, which can be submitted as follows:
- under the telephone number: +49 30 23 59 87 057 or
- by e-mail - addressed to the following e-mail address: meldung.init@meldemanagement.de or
- during a personal meeting
- all communication channels are hereinafter referred to as the "hotline".
This hotline can be used to submit complaints with regard to human rights or environmental risks within the scope of the German law on corporate due diligence to prevent human rights violations in supply chains, which have arisen as a result of ]init[ AG´s business activities in its own business area or along the supply chain. The same applies to violations of human rights-related or environmental obligations.
Complaining persons can make use of the hotline without being obliged to provide their name or other personal information that could identify them to the persons authorised by ]init[ AG to process complaints. However, depending on the information provided, it may not be possible to rule out the possibility of drawing conclusions about the person providing the information.
In the following, we provide information on data processing within the scope of the hotline:
Responsible body (Controller)
Responsible for data processing is:
Orth Kluth Rechtsanwälte Partnerschaftsgesellschaft mbB
Kaistraße 6, 40221 Düsseldorf
Telephone: +49 211 60035-0
Website: www.orthkluth.com
Data Protection Officer
You can reach Orth Kluth's data protection officer at the following contact details
To the data protection officer
c/o Orth Kluth Rechtsanwälte Partnerschaftsgesellschaft mbB
Kaistraße 6, 40221 Düsseldorf
E-Mail: datenschutzbeauftragter@orthkluth.com
Purpose & scope of data processing
As part of the hotline, Orth Kluth processes data provided by complaining persons exclusively for the purpose of receiving, legally evaluating, documenting and forwarding the information to the ]init[ AG office responsible for processing the complaints (hereinafter: "complaints office"). The data processing by Orth Kluth is carried out in connection with the legal obligation and to safeguard the legitimate interest of ]init[ AG in this regard to create the possibility of reporting complaints through the hotline in accordance with the Supply Chain Due Diligence Act (LkSG) (Art. 6 para. 1 lit. f GDPR). Insofar as data processing is carried out on the basis of this legitimate interest, data subjects generally have the right to object to the processing of their personal data (Art. 21 GDPR).
The identity of complaining persons is treated confidentially. The identity of a complaining person will only be disclosed with their express consent. This also applies to the telephone number or e-mail address, if these are provided to us. Under certain circumstances, however, there may be legal obligations to disclose information about the identity of the complaining person to other bodies (e.g. authorities/courts).
Orth Kluth only stores data for the duration of the processing of a complaint. All data will then be completely deleted, unless statutory retention obligations apply.
If complaining persons wish to be informed by Orth Kluth about the respective processing status, they must provide contact data (e-mail address and/or telephone number). Orth Kluth processes this data exclusively in connection with contacting the complaining person for the purpose of informing him/her of the processing status on the basis of the complaining person's consent (Art. 6 para. 1 lit. a GDPR). The consent given can be revoked at any time with effect for the future. The lawfulness of data processing carried out until the consent is revoked remains unaffected. In this context, Orth Kluth stores data for the duration until the complaining person has been informed about the processing status, unless the complaining person has previously revoked his/her consent. In addition, Orth Kluth only stores the declaration of consent as such for the purpose of evidence.
If complaining persons wish Orth Kluth to forward their contact data to the designated unit so that this unit can inform the complaining person about the respective processing status, they must provide contact data (e-mail address and/or telephone number). Orth Kluth processes this data exclusively for the purpose of forwarding it to the designated unit on the basis of the complaining person's consent (Art. 6 para. 1 lit. a GDPR). Consent given can be revoked at any time with effect for the future. The lawfulness of data processing carried out until consent is revoked remains unaffected. In this context, Orth Kluth stores data until the completion of the transmission of contact data and receiving of an acknowledgement of receipt by the designated unit, unless consent has been revoked by the complaining person beforehand. In addition, Orth Kluth only stores the declaration of consent as such for the purpose of evidence.
Rights of data subjects
Data subjects generally have a right of access to information about data processing, rectification or erasure or to restriction of data processing or a right of objection as well as a right to data portability. Data subjects also have the right to lodge a complaint with a data protection supervisory authority.
II. Processing of complaints and investigation of reported violations by ]init[ AG
The further review of the complaints submitted by Orth Kluth to ]init[ and the internal investigations are carried out by the internal complaints office set up at ]init[ AG. In this respect, the following data protection information of ]init[ AG applies.
Responsible Body (Controller)
Responsible for data processing is the
]init[ AG für digitale Kommunikation
Köpenicker Str. 9
10997 Berlin
Phone: +49 30 97006 200
Fax: + 49 30 97006 135
www.init.de
Data Protection Officer
You can reach the data protection officer of ]init[ AG at the following contact details:
We attach great importance to the protection of your personal data and collect, process and use your personal data exclusively in accordance with the principles described below and in compliance with the statutory data protection regulations.
Purpose of data processing
The purpose of the complaint system and the associated data processing is to review and process your complaint, the associated investigations against the accused person(s), if necessary, and any necessary communication with authorities and courts, with authorised law firms and auditing companies or other investigating persons in connection with your complaint.
Legal basis
The legal basis for data processing is the fulfilment of a legal obligation (Art. 6 para. 1 lit. c GDPR), as we are obliged under the LkSG to operate a complaint system and to investigate the reported complaints. In addition, data processing is necessary to safeguard our legitimate interests (Art. 6 para. 1 lit. f GDPR), as we have a great interest in the early detection, clarification and prevention of violations of the law and misconduct.
Your personal data is processed on the basis of your consent (Art. 6 para. 1 lit. a GDPR) in the case of a non-anonymous reference.
Categories of personal data
The following data is processed as part of the complaint system:
- Details of the accused/involved person (e.g. surname, first name, title, contact details, position and employment details),
- Details of the (alleged) breach of conduct and the relevant facts,
- If you submit your complaint anonymously, no personal data about you will be collected. However, depending on the information provided, it may not be possible to exclude the possibility of drawing conclusions about your person,
- In the case of non-anonymous complaints, personal data such as name, contact details and, if applicable, personal information about the circumstances communicated with your complaint will be processed.
Recipients or categories of recipients of the personal data
]init[ AG ensures that your personal data is only accessible to a limited number of authorised persons who need to know this data in order to process the complaints and investigate the reported violations.
The complaint is therefore only processed with those persons whose area of responsibility is affected by the complaint and with whom it can be assumed that the case can be clarified.
Every person who has access to the data is obliged to maintain confidentiality.
Personal data will only be transferred to recipients outside our company if we are legally authorised or obliged to do so. Under these conditions, external recipients of personal data may be, for example, authorities, courts, consultants, experts or legal representatives.
Duration of data storage
Personal data is generally only stored for the duration of the processing of a complaint and then deleted, unless there are statutory retention obligations. In the event of the initiation of legal/official proceedings, data may be stored until the conclusion of the proceedings or until the expiry of the time limits for legal remedies.
Automated decision making
No automated decision-making pursuant to Art. 22 GDPR takes place within the framework of the complaint system.
Further information
Further information on data protection at ]init[ AG and your rights as a data subject, in particular to withdraw your consent in the case of a non-anonymous reference, can be found here.