Whistleblower
System

Our BayWa Compliance Whistleblower system offers all employees, business partners, suppliers and their employees as well as other third parties in a professional context a protected communication channel for queries and notifications concerning compliance issues.

General information for whistleblowers

All whistleblowers are expressly encouraged to approach their superior or BayWa’s compliance organisation  if they perceive a lack of clarity regarding the rules in force, have questions in this respect or notice that the conduct of somebody working for the enterprise or of one of our business partners is dishonourable or conflicts with regulations. This procedure can prevent a small problem becoming a big issue. Questions and comments to the supervisor or to the BayWa Corporate Compliance Organisation should always be made openly.

Contact person

You would like to contact us personally or have questions regarding compliance and notifications regarding possible compliance violations? We will be glad to help you:

Personal contact to corporate compliance - BayWa AG 

What is the objective of the notification system?

We prefer open communication in such matters. The first persons to approach are executive staff members. However, whistleblowers may approach Officer the BayWa Corporate Compliance Organisation with questions or a notification at any time. We also accept anonymous queries and notifications where whistleblowers prefer not to disclose their identity.

We follow up all notifications and do not tolerate any prejudicial treatment of persons who provide them. This also applies where notifications prove to be unjustified or unsubstantiated upon closer examination, unless such a notification was provided in an evidently slanderous or libellous manner. However, it is technically impossible to identify you if the information you provide does not permit conclusions to be drawn as to your identity.

Purpose of the notification system for whislteblowers?

With the aid of the whistleblower system whislteblowers can

  • ask questions about compliance regulations and compliance issues, or
  • inform the enterprise online about matters indicating possible breaches of regulations or dishonourable conduct (e.g. corruption, violation of human rights or environmental law) on the part of the enterprise and/or its employees, about weaknesses in procedures, areas of risk and possibilities for improvement.

Why can the notification system be used to ask questions as well?

Our integrity and compliance with regulations affects everybody. Severe breaches of regulations and dishonourable conduct can jeopardize the enterprise as a whole or individual jobs. For this reason, all employees are urged to keep their eyes open, to address irregularities indicating a breach of regulations, a violation of the law or dishonourable conduct, and to request advice in case of doubt about their own conduct or that of their colleagues.

It is our aim to detect potential weak points at an early point in time and to improve matters in good time. How and in what form useful information reaches us is ultimately irrelevant. A question asked can also reveal a need for improvement.

What happens to my query or to my notification?

Your query or your notification is initially received by a “case worker” from corporate compliance. 

The case worker will first assess

  • whether it is a query seeking advice which can be answered immediately, and will send you a corresponding response via the communication channel you selected. In an individual case it might be necessary for the case worker to pose further questions in order to correctly understand and respond to your query.
  • Whether it is notification of possible misconduct, a weak point or potential for improvement that requires further assessment. The case worker will initiate further appropriate measures in accordance with the relevant procedures provided for within the enterprise.

How am I protected if I submit a notification or a query?

The exchange of information via the whistleblower system takes place completely in encoded form. It is not possible for unauthorized persons to view the contents.
 

When submitting your query or your notification, you can choose to remain anonymous or to provide your contact data. If you wish to remain anonymous, it is not possible to identify you unless the information you provide permits conclusions as to your identity.

If you wish to receive a personal response, please provide your contact details, name, telephone number, e-mail address and function within the enterprise in the text of your query. Your personal data will then be available to the handling office within the enterprise. We will treat your contact data in confidence insofar as permitted by law.

How can I receive responses or information about the outcome of the proceedings?

If you wish to receive a response to your query or notification without disclosing your identity, then mark the box “allow response” on the input screen. The system will allocate a process “token” to your query. You will also be asked to determine a password. The response to your query or notification will be placed in a “digital letterbox” that you can then access using your password and the “process token”. You will be unable to access the digital letterbox without your password and the “token”. In that case you will have to submit a new notification.

The case worker will first verify matters and then inform you about the further sequence of events, insofar as possible. If you do not activate the box “allow queries”, it will not be possible to inform you.

Can I transmit files or images together with information?

Yes, it is possible to attach files or images to information.


Please note that files or images usually contain hidden data (so-called meta data) which may contain information about the creator of the file or, in the case of images, often the coordinates of the location where the image was taken. You should delete this meta data if you want to protect your anonymity. If you need help to do this, you will find simple instructions online.

Will I receive confirmation of receipt?

Our whistleblower system immediately transmits confirmation of receipt to you as soon as your query or your notification has arrived on our server.

What do I have to do if I want to have a personal meeting?

If you wish to have a personal meeting, kindly mark the box “personal meeting requested” as well as the box “allow queries” so that the case worker can contact you to arrange the details. Please provide a brief description in the input box as to where and how you would be able to attend a personal meeting.

What happens if my query or notification concerns a matter in which I myself broke the rules or was involved in misconduct?

If your query or your notification about the discovery of breaches of the rules by you personally means that you incriminate yourself, this will not protect you subsequently against the appropriate measures under employment law or against possible consequences under criminal law. However, when deciding such matters, the contribution by a person whose information leads to the discovery of breaches of the rules and to the prevention of further risks, can be taken into account.

Will my query or my notification be stored?

Yes.


Messages you dispatch will be stored within the whistleblower system, as will an assessment of both the relevant sector of the enterprise and the significance of the notification. In addition, communication with you via the “digital letterbox” will be stored within the system, as will the processing comments of the case worker, any measures implemented, and conclusions drawn during the further handling of the case.


Insofar as personal data is processed within this procedure, this will take place within the framework of data protection regulations. The automatic communication of stored data to third parties is not supported technically and does not take place.

Are the employees concerned informed about my query or my notification?

On the one hand, they are informed to the extent required by law and, on the other hand, for reasons of fairness since in dealings with our employees we prefer to place our cards on the table.

Can my boss obtain access to my notification or query if he insists?

No.

 

The initial recipient of your notification or query and any other persons involved in processing it within the enterprise are subject to a confidentiality obligation. This means that nobody who is not involved in processing the notification or query can inspect it or the relevant research results.

Do I have to expect that my query or my notification will trigger an investigation?

Yes.


The enterprise is under an obligation to investigate all alleged breaches of compliance in a reasonable manner. For this reason, all notifications about misconduct, weak points and potential for improvement, and if appropriate queries requesting advice, are verified accordingly. Otherwise any notification you submit would be futile.


If you provide detailed information about the matter concerned or attach documents to your notification, you should be aware that this might ultimately enable your identity to be discovered.

Can third parties such as external investigation authorities view my query or notification, or conduct further research into the results?

Yes.

 

Within the context of their investigative powers, government authorities have access to all information within the enterprise. Within the context of investigative procedures, on the basis of court orders, these authorities are entitled to demand the surrender of all documents and materials within the enterprise that relate to a certain matter, and may also conduct a search. The enterprise may avert such orders of seizure and search measures by surrendering the relevant documents and materials.

 

This includes any information on a certain matter within the whistleblower system.

A system of CompCor   © GKMB