Ethical channel management protocol
Revision date: 20/02/2025
INDEX
1. PURPOSE
2. DEFINITIONS
3. WHAT CAN BE COMMUNICATED?
4. WHO CAN COMMUNICATE?
5. PROTECTION MEASURES
6. PROCEDURE FOR ACTION
6.1. Interposition
6.2. Reception and evaluation
Internal investigation and resolution
7. EXTERNAL INFORMATION CHANNEL
8. CONFIDENTIALITY
9. PROTECTION OF PERSONAL DATA
1. PURPOSE
The purpose of this Protocol is to determine the operation to manage the communications received through the Ethical Channel of the companies that make up CIALFIR S.L. (hereinafter, “CIALFIR”), in accordance with current legislation and internal corporate regulations.
Access link to the Ethical Channel: https://www.cialfir.com/politica-de-privacidad/
Link to consult the status of the communication: https://latraca.factorialhr.es/complaints
2. DEFINITIONS
Ethical Channel: communication channel enabled by an entity so that people internal and/or external to the organization can report the commission of infractions.
Informant: a natural person who communicates information on violations obtained in the context of his or her activity.
Retaliation: any action or omission, direct or indirect, that takes place in a work context, that is motivated by an internal communication and that causes or may cause unjustified harm to the whistleblower.
System Manager: person responsible for the reception and management of communications received through CIALFIR’s Ethics Channel.
3. WHAT CAN BE COMMUNICATED?
You can communicate through the Ethical Channel:
a) Any acts or omissions that may constitute breaches of European Union law provided that:
– Enter within the scope of the European Union acts listed in the Annex to Directive (EU) 2019/1937 of the European Parliament and of the Council of 23 October 2019 on the protection of persons reporting breaches of Union law;
– Affect the financial interests of the European Union; or
– They affect the internal market, including infringements of the European Union rules on competition and aid granted by the States, as well as infringements relating to the internal market in connection with acts that infringe the corporate tax rules or practices whose purpose is to obtain a tax advantage that distorts the object or purpose of the legislation applicable to corporate tax.
b) Actions or omissions that may constitute a serious or very serious criminal or administrative offense (e.g., sexual harassment).
The Channel is the preferred channel for reporting the actions or omissions listed above. In the event that a member of CIALFIR verbally communicates an infraction to his or her hierarchical superior, he or she must also bring the facts to the attention of the person in charge of the system through the Ethics Channel.
Important: Failure to report an infraction through the Ethics Channel could be understood as a breach of good contract and indiscipline or disobedience at work on the part of the employee in question, with disciplinary sanctions for such conduct in accordance with the applicable collective bargaining agreement and the Workers’ Statute.
4. WHO CAN COMMUNICATE?
The Channel may be used by those persons who have obtained information about infringements in a work or professional context, including in any case:
– persons having the status of public employees or employees;
– self-employed persons;
– shareholders, participants and persons belonging to the administrative, management or supervisory body, including non-executive members; and
– any person working for or under the supervision and management of contractors, subcontractors and suppliers of CIALFIR.
Likewise, it may also be used by those persons who communicate or publicly disclose information on infringements obtained within the framework of an employment or statutory relationship that has already ended, volunteers, interns, trainees (regardless of whether or not they receive remuneration), as well as those whose employment relationship has not yet begun, in cases where the information on infringements has been obtained during the selection process or pre-contractual negotiation.
5. PROTECTION MEASURES
Persons who report or disclose violations through the Ethics Channel shall be entitled to protection, provided that the following circumstances are met:
(a) have reasonable grounds to believe that the information provided is true at the time of the communication or disclosure, even if they do not provide conclusive evidence, and that the information is within the material scope of application; or
b) The communication or disclosure has been made in accordance with the requirements set forth in Law 2/2023, of February 20, regulating the protection of persons who report regulatory violations and the fight against corruption.
Excluded from the right to protection are those persons who communicate or disclose:
a) Information contained in communications that have been rejected by the Canal:
– When the facts lack all plausibility;
– When the facts do not constitute a serious or very serious administrative or criminal offense;
– When the communication is manifestly unfounded or there are reasonable indications that it was obtained through the commission of a crime. In the latter case, in addition to the inadmissibility, the facts constituting a crime shall be referred to the Public Prosecutor’s Office; and
– When the information does not contain significant new information on infringements in comparison with a previous communication in respect of which the corresponding procedures have been concluded, unless there are new circumstances that justify a different follow-up.
b) Information related to complaints about interpersonal conflicts.
c) Information that is already fully available to the public or that are mere rumors.
The adoption of any kind of retaliation against a whistleblower who decides to use the Ethical Channel in good faith will not be tolerated, being only possible to sanction an improper use of the latter consisting in the interposition of false, unfounded communications and/or solely for the purpose of slandering, defaming or harming third parties. To this end, CIALFIR reserves the right to take appropriate action against any person who retaliates against a whistleblower.
6. PROCEDURE FOR ACTION
6.1. Interposition
Whenever possible, communication through the Channel should include:
– a detailed description of the events that occurred and the way in which the informant became aware of them;
– date and place where the event took place;
– names and positions of the persons involved or elements that may allow their identification;
– names of other persons who may inform about the events that are the subject of the communication; and
– reference to any document that may confirm that the reported events took place.
6.2. Reception and evaluation
The CIALFIR System Manager, Ms. Yolanda Enríquez Marques, is the person in charge of receiving and managing the communications received through the Ethical Channel, thus guaranteeing maximum independence and impartiality in the exercise of such functions, as well as the confidentiality of the information communicated.
Upon receipt of a communication, the System Manager acknowledges receipt of the communication to the informant within a maximum period of 7 calendar days from its receipt.
Subsequently, the System Manager carries out a preliminary examination to verify the entity, sufficiency and plausibility of the facts reported, determining whether they can be considered as an “infringement” that can be reported through the Channel, in accordance with the provisions of this Protocol or, on the contrary, whether such report should be rejected.
In the event that the communication affects the System Manager personally and places him/her in a situation of conflict of interest, he/she shall abstain from participating in the process of handling the communication. Consequently, a new person in charge will be appointed to deal with the case.
If it is detected that the communication contains formal or material defects, the informant is granted a period of 10 working days to correct the defect in question. On the other hand, if the System Manager considers that the information communicated is insufficient, he/she requests the informant to extend it within the aforementioned period of time, detailing the specific aspects to be extended.
Once the preliminary examination of the communication has been carried out, by means of a reasoned report, the System Manager:
a) will admit the communication and:
– the informant is informed of the measures planned or adopted to manage his or her communication and the reasons for such measures.
b) shall reject the communication as inadmissible and proceed to file it immediately when:
– the reported facts are not considered a “violation” that can be reported through the Ethics Channel;
– After the period granted has expired, the informant has not complied with the requirements of the System Manager to correct or expand the content of the communication;
– the reported facts are already under investigation; or
– the communication is considered irrelevant or inappropriate;
Once the communication is admitted, the System Manager registers it, recording the following points:
– Identification number of the communication;
– Date of receipt and acknowledgement of receipt;
– Summary of facts;
– Final report of the internal investigation, if any; and
– Resolution of the communication.
In the event of a situation of harassment, the informant can choose between making a “complaint” directly to the Equality Officer, which will be dealt with directly with the latter, or formalizing a communication through the Ethics Channel.
Internal investigation and resolution
Based on the outcome of the preliminary review, the System Manager determines whether it is necessary to initiate an internal investigation procedure or whether, on the contrary, the resolution of the communication does not require its adoption.
In the event of an internal investigation, this includes all the steps deemed necessary to clarify the facts reported and identify those responsible, while maintaining the formality of hearing the parties involved and always respecting their fundamental rights. This phase includes, but is not limited to, conducting interviews with the persons involved, gathering documentary and/or video evidence, verification of public records, among others.
In any case, the affected person is informed of the actions or omissions attributed to him/her, and has the right to be heard in the investigation process, and the contributions made by him/her are recorded in the minutes.
The resolution of the communication is made within a reasonable period of time, which may not exceed three months from the acknowledgement of receipt (extendable to six (6) months in the case of a case of special difficulty).
The resolution made by the System Manager is sent to both the reporting party and the affected party. If it is detected that the reported facts are punishable, and provided that the offending person is an employee of the organization, the disciplinary sanction is applied in accordance with the provisions of the applicable collective bargaining agreement.
If it is considered that the facts under investigation may constitute a crime, the information shall be immediately forwarded to the Public Prosecutor’s Office. Likewise, in the event that the facts affect the financial interests of the European Union, it shall be forwarded to the European Public Prosecutor’s Office.
7. EXTERNAL INFORMATION CHANNEL
Any person may report to the Independent Authority for Whistleblower Protection (hereinafter, IAIP), or to the corresponding regional authorities or bodies, the commission of any action or omission included in the second section of this document.
In this case, we provide the following link to the Anti-Fraud Office of Catalonia, as A.A.I. of the Autonomous Community of Catalonia, where CIALFIR has its registered office: https://denunciesanonimes.antifrau.cat/#/?lang=es
8. CONFIDENTIALITY
Any person making a communication or public disclosure has the right to safeguard his or her identity.
In the event of disclosure of the informant’s identity, it may only be communicated to the Judicial Authority, the Public Prosecutor’s Office or the competent administrative authority in the context of a criminal, disciplinary or sanctioning investigation. In this case, the informant is informed that his or her identity will be disclosed prior to disclosure, unless such information could jeopardize the investigation or judicial proceedings.
Important: When the informant’s communication is made through channels other than those established or to staff members other than those responsible for its processing, the recipient must send the communication to the System Manager as soon as possible and on a mandatory basis. Failure to comply with this measure may result in a very serious infringement.
9. PROTECTION OF PERSONAL DATA
The data processed will be kept only for the time necessary to decide whether to initiate an investigation into the reported facts.
If it is proven that the information provided or part of it is not truthful, it will be immediately deleted as soon as this circumstance becomes known, unless the lack of truthfulness may constitute a criminal offense, in which case the information will be kept for the necessary time during the legal proceedings.
In any case, once three months have elapsed since the receipt of the communication without any investigation actions having been initiated, the data will be deleted, unless the purpose of the conservation is to leave evidence of the operation of the system. Communications that have not been acted upon are retained in an anonymized form, without the blocking obligation provided for in article 32 of Organic Law 3/2018, of December 5, being applicable.
Responsible: CIALFIR
Purpose: we use your data to respond to communications made through the Ethical Channel and to be able to issue a resolution.
Legitimation: the processing is necessary for compliance with a legal obligation applicable to the data controller.
Recipients: your data are processed by the System Manager, the HR department, in the event that disciplinary measures may be taken against an employee, the legal services, the data processors that may be appointed and the data protection officer.
The processing of data by other persons, or even their communication to third parties, will be lawful when necessary for the adoption of corrective measures in the entity or the processing of sanctioning or criminal proceedings that, where appropriate, may be applicable.
Rights: you have the right to access, rectify, delete, oppose, limit and request the portability of your personal data. In the event that the person to whom the facts related in the communication or to whom the public disclosure refers exercises the right of opposition, it will be presumed that, unless proven otherwise, there are compelling legitimate reasons that legitimize the processing of their personal data.