Declaration of principles of the UFZ according to the German Supply Chain Due Diligence Act (LkSG)

1. Responibility to respect human rights and protect the environment
The Helmholtz Centre for Environmental Research GmbH - UFZ is aware of its responsibility to respect human rights and protect the environment and works continuously to fulfil this responsibility in the best possible way.

This declaration of principles describes the main steps and measures taken at the UFZ to identify and avoid potential human rights and environmental risks in the context of the UFZ's business activities. It thus implements the requirements of the Act on corporate due diligence to prevent human rights violations in supply chains (German Supply Chain Due Diligence Act, hereinafter "LkSG").

The UFZ is committed to the international principles regarding the protection of human rights and the environment, which are enshrined in Section 2 (2) and (3) LkSG. This includes in particular:

• Compliance with the prohibition of slavery, child labour and forced labour;
• Compliance with health and safety regulations and working hours;
• Recognition of the right of all employees to form employee representative bodies, go on strike and engage in collective bargaining;
• Equal treatment of all employees free from any form of discrimination;
• Granting of an appropriate wage, at least in the amount of the minimum wage stipulated by the applicable law;
• Compliance with the prohibition on causing harmful soil change, water pollution, air pollution, harmful noise emissions or excessive water consumption;
• Compliance with the prohibition of unlawful eviction or unlawful taking of land, forests and waters;
• Compliance with the ban on the use of private and public security forces if this threatens a violation of human rights;
• Compliance with the prohibition to impair human rights in a particularly serious manner through other behaviour;
• Compliance with the ban on the manufacture of mercury-added products and the use of mercury and mercury compounds in manufacturing processes as well as unauthorised treatment of mercury waste;
• Compliance with the ban on the production and use of banned chemicals;
• Compliance with the ban on the non-environmentally sound handling, collection, storage and disposal of waste and the unauthorised export and import of hazardous waste.

2. Expactations

The UFZ expects its business partners and suppliers to respect human rights and environmental protection regulations in their business activities and to comply with the applicable regulations.

The UFZ expects its employees to respect human rights in accordance with the LkSG and to act responsibly towards the environment. Employees of the UFZ are sensitised to responsible behaviour through this policy statement and corresponding internally accessible information.

3. Risikomanagement und Risikoanalyse
The UFZ will carry out regular and appropriate risk analyses with regard to human rights and environmental obligations in its business area and with direct suppliers in order to identify, assess and prevent potential and actual negative impacts in good time

The risk analysis is carried out in relation to the UFZ's direct suppliers, particularly with regard to their country of origin and the product group of the products supplied.

The UFZ uses an established risk management system to analyse risks. Based on the results of the risk analysis, appropriately weighted and prioritised risks are assigned preventive and corrective measures, the effectiveness of which is reviewed annually and on an ad hoc basis and updated if necessary.

The UFZ also includes indirect suppliers in the aforementioned analyses and measures, especially if there are factual indications that a violation of a human rights-related or environmental obligation by indirect suppliers appears possible

4. Priority risks

The UFZ maintains global business relationships as part of its research and development activities and has business relationships and supply chains in various sectors due to the different fields of research. This results in a high level of complexity and diversity with regard to the identification and prioritisation of human rights and environmental risks.

The UFZ prioritises those risks that are more significant in terms of severity, reversibility and probability and over which the UFZ has an influence or to which it even makes a causal contribution.

5. Measures
If the UFZ determines that a violation of a human rights-related or environmental obligation has already occurred or is imminent in its own business area or with business partners, suppliers or customers, it shall immediately take appropriate remedial action to prevent, end or minimise the extent of the violation. Depending on the severity of the breach, these measures may extend to the termination of the business relationship.

The UFZ recognises that comprehensive protection of human rights can only be guaranteed if human rights risks of any kind are not only monitored, but also avoided before they arise through preventive measures.

To this end, the UFZ develops suitable procurement strategies in order to implement compliance with the requirements of the LkSG and thus prevent or minimise risks.

6. Complaints procedure

The UFZ has opted for a complaints procedure via an external contact point and has expanded its electronic whistleblower system to include the requirements of the LkSG. 

This whistleblower system enables both our employees and third parties to provide (anonymous) information about violations in our own business area and at our direct and indirect suppliers.

The rules of procedure can be viewed here.

7. Documentation, responsibilities
From the 2024 financial year, the UFZ will report publicly on its due diligence activities in the supply chain on an annual basis at www.ufz.de and to the Federal Office of Economic Affairs and Export Control (BAFA), including disclosure of the results of the supply chain risk assessment and a description of the measures taken to mitigate the identified risks and an assessment of their effectiveness.

The management is responsible for monitoring compliance with and implementation of human rights due diligence obligations.

Risk management is monitored by the UFZ's Human Rights Officer. Risk analyses and the implementation of preventive and remedial measures are carried out by the relevant departments of the UFZ in close cooperation with the UFZ Human Rights Officer.

This policy statement and the measures are regularly updated by us in accordance with the LkSG.

December 2023

Prof. Dr. Rolf Altenburger                  Dr. Sabine König
Scientific Managing Director             Administrative Managing Director