Regulation on the Reporting of Irregularities
Introduction
This document establishes (and consolidates) the Protection Regulation that shelters/applies to whistleblowers who have obtained information about violations in a professional context, whether they are employees, customers, suppliers or management bodies. This document applies a set of rules that ensure effective protection of Whistleblowers in relation to acts and areas of intervention. It determines protective measures, as well as internal rules and procedures for receiving and handling the report of irregularities, in accordance with the applicable legal provisions, as well as CodeWin's rules, principles and values.
Conditions for integration in the Whistleblowing channel
Whistleblowers benefit from the protection of the Regulation provided that:
- the whistleblower is in good faith;
- have had reasonable grounds to believe that the reported breach information is true at the time it was transmitted and that it falls within the scope;
- persons who anonymously reported or publicly disseminated information about violations, but who were subsequently identified and retaliated against;
Personal Scope of Application
The Whistleblowing Channel applies to and shelters:
- Employees
- Clients
- Suppliers
- Management bodies or shareholders
- Management or supervisory bodies
- Any persons working under the supervision and direction of CodeWin's contractors, subcontractors and suppliers
- Whistleblowers in cases where they communicate or publicly disclose information about violations obtained in an employment relationship that has since ended.
The protection conferred by this law is extended, mutatis mutandis, to:
- Natural Person who assists the whistleblower in the whistleblowing procedure and whose assistance must be confidential (Facilitators)
- Third parties who are linked to the whistleblower (co-worker, family member who may be subject to retaliation in a professional context...)
- Legal persons or similar entities that are owned or controlled by the reporting person, for whom the reporting person works or with which he or she is in any way connected in a professional context
Objectives of the Whistleblowing Channel
Irregularities covered by this Regulation shall mean acts in the following areas:
- Public Procurement;
- Financial Services, Products and Markets and the Prevention of Money Laundering and Terrorist Financing;
- Product safety and compliance;
- Transport Safety;
- Environmental Protection;
- Damage to the environment;
- Radiation protection and nuclear safety;
- Food and feed safety, animal health and welfare;
- Public health;
- Consumer Protection;
- Protection of the privacy of personal data and security of the network and information systems;
- Violations of the financial interests of the European Union;
- Infringements related to the internal market, including competition and state aid rules, as well as corporate tax rules;
- Violent crime, especially violent and highly organized. As well as organized and economic and financial crime (e.g. active/passive corruption);
- Violation of internal rules or policies;
Mode of Communication
This Regulation is based on a voluntary whistleblowing regime, whose system for receiving, processing and handling whistleblowing operates through communication channels dedicated to this purpose, promoting the full integrity, confidentiality of the identity or anonymity of whistleblowers in addition to the confidentiality of the identity of third parties mentioned in the whistleblowing, ensuring the prevention of access by unauthorized persons.
The submission of complaints may be made anonymously (in this case, anonymity must be requested by the Whistleblower at the time of the request) or by maintaining the confidentiality of the whistleblower's identity by the staff authorized to handle the complaint, and in any case it may be submitted in written and/or verbal form. In any case, the written complaint (in the case of writing) and/or the request for contact for denunciation (in the case of a verbal complaint) should be sent to the following email:
Processing of Communication
Under the terms defined by this Regulation, all reports of irregularities are treated as confidential information, and the whistleblowing channel has designated persons (who are subject to impartiality clauses) being in charge of receiving the complaint and maintaining communication with the whistleblower, if necessary, requesting more information and giving the whistleblower feedback on the information, also committing to provide this information within a reasonable time.
Authorized Processing Personnel
The Whistleblowing Channel, given the criticality of the information, adopts the need-to-know principle, restricting and differentiating between: knowledge of the complaint; and the identity of the whistleblower. Only authorized staff in charge of handling the report may be aware of the identity of the whistleblower.
There is a person responsible for regulatory compliance who performs his functions independently, permanently and with decision-making autonomy, having the internal information and the human and technical resources necessary for the proper performance of his function.
Under the terms of the legislation in force, this person responsible for regulatory compliance is transversal between the companies of the MoOngy S.A. group.
In order to preserve integrity, limiting information, maintaining greater independence from the operation of the channel, the identity of the Compliance Officer responsible for the maintenance, preservation and integrity of the channel will be kept anonymous to the group, only being conveyed that it will be ensured by specific personnel and seconded exclusively to the channel, with the elements trained in the Whistleblowing Channel being part of the DPG.
The Compliance Officer, as well as the Authorized Personnel, is subject to a specific NDA regarding the Whistleblowing Channel, in order to safeguard any complaint under a strict duty of confidentiality.
Fact-Finding Process
The communication/complaint will be sent internally to the person responsible for the reporting channel. The court should determine whether the report of irregularity contains minimum grounds for initiating an investigation procedure.
The receipt of a communication/complaint will always give rise to an investigation procedure, unless it is manifestly found that it is unfounded.
The authorized personnel who will be in charge of the investigation process shall promote the implementation of appropriate measures to protect the Information and data contained in the communications and respective records, as well as promote the necessary actions for the initial confirmation of the grounds.
CodeWin undertakes to inform the author of the report, within a reasonable period of time (not exceeding three months after notification sent to the whistleblower), about the measures planned or taken to follow up on the report and the reasons that justify the choice of such follow-up, as well as the conclusions of the investigation carried out. The investigation process ends with the documentation of the results, grounds and conclusions, in addition to the formulation of recommendations and measures appropriate to the situation, otherwise, if it is considered unfounded (due to scarcity or invalidity), the complaint will be archived.
Protective Measures
Prohibition of Retaliation
The Complaint may not imply, in any way, any act of retaliation (threats or attempts are also included), or omission that, directly or indirectly, occurring in a professional context and motivated by a complaint, causes or may cause the whistleblower or the facilitators of the complaint, in an unjustified manner, material or non-material damage such as harassment, subpoena or discrimination, and CodeWin must ensure that this does not occur.
The person who commits an act of retaliation compensates the whistleblower for the damage caused, the whistleblower may request the appropriate measures in the circumstances of the case, in order to avoid the occurrence or expansion of the damages. The disciplinary sanction applied to the whistleblower up to two years after the report or public disclosure is presumed to be abusive, all those listed in the section "personal scope" are covered by this protection
Exception due to the need for sharing
If for any reason the identity of the whistleblower absolutely needs to be provided to any other party during the investigation process, the whistleblower will receive a request for consent (with the reason why it is considered a necessary and proportionate obligation to know the identity of the whistleblower) to be given by the whistleblower himself/herself, so that the whistleblower allows (or does not allow) of his/her own free will, the sharing of identity to the extent that the information is conceivable to be essential for the investigation, in order to safeguard the rights of defence of the person concerned.
It should be noted that this request for consent will be requested from the whistleblower, one for each individual (in a singular way) to whom sharing is essential. Under the terms of the legislation on the Whistleblowing Channel, the situation where such identity disclosure information compromises investigations or legal proceedings in the context of an investigation by national authorities is established as an exception, in this specific situation consent is derogated.
Support Measures
The Whistleblower is entitled, in general terms, to legal protection, and may benefit from measures for the protection of witnesses in criminal proceedings. It is CodeWin's responsibility to recognize the status of the Whistleblower through certification.
Personal data
It should be noted that the confidentiality of the identity of the whistleblower also applies to the identity of the persons listed in the "personal scope".
The information collected under the whistleblowing channel will be used exclusively for the purposes set out therein. For these purposes, the maximum protection established under the terms of the General Data Protection Regulation will be ensured for the treatment of each complaint and especially the Identity of the Whistleblower.
In particular, the Data Minimization Principle will ensure that authorized personnel have access to the minimum amount of information necessary regarding the Whistleblower's identity and Data. Without specifying, the other principles (such as limitation of processing, liability...) and practices of the GDPR will be applied in order to ensure the protection of the whistleblower's data.
Non-waiver of Rights
In order to ensure integrity and frustrate any impediments or pressures from third parties towards the whistleblower and other listed persons covered by the protection, the Right to the aforementioned Protection Measures is totally non-waivable, and cannot be waived or limited by any agreements, policies, forms or conditions. Contractual provisions that limit or prevent the submission or follow-up of complaints or the public disclosure of infringements under this law are null and void.
Capture of the Complaint
Those responsible for processing the report have the right to capture (with the consent and choice of the reporting person the mode of recording, either in written form - reports, minutes - or verbally - in the form of audio capture or other forms of multimedia)
Production and dissemination of reliable information
The information related to the whistleblowing is kept for one year, in order to be integrated (maintaining maximum confidentiality) into the report on the company's preventive activity, to evaluate the integration and operations of the whistleblowing channel, in addition to guiding the company's preventive activity, rationalizing the allocation of available means and increasing the level of effectiveness of the system. in order to allow a global understanding and as close as possible to the contours of these crimes and the effectiveness of their investigation, in addition to scrutinizing the overall response time of the reporting channel.
The Irregularity Reporting Regulation is reviewed annually after an annual report on the implementation and operation of the Whistleblowing Channel and is fully supported by our management.
.png)