Code of Conduct of OEC Gesellschaft für den Vertrieb opto-elektronischer Bauteile mbH (OEC GmbH)
1. Introduction/Preamble
OEC GmbH is committed to environmentally and socially responsible corporate management. We expect the same behavior from all our suppliers. We also require our employees to observe the principles of ecological, social, and ethical conduct and to integrate them into the corporate culture. Furthermore, we strive to continuously optimize our business practices, products, and services in terms of sustainability and encourage our suppliers to contribute to this in a holistic approach.
For future collaboration, the contracting parties agree to the validity of the following regulations as a joint code of conduct. This agreement serves as the basis for all future deliveries. The contracting parties commit to complying with the principles and requirements of the code of conduct and to making efforts to contractually obligate their subcontractors to adhere to the standards and regulations set forth in this document.
This agreement comes into effect upon signature. A violation of this code of conduct may, ultimately, be grounds and cause for the company to terminate the business relationship, including all associated supply contracts.
From our Code of Conduct (CoC), which reflects the sustainability standards of our supply chain management, we also place the following requirements on our suppliers, including but not limited to:
a) the willingness to participate in audits
b) achieving necessary improvements
c) passing on the Code of Conduct (CoC) to subcontractors
Our Code of Conduct is based on national laws and regulations, such as the Supply Chain Due Diligence Act (LkSG), as well as international agreements, including the United Nations Universal Declaration of Human Rights, the Guidelines on Children’s Rights and Business, the UN Guiding Principles on Business and Human Rights, and the International Labour Standards of the International Labour Organization.
2. Supplier Requirements
2.1 Social Responsibility
We refer here to the Code of Conduct of the international Business Social Compliance Initiative (BSCI) (see ANNEX 6.5) and, above all, to the conventions of the International Labour Organization (ILO; see ANNEX 6.5), as well as to the prohibitions under § 2 Abs. 2 LkSG (see ANNEX 6.4).
2.1.1 Exclusion of Forced Labor
No forced labor, slavery, or comparable work may be used. All work must be voluntary and performed without threat of punishment. Employees must be able to terminate their work or employment relationship at any time. Furthermore, unacceptable treatment of employees, such as psychological hardship, sexual and personal harassment, and humiliation, is prohibited. The engagement or use of security personnel is to be avoided if people are treated inhumanely or degradingly, injured, or if freedom of association is restricted.
We refer here to ILO Conventions 29 and 105 (see ANNEX 6.5) or § 2 Abs. 2 Nr. 3, 4, 11 LkSG (see ANNEX 6.4).
2.1.2 Prohibition of Child Labor
Child labor is prohibited at all stages of production. Suppliers are requested to follow the ILO conventions regarding minimum employment age, which should not be lower than the age at which general compulsory schooling ends in the respective country, and in any case not under 15 years. If children are found working, the supplier must document measures to remedy the situation and enable schooling. Rights of young workers must be protected; under 18, no work harmful to health, safety, or morality is allowed. Special protective regulations must be observed.
We refer here to ILO Conventions 79, 138, 142, and 182 (see ANNEX 6.5) or § 2 Abs. 1, 2 LkSG (see ANNEX 6.4).
2.1.3 Fair Compensation
Remuneration for regular working hours and overtime must comply with the national statutory minimum wage or industry-standard minimums, whichever is higher. Overtime pay must exceed regular pay. If the remuneration is insufficient to cover the cost of living and to establish a minimum level of savings, the supplier is obliged to increase remuneration accordingly. Employees must be granted all legally mandated benefits. Wage deductions as a form of punishment are not permitted. The supplier must ensure that employees receive clear, detailed, and regular written information about the composition of their remuneration.
We refer here to ILO Conventions 26 and 131 (see ANNEX 6.5). The minimum standard is § 2 Abs. 2 Nr. 8 LkSG (see ANNEX 6.4).
2.1.4 Fair Working Hours
Working hours must comply with applicable laws or industry standards. Overtime is only permitted if performed voluntarily and does not exceed 12 hours per week, while employees must be granted at least one day off after six consecutive workdays. Weekly working hours must not regularly exceed 48 hours.
We refer here to ILO Conventions 1 and 14 (see ANNEX 6.5).
2.1.5 Freedom of Association
The right of employees to establish organizations of their choice, to join them, to conduct collective bargaining, and to strike must be respected. In cases where freedom of association and collective bargaining rights are legally restricted, alternative opportunities for independent and free employee organization for collective bargaining purposes must be provided. Employee representatives must be protected from discrimination. Employees may not be discriminated against due to founding, joining, or membership in such an organization. Employee representatives must have unrestricted access to their colleagues’ workplaces to ensure they can exercise their rights lawfully and peacefully.
We refer here to ILO Conventions 87, 98, 135, 154 (see ANNEX 6.5) or § 2 Abs. 2 Nr. 6 LkSG (see ANNEX 6.4).
2.1.6 Prohibition of Discrimination
Discrimination and unequal treatment of employees in any form is prohibited unless justified by the requirements of employment. This applies, for example, to disadvantages based on gender, race, caste, national, ethnic, or social origin, skin color, disability, health status, political belief, background, worldview, religion, age, pregnancy, or sexual orientation. The personal dignity, privacy, and individual rights of every person must be respected.
We refer here to ILO Conventions 110, 111, and 159 (see ANNEX 6.5) or § 2 Abs. 2 Nr. 7 LkSG (see ANNEX 6.4).
2.1.7 Health and Safety at Work
The supplier is responsible for a safe and healthy work environment. Appropriate occupational safety systems must be established and applied to take necessary precautions against accidents and health hazards that may arise in connection with the activity. Excessive physical or mental fatigue must be prevented through appropriate measures. Employees must be regularly informed and trained on applicable health and safety standards and measures. Employees must be provided with sufficient access to drinking water and clean sanitary facilities.
We refer here to ILO Conventions 155 and 164 (see ANNEX 6.5) or § 2 Abs. 2 Nr. 5 LkSG (see ANNEX 6.4).
2.1.8 Preservation of Natural Resources
The supplier must not deprive people of land, forests, or waters whose use secures their livelihood, in violation of legitimate rights. Harmful soil alterations, water and air pollution, noise emissions, and excessive water consumption must be avoided if they endanger health, significantly impair natural resources for food production, or prevent access to clean drinking water or sanitary facilities.
We refer here to § 2 Abs. 2 Nr. 9, 10 LkSG (see ANNEX 6.4).
2.1.9 Grievance Mechanisms
The supplier must pass on to its employees the information received from OEC GmbH regarding the availability, responsibility, and implementation of a grievance procedure. The grievance procedure must be accessible to employees while maintaining confidentiality of identity and effective protection against disadvantages. If no information is provided, the supplier is responsible at the operational level for establishing an effective grievance mechanism for individuals and communities potentially affected by negative impacts.
The LkSG provides for a grievance procedure (see ANNEX 6.3, LkSG, Section 2, §8), which extends into the supply chain.
Employees of the supplier may contact a designated grievance office. Employees who file a complaint regarding violations of this Code of Conduct or relevant laws must not be subjected to any disciplinary measures.
2.1.10 Handling of Conflict Minerals
For the conflict minerals tin, tungsten, tantalum, and gold, as well as other raw materials such as cobalt, the company establishes processes in accordance with the guidelines of the Organisation for Economic Co-operation and Development (OECD) for due diligence to promote responsible supply chains for minerals from conflict and high-risk areas, and expects the same from its suppliers. Smelters and refineries without proper audited due diligence processes should be avoided.
We refer here to the current OECD standards and guidelines (see ANNEX 6.1 and 6.2).
2.2. Environmental Responsibility
OEC requires its suppliers to introduce an environmental management system (such as EMAS or ISO 14001:2015 or an equivalent system), if one is not already in place. Reasonable transition periods are permissible.
The core topics of the EMAS Regulation (No. 1221/2009) and ISO 14001:2015 are the following environmental aspects, the compliance with which is also important for OEC GmbH:
- Emissions into the atmosphere
OEC: Air-source heat pumps for heating and hot water generate no emissions. - Discharges into bodies of water
OEC: There are no discharges or hazardous substances. - Soil contamination
OEC: There are no inputs or hazardous substances. - Consumption of raw materials and natural resources
OEC: Only within the framework of office operations and company vehicles. - Energy consumption / efficiency
OEC: With air-source heat pumps and a KfW 40 building, efficiency is ensured. - Release of energy (in the form of heat, radiation, light, noise)
OEC: Only within the scope of office operations and company vehicles. - Generation of waste
OEC: Regular household waste only, no special disposal required. - Land use / biodiversity
OEC: Limited to the 40-year-old company building. - Pollutants and waste
OEC: Mercury (Minamata Convention) and persistent organic pollutants (POPs, Stockholm Convention), as well as hazardous waste (whether present or subject to import/export), are not applicable (Basel Convention).
2.2.1 Treatment and Discharge of Industrial Wastewater
Wastewater from operations, manufacturing processes, and sanitary facilities must be characterized, monitored, reviewed, and treated as necessary prior to discharge or disposal. Furthermore, measures should be implemented to reduce wastewater generation.
2.2.2 Handling of Air Emissions
General emissions from operations (air and noise emissions), as well as greenhouse gas emissions, must be characterized, routinely monitored, reviewed, and treated as necessary prior to release. The supplier is also responsible for monitoring its exhaust gas purification systems and is encouraged to find economically viable solutions to minimize any emissions.
2.2.3 Handling of Waste and Hazardous Substances
The supplier shall follow a systematic approach to identify, handle, reduce, and responsibly dispose of or recycle solid waste. The prohibitions on the export of hazardous waste under the Basel Convention of March 22, 1989 (as amended) must be observed. Chemicals or other materials that pose a hazard when released into the environment must be identified and handled in such a way that safety is ensured during handling, transport, storage, use, recycling, or reuse, and during disposal. Mercury shall be handled in accordance with the prohibitions of the Minamata Convention of October 10, 2013, and persistent organic pollutants in accordance with the Stockholm Convention of May 23, 2001, as amended.
2.2.4 Reduction of Raw Material and Natural Resource Consumption
The use and consumption of resources during production and the generation of waste of any kind, including water and energy, must be reduced or avoided. This can be achieved either directly at the source or through procedures and measures such as changes in production and maintenance processes, organizational processes, use of alternative materials, efficiency measures, recycling, or material reuse.
2.2.5 Energy Consumption / Efficiency
Energy consumption must be monitored and documented. Economically viable solutions should be implemented to improve energy efficiency and minimize energy consumption.
2.3 Ethical Business Conduct
Reference is made here to the OECD Guidelines for Multinational Enterprises (see Annex 6.1).
2.3.1 Fair Competition
The standards of fair business conduct, fair advertising, and fair competition must be observed. Applicable antitrust laws must also be followed, which prohibit in particular agreements and other activities with competitors that influence prices or terms. Furthermore, these regulations prohibit arrangements between customers and suppliers that restrict customers’ freedom to independently determine their resale prices or other conditions.
2.3.2 Confidentiality / Data Protection
The supplier undertakes to meet the reasonable expectations of its clients, suppliers, customers, consumers, and employees with respect to the protection of private information. When collecting, storing, processing, transmitting, and sharing personal information, the supplier must comply with applicable data protection and information security laws and regulatory requirements.
2.3.3 Intellectual Property
Intellectual property rights must be respected. The transfer of technology and know-how must take place in a way that protects intellectual property rights and customer information.
2.3.4 Integrity / Bribery and Corruption
The highest standards of integrity must be applied to all business activities. The supplier must pursue a zero-tolerance policy regarding all forms of bribery, corruption, extortion, and embezzlement. Procedures for monitoring and enforcing standards must be implemented to ensure compliance with anti-corruption laws.
Reference is again made to the OECD Guidelines for Multinational Enterprises, in particular Chapter 7, “Combating Bribery, Bribe Solicitations and Extortion.”
3. Implementation of the Requirements
Systematic risk management is an important component of sustainable supply chain management. This management system is adapted to the needs of OEC GmbH, implemented accordingly, and certified in accordance with ISO 9001:2015.
We expect our suppliers, with respect to their supply chains, to identify risks within them and take appropriate measures. In the event of suspected violations or to secure supply chains with increased risks, the supplier shall promptly and, if necessary, regularly inform the company of identified violations and risks as well as the measures taken.
The company verifies compliance with the standards and regulations listed in this document using a self-assessment questionnaire and risk-based audits at the suppliers’ production sites. The supplier agrees that the client may conduct such audits once a year or for cause, during normal business hours and with reasonable prior notice, through authorized representatives. The supplier may object to individual audit measures if mandatory data protection laws would otherwise be violated.
If a violation of this Code of Conduct is identified, the client shall inform the supplier in writing without undue delay within one month and set an appropriate grace period for the supplier to bring its conduct into compliance. If corrective action is not possible within a foreseeable period, the supplier must notify the company immediately and jointly develop a concept with a timeline to eliminate or minimize the violation.
If such a violation occurred due to fault, the grace period expires without remedy, or the measures in the agreed concept do not achieve compliance within the set timeline, and continuation of the contract until ordinary termination is unreasonable for the client, the company may terminate the contract and all related agreements after the unsuccessful expiry of the grace period—provided this was threatened when the grace period was set. The statutory right of extraordinary termination without notice, particularly in cases of serious violations, as well as the right to claim damages, remains unaffected.
Code of Conduct with annexes:
Verhaltenskodex der Firma OEC GmbH – Stand 31.12.2024 (Gesamtdokument)