Protocol of the GERMARK whistleblowing channel
1. INTRODUCTION
Germark, SA, with the aim of promoting a true culture of the entity in line with its values and principles, has implemented a regulatory compliance system in its organization and operation.
To carry out this commitment, this Protocol has been prepared, which includes the operating rules to process and resolve complaints received through the regulatory compliance channel.
2. PURPOSE
The purpose of this protocol is the regulation of an essential mechanism to guarantee compliance with the rules, which allows the entity to prevent possible non-compliance and correct those that are detected.
This is a channel through which Germark, SA receives and manages information or complaints about possible irregular conduct that involves a breach of the regulations, both external and internal, included in its protocols and Codes of Conduct.
3. AREA OF APPLICATION
This protocol will apply to all those people who are part of the entity, whether they are managers or workers, as well as any other person, linked or not to the entity, who may be aware of any breach of legal or regulatory standards. the internal rules of the entity contained in its Code of Ethics.
The Management of Germark, SA and the Coordinator appointed by it, Luis Yágüez Céspedes, must guarantee the availability of this Protocol to all workers and other natural or legal persons who have some type of connection with Germark, SA.
4. GUARANTEE
For its correct functioning, the whistleblowing channel complies with a series of essential guarantees, both for the whistleblower, the accused and for other people who may be involved.
Whistleblower guarantees: they are essential for the effectiveness of the channel, since their non-existence would discourage its use in the event of knowledge of improper conduct in the organization that represents a regulatory breach. These guarantees are the following:
- Confidentiality: the implemented reporting channel allows and guarantees the confidentiality of the complainant and the communications.
- Indemnity against retaliation. The complaint made cannot give rise to retaliation against the complainant. Therefore, the entity may not impose any sanction on the reporting employee that is motivated or related to the complaint.
- Right to be informed of the result and follow-up of the complaint.
Guarantees of the accused: the Channel also guarantees the rights of the accused and other people who may be affected. These guarantees are the following:
- The accused has the right to know the existence of a complaint against him.
- The accused has the right to be heard in the file and to make the allegations that he considers appropriate.
- The facts reported must be true, and false reports are totally prohibited. If the report turns out to be false, Germark, SA may apply a sanction to the complainant, in accordance with the provisions of its Code of Conduct or Internal Manuals.
Guarantees of others affected or involved: there may be third parties involved in the events, who may be affected, witnesses, etc., whose rights must also be protected. So:
- The protection of the privacy and dignity of other people who may be involved is guaranteed.
- The complainant must ensure that the information contained in the complaint in relation to the non-compliance that occurred is correct, as it could affect people other than the person reported.
5. PROCEDURE
5.1. Presentation of the complaint
Complaints can be made on the entity’s Channels:
http://web.germark.com/gknews/protocol_denuncies (intranet)
https://www.germark.com/en/whistleblowing_protocol/
sending an e-mail to: canal.denuncies@germark.com
The facts reported must be true, therefore, the complainant must ensure that the information provided in the complaint is correct.
5.2. Reception of the complaint
Once the complaint is received, it will be recorded and within seven business days an acknowledgment of receipt will be sent to the complainant.
Next, it will be analyzed and may result in its filing or the opening of a file, if the complaint results in any indication of criminality, non-compliance with non-criminal regulations or the entity’s internal regulations.
Complaint file
If the complaint turns out to be unfounded, it will be filed and the complainant will be informed. Personal data that may appear in the complaint will be removed from the channel.
Opening and processing of the file
If the complaint reveals indications as to its foundation, the person in charge of managing the complaints channel will inform the Management of Germark, SA of the opening of the file.
Likewise, he will forward the complaint to the accused within a period of no more than ten business days so that the latter can formulate, where appropriate, the appropriate allegations within the following three business days.
During the processing of the procedure, the person in charge of managing the complaints channel, the appropriate precautionary measures aimed at the immediate cessation of the regulatory non-compliance that was occurring.
With due transparency and confidentiality measures, the investigation process will begin, the duration of which will be three months from the receipt of the complaint, a period that may be extended for another three months in the event that the investigation requires more complex investigative procedures. or that require further action.
During this period, the tests necessary for an effective investigation of the facts will be carried out (interviews with those involved, request for documents, obtaining information through other people or external sources, etc.)
The person in charge of managing the complaints channel will have sufficient powers to contact any department or person of Germark, SA to obtain the necessary information or documentation.
The investigation process will be carried out with the utmost rigor to verify the veracity of the facts, respecting the presumption of innocence and the other rights of the reported persons.
Once the investigation is completed, a duly justified report of conclusions will be issued with the following recommendations:
- File the complaint if it is proven that the regulatory breach has not occurred.
- The corrective or sanctioning measures that may be appropriate if regulatory non-compliance is proven. These measures, depending on the results of the investigation and the file processed, may consist of the imposition of some sanction in accordance with the provisions of the entity’s internal manuals (Code of Ethics, Code of Conduct, etc.), in which transfer to the judge or the prosecutor’s office of the facts due to their criminal nature, as well as, where appropriate, the adoption of preventive measures deemed appropriate to prevent similar non-compliance from occurring again; and in accordance with the Collective Agreement of Graphic Arts, Manipulated Paper, Manipulated Cardboard, Publishing and Auxiliary Industries.
5.3. Conclusion of the file
It is ultimately up to the Management of Germark, SA to adopt the measures that put an end to the procedure. These may consist of filing the complaint or imposing corrective or sanctioning measures.
The complainant must be informed of the result of the complaint made within a period of three months or within a period of six months, in the event that an extension of the same has been agreed due to the investigations to be carried out, in accordance with what was previously indicated in the regard.
6. DATA PROCESSING IN THE COMPLAINTS CHANNEL
Under the provisions of art. 24.4 of Law 3/2018, of December 5, on the Protection of Personal Data and Guarantees of Digital Rights, the data of the person making the communication and of employees and third parties must be kept in the complaints system only for the time essential to decide on the appropriateness of initiating an investigation into the reported events.
In any case, and in accordance with art 22.4 of the Data Protection Law, after three months from the introduction of the data, they must be deleted from the complaints channel, unless the purpose of the conservation is to leave evidence. of the operation of the model for preventing the commission of crimes by the legal entity. Complaints that have not been acted upon may only be recorded in anonymized form, without the blocking obligation provided for in article 32 of this organic law being applicable.
After three months or six in the event that the investigation has been extended as indicated above, the data may continue to be processed by the body responsible for the investigation of the reported events, not being kept in the information system itself. internal complaints.
Cornellà, December 1st, 2023