Our compliance approach is based on a dedicated analysis of compliance risks. This means that we first identify potential triggers for rule violations and then align our compliance system to address these in the best possible way.

Based on national and international standards, we run through the three levels of prevent, detect and respond:

Prevent

We have implemented various measures to prevent violation of the rules. Our Code of Conduct provides a framework for all employees worldwide to make decisions and act according to uniform legal and ethical standards. We also expect this from our business partners. Our expectations have been made concrete in our Supplier Code of Conduct.

Our Code of Conduct is supplemented by our compliance policies. They incorporate legal requirements and ethical standards and are binding for all our employees.

Our Compliance Helpdesk provides advice to our employees and executives. We continuously promote compliance with regulations through training and communication. In this way, we keep a culture of compliance and integrity firmly embedded at IAV. We check the necessity and effectiveness of our preventive measures and control mechanisms as part of our regular compliance risk assessments. In doing so, we strive for continuous improvement.

Detect

Prevention should protect against liability. Breaches of rules and misconduct can entail considerable risks – for IAV but possibly also for our customers and business partners. With our SpeakUp system, we enable our employees and third parties to anonymously report a potential breach of rules or misconduct in numerous languages and 24 hours a day, 365 days a year.

IAV’s management framework and control mechanisms – whether risk management, internal control system or internal audit – support the compliance organization in the mitigation of compliance risks via the risk and control measures implemented there.

Respond

If we receive indications of rule violations, we check them professionally and independently and take the necessary measures immediately. Any weaknesses discovered in the compliance program are closed. An appropriate root cause analysis leads to insights that help us as a company to evaluate and derive the right measures. In this way, we strengthen our management framework and control mechanisms at IAV and gain further insights for risk analysis.

Compliance activities at IAV cover both corporate compliance issues and technical compliance topics. Activities focus on

• the respect and upholding of human rights,
• non-discrimination,
• compliance with anti-corruption regulations and the avoidance of conflicts of interest,
• compliance with industrial property rights,
• the protection of corporate property,
• compliance with competition and antitrust laws,
• the protection of know-how,
• the maintenance of product safety and quality assurance,
• compliance with legal and regulatory requirements in research and development,
• the commitment to sustainability and environmental protection.

Compliance is a top priority at IAV. The Chief Compliance Officer (CCO) reports directly to our CEO. A team around a Compliance Officer (Corporate Compliance) and a Lead Coordinator tCompliance (Technical Compliance) support the CCO. Decentralized, worldwide contacts throughout the IAV Group ensure that advice is tailored to local needs.

The Code of Conduct is supplemented by internal compliance policies, processes and specifications.

Code of Conduct Englisch (PDF, 2 MB)

The  IAV Supplier Code of Conduct forms the basis for reliable cooperation with our business partners. It is based on our values and rules of conduct and demands compliance with responsible procurement principles and the application of the same social and legal standards as those we implement in our company.

To adhere to our IAV Supplier Code of Conduct is a mandatory prerequisite for a lasting positive business relationship with IAV. In addition, we expect our business partners to ensure that their suppliers and their associated companies also comply with the standards set out in the Supplier Code of Conduct.

Supplier Code of Conduct 

Our pledge

With over 40 years of experience and a relentless courage and determination to get things done, we combine the best of several very different worlds: the automotive and IT worlds, hardware and software, products and services. With over 7,600 employees, we provide support for customers at more than 25 IAV locations, with first-rate technical equipment to realize your projects – from concept to standard production. Our goal is to improve the mobility of today – and tomorrow.

We want to help create better living conditions on our planet for ourselves and for future generations. As an international company, we strive for profitable growth and are convinced that the best way to achieve this is through sustainable value creation. We are convinced that respect for human rights and the well-being of our employees are non-negotiable.

For this reason, we are committed to ensuring respect for human rights – both in our own business activities and in our global supply and value chains. We therefore operate in accordance with the following international standards:

• United Nations (UN) Universal Declaration of Human Rights,
• Ten Principles of the UN Global Compact,
• Core Labor Standards of the International Labor Organization (ILO),
• UN Guiding Principles on Business and Human Rights.

How we approach human rights

This Human Rights Declaration supplements our Code of Conduct and our Supplier Code of Conduct. Together, they form the basis and the benchmark for all regulations to ensure responsible, value-based actions on the part of IAV.

As a development partner for next-generation technologies, integrity, fairness, and autonomy are of vital significance to us. For this reason, the following human rights are of particular importance to us:

Working conditions

Die Menschen in unserem Unternehmen sind der Schlüssel zu unserem Erfolg. Wir schaffen faire Arbeitsbedingungen und achten darauf, dass diese eingehalten werden. Dies umfasst insbesondere eine angemessene Entlohnung, Sozialleistungen, die Einhaltung von Arbeitszeiten und den Schutz der Privatsphäre unserer Mitarbeitenden.

Vereinigungsfreiheit

Es ist für uns eine Selbstverständlichkeit, dass unsere Mitarbeitenden die Möglichkeit nutzen, ihre Interessen über die von ihnen gewählten Arbeitnehmervertretungen wahrzunehmen. Die Unternehmensleitung und die Führungskräfte pflegen mit Arbeitnehmervertretungen eine offene und vertrauensvolle Zusammenarbeit und einen konstruktiven Dialog.

So ist insbesondere die IAV GmbH, unsere größte Gesellschaft mit Geschäftssitz in Deutschland, ein tarifgebundenes Unternehmen und arbeitet sozialpartnerschaftlich mit der IG Metall zusammen.

Gesundheit am Arbeitsplatz

Wir schützen das Recht eines jeden Mitarbeitenden auf ein sicheres und gesundes Arbeitsumfeld.  Hierzu haben wir in unserer gruppenweit geltenden Richtline Arbeits- und Gesundheitsschutz Standards und Vorgaben definiert. Arbeitsunfällen, Berufskrankheiten und arbeitsbedingten Gesundheitsrisiken beugen wir durch Schulungen sowie durch sicherheitstechnische und arbeitsmedizinische Maßnahmen vor (z. B. der sichere Umgang mit technischen Anlagen).

Chancengleichheit und Respekt

Wir fördern einen wertschätzenden Umgang miteinander sowie die Offenheit für Menschen verschiedener Länder und Kulturen. Von Diskriminierungen, insbesondere aufgrund von Nationalität, sexueller Orientierung, Hautfarbe, Behinderung, Rasse, distanzieren wir uns deutlich. Geschlechtsidentitäten spielen für uns keine Rolle. Wir bieten allen die gleichen Chancen.

Darüber hinaus verpflichten wir uns sowohl im eigenen Geschäftsbereich als auch in der Wertschöpfungskette, gegen jede Form von Kinderarbeit, Sklaverei und Zwangsarbeit vorzugehen.

Unsere Präventionsmaßnahmen zur Verhinderung von Menschenrechtsverletzungen

Wir haben die Bewertung von Menschenrechtsrisiken systematisch in unsere Entscheidungsprozesse, insbesondere bei der Beschaffung integriert. Die Auswahl unserer Präventionsmaßnahmen orientiert sich dabei an Länderkriterien und Branchenzugehörigkeit. Darüber hinaus differenzieren wir danach, ob die gelieferten Leistungen in unsere eigenen Produkte oder Entwicklungsdienstleistungen integriert werden.

Unsere Präventionsmaßnahmen enthalten u.a. folgende Elemente:

• Vertragliche Einbeziehung von Compliance Klauseln
• Erfordernis des Vorhaltens eines eigenen Verhaltenskodex bzw. die Anerkennung des IAV Verhaltenskodex für Geschäftspartner
• Auditrechte- und Zertifizierungsverpflichtungen

Bei Verdachtsfällen oder Beschwerden, insbesondere auch in Bezug auf mögliche Verletzungen von Menschenrechten, stehen unseren Mitarbeitenden, Geschäftspartnern und weiteren Stakeholdern unterschiedliche Kanäle zur Verfügung. Diese finden sich auf unserer Webseite und in unserem IAV Intranet. Hinweisgeber können ihre Hinweise, auf Wunsch auch anonym, über unser Hinweisgebersystem SpeakUp oder aber auch direkt an unsere Mitarbeitenden der Compliance telefonisch, via E-Mail oder schriftlich melden.

Damit stellen wir sicher, dass uns jeder – unabhängig von seiner vertraglichen oder geschäftlichen Beziehung mit IAV – sein Anliegen mitteilen kann. Alle Hinweise werden vertraulich behandelt und nachverfolgt.

Sollte die Überprüfung ergeben, dass IAV direkt oder indirekt einen Verstoß verursacht oder dazu beigetragen hat, leiten wir umgehend alle erforderlichen Maßnahmen zur Abhilfe ein.

Wenn wir Kenntnis von einem entsprechenden Verstoß bei einem unserer Geschäftspartner erhalten, fordern wir diesen auf, auch seinerseits umgehend aktiv zu werden und die Verletzung zu beenden. Dies wird von IAV entsprechend nachgehalten.

Bei Bedarf unterstützen wir unsere Partner beim Umgang mit einem solchen Verstoß, Wir behalten uns gleichzeitig das Recht vor, bei schwerwiegenden Menschenrechtsverletzungen die Geschäftsbeziehung mit sofortiger Wirkung zu beenden.

Über die Aktivitäten zur Achtung und Förderung der Menschenrechte informieren wir jährlich auf unserer Webseite.

Unsere Erwartungshaltung an Mitarbeitende und Geschäftspartner

Die Achtung der Menschenrechte ist für IAV die Basis für ein verantwortungsvolles Zusammenarbeiten. Wir behandeln alle Menschen mit Respekt und Fairness und fordern eine solche Haltung auch von Geschäftspartnern.

Daher erwarten wir, dass unsere Geschäftspartner Strukturen vorhalten, um Menschenrechtsverletzungen zu verhindern und bei Verstößen diesen unmittelbar abzuhelfen. In diesem Sinne sollen sie auch auf ihre eigenen Geschäftspartner entlang der Wertschöpfungskette einwirken.

Berlin, December 2022

Dr. Uwe Horn
Vorsitzender der Geschäftsführung und Arbeitsdirektor

Martin Mahlke
Kaufmännischer Geschäftsführer

Jörn Klenner
Gesamtbetriebsratsvorsitzender

Jens Hinze
stellv. Gesamtbetriebsratsvorsitzender

IAV Compliance Reporting Channels

We trust our employees and business partners. At the same time, we are aware that there may be isolated situations in which applicable law is violated, resulting in significant risks – for IAV, but possibly also for our business partners. We therefore appreciate every report that is made to the best of our knowledge and belief and helps us to clarify and – as far as possible – remedy material legal violations.

Responsible body

Our investigation team at IAV – which is part of the Compliance Organization – is specifically trained for handing incoming reports, communicating with reporting persons and conducting internal investigations. The team assesses incoming reports impartially, observes the highest standards of confidentiality and acts fully independent in their decision-making process. The team reports directly to the Chief Compliance Officer.

Reporting channels

All contact details can be found via the link below.

The following reporting channels are available to you:

• Electronic „SpeakUp“ Portal (both in writing and by telephone)
• E-Mail
• In-Person meeting

To arrange for an in-person meeting, please contact us directly.

Note: If you use the “SpeakUp” portal  anonymously, please carefully write down the “case number” assigned to you by the system. Otherwise, we have no means to contact you in case of further questions due to your anonymity.

Scope of application of the whistleblower system

The above-mentioned reporting channels are primarily available in the event of (serious) breaches of the law in the following areas:

• Economic, corruption and tax offenses,
• Environmental crimes,
• Human rights violations,
• Antitrust infringements,
• Money laundering and terrorist financing offenses,
• Breaches of product safety regulations that may result in a violation of legal interests,
• Violations of approval regulations,
• Violations of data protection law.
   

Course of the procedure

You will receive a confirmation of receipt within seven days of submitting your notification, unless you have submitted your notification in a personal meeting on site. In order to gain a better understanding of the facts, it may be necessary us to contact you in order to provide any queries or to request further documentation.

The processing of incoming information shall always take place within a reasonable period.

You will generally be informed within three months of the result of the clarification of the facts and the remedial measures required in each individual case. In exceptional cases, it may take longer for particularly complex matters. We will of course also inform you of this within three months of receiving your report and let you know when you can expect the investigation and processing of the matter to be completed.

If your concern is not (sufficiently) related to IAV or it is not in scope of our responsibilities, we will advise you on finding an alternative way to help you to address it.

Whistleblower protection

Whistleblowers are comprehensively protected against reprisals. If, despite the preventive measures taken, discrimination occurs in individual cases as a result of a report, the persons responsible for the discrimination will be sanctioned in accordance with the statutory provisions. However, whistleblower protection can be restricted if whistleblowers knowingly and willfully provide false information. In this case, possible claims for damages against whistleblowers may also be considered.

Confidentiality

IAV treats all information and details provided confidentially. In particular, care is taken to ensure that no conclusions can be drawn about your identity when clarifying the facts.

If it is necessary to disclose your identity to other bodies in order to clarify the facts, the Compliance Organization will obtain your consent in advance in accordance with the statutory requirements.

Our answer to risks in the development process is our Technical Compliance. By specifically demanding compliance-relevant work steps at certain points in the course of a project, we contribute to maximum transparency and compliance with regulations.

To support this, IAV has a network of experts across all our technical divisions who are available to executives and employees to answer questions on technical compliance. The network consists of employees from various specialist areas. This ensures that our technical units receive optimum advice and support.

Our technical compliance experts are particularly active in the following areas:

• Product safety
• Quality assurance
• Research and development
• Sustainability and environmental protection

In the case of complex issues, our employees can involve additional expert boards via a defined escalation process. In this way, we ensure that all relevant criteria are considered in an interdisciplinary manner when making decisions – even when we are breaking new technological ground together with our customers and no or no explicit legal regulations exist.

With our Technical Compliance we offer customers the assurance that all our services comply with laws and regulations.

Sustainability Report 2023

DICO German Institute for Compliance

http://www.dico-ev.com/

BCM Professional Association of Compliance Managers

https://www.bvdcm.de/