INFORMATION MANAGEMENT PROCEDURE

• PURPOSE

This document has been drawn up with the purpose of establishing the Management Procedure for Information Received corresponding to the Internal Information System or Whistleblowing Channel of this entity.

This Management Procedure respects and complies in all cases with the minimum requirements established by Act 2/2023, of 20 February, regulating the protection of persons who report regulatory infringements and the fight against corruption.

 

• SCOPE

This procedure applies to all notifications received through the Internal Information System or Whistleblowing Channel of this entity.

 

• RESPONSIBILITIES

- Designate a person responsible (hereinafter "System Manager") for managing and processing the notifications received through the Internal Information System, as well as their dismissal or termination.

- Both the appointment and the dismissal of the individually appointed person, as well as of the members of the collegiate body, must be notified to the Independent Authority for the Protection of the Informant, A.A.I., or, where appropriate, to the competent authorities or bodies of the Autonomous Communities, within the scope of their respective competences, within the following ten working days, specifying, in the case of dismissal, the justifying reasons.

- Exceptionally, it shall also designate a substitute for the system manager in the event of their absence.

- Establish guarantees for the protection of whistleblowers within the entity or body.

- Have a policy or strategy that sets out the general principles for internal information systems and whistleblower protection and that is well publicised within the entity or body.

- Approve this procedure.

- Keep this procedure up to date

 

3.2.- The System Manager:

- Carry out its duties independently and autonomously from the other bodies of the entity or body, they may not receive instructions of any kind in their activity and must have all the personal and material means required to carry them out.

- The System Manager shall be responsible for the diligent handling of notifications received through the Internal Information System or Whistleblowing Channel.

- Respect and ensure proper compliance with this procedure.

• RIGHTS AND GUARANTEES OF THE PARTIES

• Any communication/complaint sent through the channels set forth in this procedure will be treated with total and absolute confidentiality.

  In any case, this entity shall prioritise and respect the right to the presumption of innocence and the right to honour of any of the parties involved in a communication/complaint, ensuring that the rights of any party involved are not violated.

  Throughout the course of the investigation of a communication/complaint, the right of the person concerned to be informed of the actions or omissions attributed to them shall be guaranteed. However, the exercise of this right shall be temporarily limited until such time as is appropriate to ensure the proper conduct of the investigation.

  Respect for the provisions on the protection of personal data in accordance with the provisions of Title V of Act 2/2023 of 20 February on the protection of persons who report regulatory infringements and the fight against corruption shall be ensured.

  This entity shall inform the users of the system in a clear and accessible manner about the external whistleblowing channels to the competent authorities and, where appropriate, to the institutions, bodies, offices or agencies of the European Union.

  In particular, the complainant is informed that:

  The complainant person has the following External Information Channels at their disposal, and they may use them in the same way as they use this Internal Channel:

  • External Information Channel of the Independent Authority for Whistleblower Protection, I.A.P.A.: "In development"
  • External Information Channel of the Autonomous Community: "Include access to the Complaints Channel of the specific Autonomous Community"
  • External Whistleblower Channel EU law: https://commission.europa.eu/about-european-commission/contact/problems-and-complaints/complaints-about-breaches-eu-law-member-states/how-make-complaint-eu-level_es
  • Protective information EU law: https://commission.europa.eu/aid-development-cooperation-fundamental-rights/your-rights-eu_en

 

• INTERNAL INFORMATION CHANNEL/WHISTLEBLOWING CHANNEL

This entity has adopted as an Internal Information Channel, called "Whistleblowing Channel", an online complaints management system accessible from:

The entity's own website via the link:

https://canaldedenuncia.org/admin/login.php

Mobile application "Whistleblowing Channel", available for download via IOS and Android:

Android: https://play.google.com/store/apps/details?id=com.GrupoAtico34.canaldedenuncia

IOS: https://apps.apple.com/us/app/canal-de-denuncia/id1110646076?l=es&ls=1

 

5.1.- Procedure for sending complaints

The Whistleblowing Channel enables two ways of submitting complaints by those who wish to do so, hereinafter referred to as users:

1. Making complaints by identifying the parties making the communications.
2. Making Anonymous Complaints.

 

1. Sending a complaint by identifying the complainant.

Users can make a communication/complaint by accessing the link provided on the corporate website or through the mobile application Whistleblowing Channel.

Access will require users to use "Username" and "Password" login credentials. These access credentials can be provided to users in two ways:

• Communicated by the System Manager to Users individually, in the event that they have been previously registered through their access panel to the Whistleblower Channel.
• Credentials received by the User to their e-mail once they have registered on the Whistleblower Channel web access panel.

 

1. Sending an anonymous complaint.

Once the User accesses the link provided on the entity's website, they can make an Anonymous Complaint by clicking on the "Anonymous Complaint" option.

To send an anonymous complaint, the "Company Name" field must be filled in correctly and with the indications provided in the MANUAL FOR THE USE OF THE USER WHISTLEBLOWING CHANNEL available to the entity.

 

5.2.- Receipt of a complaint, acknowledgement of status to the complainant and exchange of information between complainant and System Manager

The System Manager will be able to manage and receive each of the complaints made by accessing them through the Complaints section of the Complaints Management Web System, accessible through the link provided on the entity's website. In order to access this Panel, the person in charge of the system will need to identify themselves with the User and Password provided by the entity.

Within their work area of receiving and managing complaints, they can distinguish between complaints that are in process and those that have already been reviewed and managed.

In the "In Process" section, the System Manager will have at their disposal all the complaints received to be managed, being able to differentiate whether they are complaints from Users identified by name and surname or those that are anonymous, the date of receipt or registration of each complaint, the number of days it has been open, as well as the status of the complaint.

The different Statuses that complaints that are in Process may have are:

• Received: The complaint has arrived, but has not been processed.
• Ongoing: The working procedure on the complaint is ongoing.

Once a complaint has been received by the System Manager, the mandatory acknowledgement of receipt shall be communicated to the complainant as soon as possible, and in any case within a maximum of 7 calendar days from receipt, except in cases in which this could jeopardise the confidentiality of the communication.

Once the System Manager communicates the acknowledgement of receipt to the complainant, the latter will receive a notification informing them that it has been received via the email address provided in their user profile within the system.

In the case of a non-anonymous complaint, the complainant will be able to see the processing status of their complaint in the section "Access to Anonymous Complaint" and by means of the tracking code provided to anonymous Users at the time of sending their complaints.

The processing statuses in which a complaint can be found are:

• Received: The complaint has arrived, but has not been processed.
• Ongoing: The working procedure on the complaint is ongoing.
• Processed: The complaint has been successfully handled.

Any change in the status of the complaints made by the System Manager will be notified to the complainant who has identified themselves when submitting the complaints via email. This is provided that the User is allowed to notify changes of status acknowledgements via email.

As mentioned above, the notification of the acknowledgement of receipt to the complainant by the System Manager, as well as any other changes in status that the System Manager wishes to make regarding each complaint, shall be carried out through the "Notifications" section, within the latter's complaint management panel. The following complaint processing statuses may be communicated to the complainant:

• Notification of complaint received
• Notification of ongoing complaint
• Notification of resolution of the complaint

The system will record the notifications made to the complainant with a record of the date it was sent, and inform the System Manager if it has been received and read by the complainant through their access to the online system.

Moreover, the System Manager may modify the content of the message sent to the complainant when changing the processing status of each complaint.

 

5.3.- Processing of the Complaint

Once the System Manager has notified the complainant that the complaint is being processed, they will begin the investigation and development of the complaint.

The maximum period for responding to the investigative measures may not exceed three months from the receipt of the communication or, if no acknowledgement of receipt was sent to the informant, three months from the expiry of the seven-day period following the communication, except in cases of special complexity requiring an extension of the deadline, in which case the deadline may be extended by up to a maximum of a further three months.

On the system they can work on the complaint, as well as issue a report and send it to the management bodies of the entity.

During the handling of the complaint, provision is made for the possibility to communicate with the reporter and, if deemed necessary, to request additional information from the reporter. This option can be carried out both externally and through the means enabled in the Whistleblowing Channel itself via the "Chat" button available in each of the complaints received.

In any case, the information contained in the complaint, or that which may be obtained during its investigation, will be immediately brought to the attention of the Public Prosecutor's Office when the facts may be indicative of a crime. If the facts affect the financial interests of the European Union, a referral shall be made to the European Public Prosecutor's Office.

5.4.- Completion of the complaint

Once the study and investigation of the complaint has been completed, the System Manager will communicate the status acknowledgement to the complainant through the option "Notify resolution of the complaint".

This resolution notification of the complaint will in no case inform the complainant of the internal outcome of the investigation.

Once the complaint has been finalised, it will be listed in the Revised Complaints section in the Complaints section, and from then on it will be completely blocked and it will not be possible to change it in any way.

 

5.4 - Receiving complaints through other channels

When the communication/complaint is sent through channels other than those established or is addressed to members of staff that are not responsible for its processing, who have been trained in this matter and warned of the classification of its violation as a very serious infringement, the recipient of the communication must immediately forward it to the System Manager.

Notwithstanding the above, this type of communication shall enjoy the same confidentiality as if it were a complaint sent through the channels established by the institution.

 

POLICIES OF GENERAL PRINCIPLES REGARDING THE INTERNAL INFORMATION SYSTEM AND WHISTLEBLOWER PROTECTION

1. INTRODUCTION

The Policy on General Principles for the Internal Reporting System and Whistleblower Protection (hereinafter referred to as the Policy) aims to set forth a firm foundation to promote the proper use of the Internal Reporting System of this entity and to ensure full whistleblower protection.

 

2. SCOPE

This policy applies across the board and in its entirety to this entity.

The principles of whistleblower protection and defence included in this policy shall apply to whistleblowers in accordance with the provisions of Act 2/2023 of 20 February on the protection of persons who report regulatory infringements and the fight against corruption.

 

3. POLICY PRINCIPLES

This Policy aims to comply with the obligations contained in Act 2/2023, of 20 February, regulating the protection of persons who report regulatory infringements and the fight against corruption.

On the basis of the legal content imposed in the aforementioned Act, this entity undertakes firmly to:

• Maintain a control mechanism to support internal processes to improve and maintain the quality of the Internal Information System.
• Ensure that any and all communications made through the Internal Information System are handled.
• Develop and maintain transparent policies and procedures for all key data processed through the Internal Information System.
• Implement measures and introduce appropriate mechanisms to ensure the security of information provided through the Internal Information System, as well as to reinforce and guarantee the protection and defence of the whistleblower.
• Provide advice, training and support to staff as needed on both the use and promotion of the use of the Internal Information System and whistleblower advocacy.
• Ensure that all levels of the organisation commit to and support the policies for the use and utilisation of the Internal Information System, as well as the promotion of whistleblower advocacy, so that they can be coordinated and integrated with other strategic initiatives to form a fully coherent and effective framework.
• It shall ensure the non-disclosure of the data included in the communications carried out through the Internal Information System.
• It shall restrict access to data included in the communications carried out through the Internal Information System.
• Strictly comply with each and every one of the measures included in Act 2/2023, of 20 February, regulating the protection of persons who report regulatory infringements and the fight against corruption.

 

4. CONTROL AND ENFORCEMENT OF THE POLICY

The management bodies of the entity shall ensure the correct and adequate compliance with the content of these Policies.

 

MANUAL FOR THE USE OF THE USER COMPLAINTS CHANNEL

• PURPOSE

This document has been drawn up with the purpose of providing all subjects within the scope of application of the Internal Reporting System or Whistleblower Channel implemented in this entity with all the necessary information on its use and application, all in accordance with the provisions of Act 2/2023, of 20 February, regulating the protection of persons who report regulatory infringements and the fight against corruption.

 

• HOW TO ACCESS THE INTERNAL REPORTING SYSTEM OR WHISTLEBLOWING CHANNEL

The Internal Information System or Whistleblowing Channel enables access to subjects wishing to make a complaint, hereinafter referred to as "users", through the entity's own website and via the following link:

"Include Access Link"

 

• HOW TO MAKE A COMPLAINT

The Whistleblowing Channel enables two ways of submitting complaints by users:

1. Making complaints by identifying the parties making the communications.
2. Making Anonymous Complaints.

 

1. MAKING A COMPLAINT BY IDENTIFYING THE COMPLAINANT

Users may access the Whistleblower Channel on the entity's website by entering the following credentials: "Username" and "Password".

Access credentials will be available to the User, and will be sent to their e-mail address, once they have registered on the Whistleblowing Channel access page. To do so, they must access through the option "New user registration" and fill in each of the fields.

Once the User has their credentials, they must enter them and click on the "ENTER" option.

If the User has previously registered, and cannot remember their password, they can click on the option "Remember login details",and follow the steps to recover their password.

Likewise, and before accessing, the user can change the language of the Whistleblower Channel by clicking on each of the different flags that are available.

Once in the Whistleblower Channel, the User's name and surname will be displayed, as well as a horizontal menu below it.

Clicking on each of the menu options will take you to them. The options displayed in the menu are as follows:

3.A.1.- Profile

3.A.2.- New complaint

3.A.3.- List of Complaints

3.A.4.- Help Guide

3.A.1.- Profile:

The user will be able to change the following data:

• Telephone number
• E-mail address
• Password

Once the data has been modified, whenever the user wants to save the new data entered, they must click on the "Change data" button.

Likewise, it is possible for the User to activate the option (*) "Receive notifications" at any time.

(*) The "Receive notifications" option enables the user to decide at any time whether they wish to receive notifications of the status of the complaint sent to them by the entity's System Manager by email.

 

3.A.2.- New complaint:

This section enables the user to detail and explain the communication that they wish to send to the entity through this channel.

The following fields to be filled in will be displayed:

• Detailed statement
• Affected area
• Persons involved
• Place of occurrence
• Date/time of occurrence

They must click on the date format field dd/mm/Yiyi in order to indicate the desired day, as well as click on the time format field --:-- and indicate the hour and minute.

• Attach documentation

If they wish to include a document with the communication, they must click on the blank field under Attach document, and select the file location in their computer's file explorer.

In order to send the complaint, the user must fill in each of the fields provided, with the exception of "Attach documentation" (optional), and click on the "Send complaint" button.

 

3.A.3.- Complaints List:

Within this option, the User will be shown a list of the communications made through the system.

This list of communications enables them to list the communications made by displaying up to 10, up to 25, up to 50 or up to 100 on the same page. They can choose the viewing mode by clicking on the arrow below the "Show" option.

Likewise, the user may search for a specific communication individually by entering the date on which it was registered or sent in the blank field on the right-hand side of the screen below the text "Search:".

The list of communications will show in each one the name and surname of the User, their ID, the Date of Registration or sending, the State of processing of the communication and the number of days that the complaint has been open since it was sent until its resolution.

From the Notifications section, the User can view the different acknowledgements of the status of their complaints, which will be sent to them by the entity.

• Received: The communication has been sent but receipt has not been acknowledged and no action has been initiated by the entity.
• Ongoing: Receipt of the communication has been acknowledged and the entity has started the management process.
• Processed: The entity's management and investigation procedure has been completed.

 

The status of the list of communications sent by the User to the entity will be modified as the information process progresses. However, the entity will notify the user through the e-mail address provided by them in the "Profile" tab of each of the changes in the status of the communications made.

By means of the "Messages" button ,the User and the Head of the Entity may initiate a communication regarding each complaint made, as well as exchange documentation in this regard.

 

3.A.4.- Help Guide:

This section will enable the user to view a video guide on how to use the system.

 

1. MAKING AN ANONYMOUS COMPLAINT

Once the User accesses the link provided on the entity's website, they can make an Anonymous Complaint by clicking on the "Anonymous Complaint" option.

This section enables the user to detail and explain the communication that they wish to send to the entity through this channel.

The following fields to be filled in will be displayed:

• Detailed statement
• Affected area
• Persons involved
• Place of occurrence
• Date/time of occurrence

They must click on the date format field dd/mm/yyyy in order to indicate the desired day, as well as click on the time format field --:-- and indicate the hour and minute.

• Attach documentation

If they wish to include a document with the communication, they must click on the blank field under Attach document, and select the file location in their computer's file explorer.

In order to send the complaint, the user must fill in each of the fields provided, with the exception of "Attach documentation" (optional), and click on the "Send complaint" button.

Once the User submits the complaint, a complaint tracking code will be displayed on the screen. This code is unique and must be noted and kept by the anonymous complainant when reporting.

Given the confidentiality of this Whistleblowing Channel, if the anonymous whistleblower loses this code, it cannot be provided to them by any other means, making it impossible to follow up the complaint.

 

3.B.1 - Follow-up of Anonymous Complaints:

By means of the "Access Anonymous Complaint" button ,the User will be able to access a panel to monitor the Complaint.

In order to access the follow-up, the User must enter the identification code of the complaint that has been provided to them at the time of submitting the complaint.

Once the User has logged in, they will be shown the information on their complaint with the Date of Registration or sending, the State of processing of the communication and the number of days that the complaint has been open since it was sent until its resolution.

From the Notifications section, the User can view the different acknowledgements of the status of their complaints, which will be sent to them by the entity.

• Received: The communication has been sent but receipt has not been acknowledged and no action has been initiated by the entity.
• In progress: Receipt of the communication has been acknowledged and the entity has started the management process.
• Processed: The entity's management and investigation procedure has been completed.

The status of the list of communications sent by the User to the entity will be modified as the information process progresses.

By means of the "Messages" button ,the User and the Head of the Entity may initiate a communication regarding each complaint made, as well as exchange documentation in this regard.

 Communications to the Ethics Channel/Complaints Channel may be made by e-mail to buzoncodigoetico@scalperscompany.com and for those cases in which the complaint may be anonymous, the channel is through the following link to the portal  Portal of the complaints channel