In German, these procedural rules are called “Beschwerdeverfahren”. Information on the law „Gesetz über die unternehmerischen Sorgfaltspflichten in Lieferketten“ (LkSG for short) can be found here.

1. Objectives and Scope

It is important to Dana Incorporated that our suppliers at least adhere to minimum standards regarding the treatment and remuneration of their employees, as well as requirements in terms of environmental protection.
For Dana Incorporated, transparency is essential here to identify human rights and environmental risks or violations, corruption, and other legal violations as early as possible. This knowledge enables us to take effective remedial and preventive measures and to prevent or minimize damage.
Germany is a significant location within Dana Incorporated, which is why, following a risk assessment, the decision was made to introduce a separate procedure for external complainants in German companies in order to a) better meet the requirements of the LkSG and b) evaluate and handle complaints with local background while taking into account the laws, standards, and customs applicable in Germany.
The complaint procedure is directed at business partners, residents, and other stakeholders of the German entities of Dana Incorporated (see table) as well as business partners, residents, employees, and other stakeholders of our suppliers.

The procedural rules apply to the following entities of Dana Incorporated:

Dana Investment GmbH, Reinzstraße 3-7, 89233 Neu-Ulm

Spicer Gelenkwellenbau GmbH, Westenhof 5 – 9, 45143 Essen

Spicer Gelenkwellenbau GmbH, II. Schnieringstraße 49, 45329 Essen

Dana Cologne Technology Center GmbH, Horbeller Str. 19, 50858 Köln

Dana Motion Systems Deutschland GmbH, Werner-Reimers-Straße 6, 61352 Bad Homburg

REINZ-Dichtungs-GmbH, Reinzstraße 3-7, 89233 Neu-Ulm

Dana SAC Germany GmbH, Benzstraße 7, 82291 Mammendorf

2. Compliance-Ombudsperson

Dana Incorporated in Germany has commissioned arbeitgeber ruhr GmbH to provide a Compliance Ombudsperson.

Postal address
Personal/Confidential

arbeitgeber ruhr GmbH
Andreas Reinke (Compliance-Ombudsmann)
Königsallee 67
44789 Bochum

Tel.  +49 (0)234 / 588 77 27 27

Mr. Reinke and his colleagues administer the reporting/complaint channels described below and receive the complaints and reports submitted there.

3. Reporting/Complaint Channels

The following channels can be used for submitting complaints under German Supply Chain Due Diligence Act.

• Wire: @beschwerdeverfahren.arbeitgeber.ruhr
  You can download the Wire app (https://wire.com/de/) free of charge to your PC or smartphone. Creating a private Wire account requires an email address – not your phone number. This makes it impossible for the Compliance Ombudsperson to identify you through your phone number on other messengers or social media. Your email address will not be disclosed to us. Please choose a name and username that cannot be used to identify you. Wire is headquartered in Switzerland and only uses subcontractors (data centers) in the EU. The source code is publicly viewable, and communication is subject to end-to-end encryption.
• Reporting Form on this webpage
  Enables the submission of a structured report in text form. The transmission of attachments is not possible for IT security reasons (please use Wire for this or send documents by mail). Note: We can only keep you updated about the procedure if you provide an email address or telephone number.

4. Procedural Principles and procedures of the Reporting/Complaint Procedure

The processing of incoming reports follows the process defined below. The Legal and Compliance Department, in coordination with the Compliance Ombudsperson, is responsible for processing incoming reports and complaints. The employees handling complaints have been authorized and obligated by Dana incorporated entities listed in the table above to perform their duties independently, without being bound by instructions, and impartially according to the principles of confidentiality and due diligence. They are bound to maintain confidentiality.

• Receipt of Report and Confirmation of Receipt
  Complainants or whistleblowers will receive confirmation of receipt of the complaint or report within 7 (seven) days, provided that contact information exists or has been correctly provided
• Initial Review
  At the beginning of the procedure, it is examined whether the reported matter falls within the substantive scope of the German Supply Chain Due Diligence Act. If this is not the case, the report will not be processed through the complaint procedure and the procedure ends.
• Clarification and Investigation of the Facts
  When there are justified and comprehensible indications of a violation of legal regulations or violations of human rights-related and environmental obligations, or indications of human rights or environmental risks, the necessary follow-up measures will be taken.
  An internal investigation is initiated with the aim of determining whether a violation and/or risks exist. As part of the investigation, the facts will be further determined and, if necessary, the content of the report will be discussed with the complainant or whistleblower to gain a better understanding of the facts. This generally takes place initially through the Compliance Ombudsperson.
  Contact with affected persons or companies that are the subject of a complaint (or report) may become necessary. In this case, unless it would hinder the investigation, they will generally be informed about the existence of a complaint or report and asked to provide a statement. Appropriate measures will be taken to protect the identity of complainants.
• Communication with Complainants or Whistleblowers
  After confirming receipt, contact will be made with complainants or whistleblowers if necessary and possible to obtain additional information and discuss the matter. They will generally receive feedback on follow-up measures within three months of the confirmation of receipt.
• Remedial Measures
  In case of violations by suppliers, appropriate measures may include additional controls and audits as well as the temporary or permanent termination of the business relationship.
  Violations at participating entities of Dana Incorporated must be remedied immediately, and risks are documented and addressed. The findings from the procedure are also used to review existing work instructions and compliance processes and, if necessary, to adjust and optimize them and implement additional preventive measures if required.
• Conclusion of the Procedure
  The investigation of the report may be terminated for various reasons:
  • The report or complaint does not fall within the substantive scope of the German Supply Chain Due Diligence Act,
  • Violations of legal regulations and human rights or environmental risks and violations of human rights-related and environmental obligations were either a) not confirmed or b) resolved through the remedial measures taken.

Complainants or whistleblowers will receive qualified feedback on the status or conclusion of the procedure within three months of the confirmation of receipt, provided that contact information exists. The feedback generally includes notification of the reason why the procedure was terminated. Within the legally permissible framework, information about planned or already implemented follow-up measures will be provided.

5. Review of the Effectiveness of the Complaint Procedure and the Procedural Rules

The effectiveness of the complaint procedure and these procedural rules is evaluated every two years by the Compliance Ombudsperson and Dana Incorporated. Additionally, it might be reviewed on an ad hoc basis. If necessary, the complaint procedure and the procedural rules will be adjusted. The same applies to legal changes that affect the complaint procedure.