Whistleblowing channel management policy
1. OBJECTIVE AND SCOPE
Ethics, Transparency and integrity in business are fundamental values that we firmly embrace, and that is why, as part of our continued commitment to excellence in corporate governance and corporate responsibility, We have established a Whistleblowing Channel so that interested parties can safely communicate to us any concerns related to possible misconduct or irregularities within our organization..
Thus, The objective of this document is to establish a procedure to regulate the management of the Internal Information System of irregularities that occur through this complaints channel., related to non-compliance with external regulations (laws and/or provisions of lower rank,) as internal to the entity, and any situations or events that require the attention of the Entity's Compliance Unit.
The person responsible for the Internal Information System will be CONCEPCION RAMIREZ CARREÑO, Responsible for the Administration Department and the Financial Department, although the established Compliance Officers will be coordinated and informed in the event that the reported irregularity affects the businesses and/or their professionals..
This procedure is established to ensure that, if an action contrary to what is established in the Standards is reported, This will be treated diligently and with absolute confidentiality., ensuring the anonymity and confidentiality of the identity of the person reporting, of the affected party or affected parties and any third party mentioned in the communication, unless expressly authorized by these.
For this purpose, a complaints channel is available, accessible either through our website or by email. admon@remediospicasat.com, through which anyone affected, You can anonymously and confidentially report any irregularity or non-compliance with both external and internal regulations..
Likewise, the entity, will not tolerate any form of retaliation directed against the complainant or those people who collaborate in good faith in the investigation of the same, as, We consider that it is the responsibility of employees to proactively collaborate with investigations resulting from complaints received.. Equally, The presumption of innocence is guaranteed to all affected persons. Any person who reports will enjoy due protection and any action regarding them that could be understood as threats, discrimination or retaliation will be sanctioned.
Regarding the scope, The Complaints Channel will be enabled for all employees of the Entity, current and potential suppliers and their employees, customers, and any person who maintains a link with us and who has direct knowledge of the facts, to report the possible commission of crimes and/or irregularities that correspond.
2. DEFINITIONS.
Affected or reported. – Person that, pursuant to the provisions of this procedure, be accused by the informant of the alleged commission of an irregularity.
Informant or whistleblower. – Person that, By virtue of the provisions of this procedure, you report an incident or report an irregularity..
Irregularity or non-compliance. – Violation or carrying out practices contrary to the principles established in the rules and procedures defined in the Entity, the applicable external regulation and any situations or events that require the attention of the Compliance Unit in matters that affect the activities of the Entity..
Information system. – Computer system that integrates the entity's complaints information channel accessible through the corporate website. The processing of the information will be done in accordance with the provisions of the law. 2/2023 from 20 February.
Compliance Unit. – Body in charge of regulatory compliance.
Definitions of terms used in this procedure, not included in this section, will have the scope established by law 2/2023 from 20 February and applicable legislation.
3. COMMUNICATION OF IRREGULARITIES
3.1. Identification of an irregularity
The person who knows of the existence of irregular conduct, Non-compliance or violation of the rules must be reported immediately.
The complaints channel is the preferred channel through which to make these communications., which may be submitted in writing, or raise it verbally over the phone, directly to the Compliance Unit or your hierarchical superior. Likewise, The informant may request a face-to-face meeting to report the irregularity.. This request must be attended to within a maximum period of seven days in accordance with what is established by the applicable law..
If the communication is not sent through the complaint channels integrated into the Internal Information System, and other means of communication are used, The Entity also guarantees, in any case, the confidentiality of information, which will be treated in a secure environment, also taking into account the legally required personal data protection provisions..
Verbal communications, either through a face-to-face meeting or by telephone, must be documented in one of the following ways:
- By recording the conversation in a secure format, durable and affordable, provided that the informant is previously warned that his communication will be recorded, You are informed of the processing of your data in accordance with Data Protection regulations and your consent is obtained..
- Through a complete and accurate transcription of the conversation carried out by the personnel responsible for processing it, in which case, will be transferred to the informant to verify, rectify and accept the transcription of the message by signing.
3.2 Communication and reception of communication
To guarantee the complete impartiality of the Channel, It will be outsourced and managed by the external consulting firm COMPLIANCE CORPORATE..
When a user makes a complaint, the system will generate an alert, informing COMPLIANCE CORPORATE that an event has occurred on the Channel.
COMPLIANCE CORPORATE Staff will access the management area and will then verify that it contains a series of minimum requirements for admission.
Thus, despite the fact that there is no specific format to communicate through the Complaints Channel, They can be done anonymously, it is recommended, in any case, make a description of the facts as detailed and describable as possible, trying to identify the people allegedly affected or involved in it – if there were any- and provide specific data, as well as dates, companies or third parties related to the fact or action described; all this with the aim of favoring, where appropriate, the subsequent verification of the facts that are the objects of the communication.
Notably, complaints filed in bad faith, knowing its falsehood, They will be subject to the corresponding disciplinary actions if applicable..
When making communication, the informant may indicate an address, email or safe place for the purpose of receiving notifications. Unless this may jeopardize the confidentiality of the communication and in the event that the complainant is not anonymous, Acknowledgment of receipt of the complaint will be sent within a maximum period of seven days from its receipt.. Likewise, Communication may be maintained with the informant and, if necessary, additional information may be requested that may be useful for processing the complaint., always in an environment of security and confidentiality.
Upon receipt of complaints, COMPLIANCE CORPORATE, will determine in a first phase whether the information provided constitutes an irregularity that must be investigated and the resources, appropriate methods and procedures for the investigation of each complaint, taking into consideration the nature and seriousness of the complaint. It will be taken into account:
- Description of the reported event
- Type of complaint (That the reported situation adjusts to the characteristics of the actions for which this Procedure has been created)
- Has the complainant agreed to share their personal data?
- Reported – Potential conflict of interest
This action is carried out within the 24 working hours once the complaint is received.
3.3 Information to the affected
At the time and in the manner considered appropriate to guarantee the successful completion of the investigation, The affected person will be appropriately informed about the actions and omissions attributed to him or her..
The affected person will also have the right to be heard at any time during the investigation of the reported facts., and your declaration must be formally documented. It should be noted that in no case will the identity of the informant be revealed..
The recipient of the complaint and the person who processes it, if applicable, will always respect the presumption of innocence of the person affected., as well as your right to honor.
3.4 Resolution of the complaint.
Once the audit phase of the facts has been completed and the conclusions have been drawn and transferred to the competent areas as appropriate, Conclusions will be drawn and a report will be formalized.
The maximum period to respond to the investigation actions, It may not be longer than three months from receipt of the communication., except in cases of special complexity that require an extension of the deadline, in which case this could be extended to a maximum of another three months.
Additionally, adequate compliance with the applicable data protection legislation must be ensured, and in particular, regarding the rights of the owners of said data.
Thus:
- If the existence of any irregularity or act contrary to legality is considered not proven, The file will be archived without the need to adopt any additional measures..
Conversely,
- If it is determined that the commission of any irregularity has been proven, act contrary to the Law or the internal regulations of the Entity, Transfer will be made to the affected area to carry out the appropriate disciplinary effects..
3.5 Personal data protection.
The information will be kept in accordance with the legal requirements that are applicable in each case in this matter..
The personal data of complaints for which investigation is not appropriate, because they are not founded, They will be deleted or anonymized after three months from receipt.. Personal data from complaints that are not investigated may be kept after this period as long as the purpose of the conservation is to leave evidence of the functioning of the system..
The Entity has a record of the information received and the investigations carried out in accordance with the provisions of the law..
The processing of personal data related to the information received and the investigations carried out by the Entity will have the objective of complying with legal obligations and carrying out the investigative actions that are deemed necessary. In no case will personal data be subject to processing., including those in special categories, that are not necessary for the knowledge and investigation of the complaints, proceeding, where appropriate, to its immediate suppression.
3.6 External information channels.
Whistleblowers are always free to direct their communications to the Independent Whistleblower Protection Authority or any other institution., competent body or body.
WHISTLEBLOWER PROTECTION:
The essential principles by which this Whistleblowing Channel is governed are the following:
Prohibition of retaliation: The entity undertakes not to adopt any form of retaliation against any person who has made a complaint in good faith..
Confidentiality: The channel incorporates mechanisms that guarantee the confidentiality of the identity of the informant and any third party mentioned in the communication and offers a safe space to maintain contact with the people who manage the communications received and allow interaction between them and the informants anonymously..
Likewise, The protection of personal data is guaranteed as an essential principle in the management of communications received.
Anonymity: Communications can be made anonymously and that is why anonymity is ensured throughout the process., both in the presentation of the communication and in the bidirectional communications that occur in the different phases of the processing.
Celerity: Short deadlines are established to process the communication received and take the appropriate measures..
Independence: The Head of the System will carry out his functions independently and autonomously with respect to the rest of the entity bodies and will not receive instructions of any kind in his exercise..
System Management: The Compliance Unit is the body responsible for the management of the internal information system in accordance with the procedure established by its respective governing body..
Rights of affected people: Privacy rights are guaranteed, to honor, to the defense and the presumption of innocence of the people investigated and affected.
Proportionality: The actions to be carried out in the processing of the communications received will have the necessary and appropriate scope to achieve the intended purposes..
Communications can be sent in writing through the form on this website, by email to email admon@remediospicasat.com or by any other means. Whistleblowers may also direct their communications to the Independent Whistleblower Protection Authority or any other institution., competent body or body.
