New Act on Supply Chain Due Diligence

1. Does the enterprise supply goods/services to the entity which has its central administration, its principal place of business, its administrative headquarters, its statutory seat or its domestic branch office in Germany, and which employs at least 3,000 employees in Germany, including employees posted abroad and temporary agency workers in Germany whose assignment for the entity exceeds six months?

Yes No

2. Has the enterprise established a risk management system that makes it possible to identify and minimize human rights-related and environment-related risks and to prevent, end or minimize the extent of human rights-related or environment-related violations if the enterprise has caused or contributed to these risks or violations within the supply chain?

Yes No

3. Has the enterprise ensured that it is determined who within the enterprise is responsible for monitoring the risk management system, for example by appointing a human rights officer?

Yes No

4. Does the enterprise senior management seek information on a regular basis, at least once a year, about the work of the person responsible for monitoring the risk management system?

Yes No

5. Does the enterprise conduct a risk analysis once a year in order to identify the human rights-related and environment-related risks in its own business area and at its direct suppliers?

Yes No

6. Does the enterprise also carry out a risk analysis on an ad hoc basis if the enterprise must expect a significantly changed or significantly expanded risk situation in the supply chain, for example due to the introduction of new products, projects or a new business field?

Yes No

7. Has the enterprise issued a policy statement on its human rights strategy describing, among other things, the procedure by which the enterprise fulfills its obligations regarding due diligence for prevention of human rights violations in supply chains, the enterprise’s priority human rights-related and environment-related risks identified on the basis of the risk analysis and the definition of the human rights-related and environment related expectations placed by the enterprise on its employees and suppliers in the supply chain?

Yes No

8. Has the enterprise developed and implemented appropriate procurement strategies and purchasing practices that prevent or minimize identified human rights-related and environment-related risks?

Yes No

9. Does the enterprise deliver training in the relevant business areas with the aim of preventing or minimizing identified human rights-related and environment-related risks?

Yes No

10. Has the enterprise implemented risk-based control measures to verify compliance with the human rights strategy contained in the policy statement in its own business area?

Yes No

11. Has the enterprise laid down human rights-related and environment-related expectations when selecting a direct supplier?

Yes No

12. Does the enterprise demand contractual assurances from a direct supplier that it will comply with the human rights-related and environment-related expectations required by the enterprise’s senior management and appropriately address them along the supply chain?

Yes No

13. Does the enterprise require appropriate contractual control mechanisms and their risk-based implementation to verify compliance with the human rights strategy at the direct supplier?

Yes No

14. Is the enterprise prepared to take, without undue delay, appropriate remedial action upon discovery that a violation of a human rights-related or an environment-related obligation has already occurred or is imminent in its own business area or at a direct supplier, including a temporary suspension of the business relationship or even the termination of a business relationship if the violation is assessed as very serious?

Yes No

15. Has the enterprise established an appropriate internal complaints procedure, enabling persons to report human rights-related and environment-related risks as well as violations of human rights-related or environment-related obligations that have arisen as a result of the economic actions of an enterprise in its own business area or of a direct supplier?

Yes No

16. Has the enterprise appointed persons entrusted by the enterprise with the conduct of the complaints proceedings who offer a guarantee of impartiality, in particular, who are independent and not bound by instructions?

Yes No

17. Has the enterprise established rules of complaint procedure in text form which are publicly available?

Yes No

18. Does the enterprise review the effectiveness of the complaints procedure at least once a year?

Yes No

19. Does the enterprise continuously document the fulfillment of the due diligence obligations within the enterprise and keep the documentation for at least seven years from its creation?

Yes No

20. Does the enterprise prepare an annual report on the fulfillment of its due diligence obligations in the previous financial year and make it publicly available free of charge on the enterprise’s website, no later than four months after the end of the financial year?

Yes No

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It seems your company is prepared for the new regulations

The obligations under the Act on Supply Chain Due Diligence do not apply to your company