Whistleblower channel

INFORMATION MANAGEMENT PROCEDURE
  • OBJECT

This document has been prepared for the purpose of establishing the Procedure for Managing Information Received, corresponding to the Internal Information System or Reporting Channel of this entity.

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

  • SCOPE

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

  • RESPONSIBILITIES

3.1 - From the administrative body/governing body of this entity/organization

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

- Both the appointment and the termination of the individually designated natural person, as well as the members of the collegiate body, must be notified to the Independent Authority for the Protection of Informants, AAI, or, where appropriate, to the competent authorities or bodies of the autonomous communities, within the scope of their respective powers, within the following ten business days, specifying, in the case of termination, the reasons that have justified it.

- Likewise, and exceptionally, a substitute for the person responsible for the system will be appointed in the event of his/her absence.

- Establish guarantees for the protection of informants within the scope of the entity or organization itself.

- Have a policy or strategy that sets out the general principles regarding internal information systems and whistleblower protection and that is duly publicized within the entity or organization.

- Approve this procedure.

- Keep this procedure up to date

3.2 - From the System Manager:

- Carry out their functions independently and autonomously with respect to the rest of the bodies of the entity or organization, may not receive instructions of any kind in their exercise, and must have all the personal and material means necessary to carry them out.

- The System Manager will be responsible for the diligent processing of notifications received through the Internal Information System or Reporting Channel.

- Respect and ensure proper compliance with this procedure.

  • RIGHTS AND WARRANTIES OF THE PARTIES

Any communication/complaint submitted through the channels established in this procedure will enjoy complete and absolute confidentiality.

In any case, this entity will prioritize and respect the right to the presumption of innocence and the honor of any of the parties involved in a communication/complaint, ensuring that the rights of any of those involved are not violated.

Throughout the investigation of a communication/complaint, the right of the affected person to be informed of the actions or omissions attributed to him/her will be guaranteed. However, the exercise of this right will be temporarily limited until the appropriate time in order to guarantee the successful completion of the investigation.

Compliance with the provisions on the protection of personal data will be guaranteed in accordance with the provisions of Title V of Law 2/2023, of February 20, regulating the protection of persons who report regulatory violations and the fight against corruption.

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

In particular, the complainant is informed that:

The natural person reporting the complaint has the following External Information Channels at his/her disposal, and may use them in the same way as he/she uses this Internal Channel:

  • INTERNAL INFORMATION CHANNEL/COMPLAINING CHANNEL

This entity has adopted as an Internal Information Channel, called “Complaint Channel”, an online complaint management system accessible from:

The website of the entity itself through the link:

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

Mobile application “Reporting 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 submitting complaints

The Reporting Channel allows two ways for subjects who wish to make complaints, hereinafter referred to as users, to submit them:

  1. Making Complaints by identifying the subjects who make the communications.
  2. Making Anonymous Complaints.

  1. Sending a complaint by identifying the complainant.

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

Access will require users to use a “Username” and “Password” login credentials. These login credentials may be provided to users in two ways:

  • Communicated by the System Manager to the Users individually, in the event that the latter has previously registered them through their access panel to the Complaints Channel
  • Credentials received by the User in his/her email once he/she has registered from the web access panel of the Reporting Channel.

  1. Sending an anonymous complaint.

Once the User accesses the link provided on the entity's website, he/she may make an Anonymous Complaint by clicking on the “Anonymous Complaint” option.

Sending an anonymous complaint will require completing the “Company Name (Business Name)” field correctly and following the instructions given in the MANUAL FOR USING THE COMPLAINT CHANNEL FOR USERS available to the entity.

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

The System Manager may manage and receive each of the complaints made by accessing them through the Complaints section within the web system for managing complaints, accessible through the link provided on the entity's website. In order to access this Panel, the System Manager will require identification of his/her Username and Password, provided by the entity.

Within your work area for receiving and managing complaints, you will be able to distinguish between complaints that are in process and those that have already been reviewed and managed.

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

The different States that can have complaints in process are:

  • Received: The complaint has arrived, but it has not been processed in any way.
  • In Progress: The work procedure on the complaint is in process.

Once a complaint has been received by the System Manager, the required acknowledgement of receipt will be communicated to the complainant as soon as possible, and in any case within a maximum period of 7 calendar days from receipt, except in those cases where this may jeopardize the confidentiality of the communication.

Once the System Manager has communicated the acknowledgement of receipt to the complainant, the latter will receive a notice informing him that the complaint has been received via the email provided in his user profile within the system.

In the case of a non-anonymous complaint, the complainant will be able to see the processing status of his or her complaint from the “Anonymous Complaint Access” section and by means of the tracking code provided to anonymous Users when submitting their complaints.

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

  • Received: The complaint has arrived, but it has not been processed in any way.
  • In Progress: The work procedure on the complaint is in process.
  • 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 identified himself when sending the complaints via email. This is only provided that the User is allowed to receive notification of status changes via email.

As previously stated, the communication of the acknowledgement of receipt to the complainant by the System Manager, as well as the rest of the status changes that the Manager wishes to make with respect to each complaint, will be carried out through the “Notifications” section, within the complaint management panel of this. The following complaint processing statuses may be communicated to the complainant:

  • Notify received complaint
  • Report a complaint in progress
  • Notify resolution of the complaint

The system will record the notifications sent to the whistleblower, recording the date of sending, and will inform the System Manager whether they have been received and read by the whistleblower through their access to the online system.

Likewise, 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

The System Manager, once he has notified the complainant that the complaint is being processed, will begin the investigation and development of the complaint.

The maximum period for responding to the investigation actions may not exceed three months from 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 after the communication was made, except in cases of special complexity that require an extension of the period, in which case, this may be extended up to a maximum of another three additional months.

Through the system you will have the possibility to process the complaint, as well as issue a report and send it to the management bodies of the entity.

During the reporting process, the possibility of maintaining communication with the informant is provided and, if deemed necessary, of requesting additional information from the informant. This option may be carried out both through external means, as well as through the means enabled in the Reporting Channel itself through 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 the investigation, will be brought to the attention of the Public Prosecutor's Office immediately when the facts could indicate that they constitute a crime. In the event that the facts affect the financial interests of the European Union, they will be forwarded 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 notify the complainant of the status via the “Notify complaint resolution” option.

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

Once the report is finalized, it will be listed in the Reviewed Reports section within the Reports section, and will then be completely blocked and cannot be modified by any means.

5.4 – Receiving complaints through other channels

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

Notwithstanding the foregoing, this type of communication will enjoy the same confidentiality as if it were a complaint submitted through the channels established by the entity.

POLICIES OF GENERAL PRINCIPLES REGARDING THE INTERNAL INFORMATION SYSTEM AND THE DEFENSE OF THE INFORMANT

  1. INTRODUCTION

The Policy on general principles regarding the Internal Information System and defence of the informant (hereinafter, Policy) aims to establish a foundation of fundamentals intended to promote the correct use of the Internal Information System of this entity, as well as to guarantee a complete defence of the informant.

  1. SCOPE

This policy applies generally and comprehensively to this entity.

The principles of protection and defence of whistleblowers included in this policy will be applied to whistleblowers in accordance with the provisions of Law 2/2023, of 20 February, regulating the protection of persons who report regulatory violations and the fight against corruption.

  1. PRINCIPLES OF POLITICS

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

Based on the legal content imposed by the aforementioned Law, this entity firmly commits to:

  • Maintain a control mechanism that supports internal processes to improve and maintain the quality of the Internal Information System.
  • Ensure that each and every communication made through the Internal Information System will be attended to.
  • 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 transmitted through the Internal Information System, as well as to strengthen and guarantee the protection and defence of the informant.
  • Provide advice, training and support to staff as necessary both in relation to the use and promotion of the use of the Internal Information System and the defence of whistleblowers.
  • Ensure that the policies for the use and utilization of the Internal Information System, as well as the promotion of whistleblower protection, will have the commitment and support at all levels of the entity so that they can be coordinated and integrated with the rest of the strategic initiatives to form a completely coherent and effective framework.
  • It will guarantee the non-disclosure of the data included in the communications carried out through the Internal Information System.
  • It will restrict access to data included in communications carried out through the Internal Information System.
  • Strictly comply with each and every one of the measures included in Law 2/2023, of February 20, regulating the protection of persons who report regulatory violations and the fight against corruption.

  1. CONTROL AND COMPLIANCE WITH THE POLICY

The governing bodies of the entity will ensure the correct and adequate compliance with the content of these Policies.

USER MANUAL FOR THE COMPLAINT CHANNEL

  • OBJECT

This document has been prepared with the purpose of providing all subjects included within the scope of the Internal Information System or Reporting Channel implemented in this entity, with all the necessary information regarding its use and utilization, all in accordance with the provisions of Law 2/2023, of February 20, regulating the protection of persons who report regulatory violations and the fight against corruption.

  • HOW TO ACCESS THE INTERNAL INFORMATION SYSTEM OR COMPLAINT CHANNEL

The Internal Information System or Reporting Channel allows access to subjects who wish to make a complaint, hereinafter referred to as "users", through the entity's own website and by means of the following link:

“Include Access Link”

  • HOW TO FILE A COMPLAINT

The Reporting Channel allows two ways for users to submit complaints:

  1. Making Complaints by identifying the subjects who make the communications.
  2. Making Anonymous Complaints.

  1. FILING A COMPLAINT BY IDENTIFYING THE COMPLAINANT

Through the entity's website, Users may access the Reporting Channel by entering the following credentials: “Username” and “Password”.

The access credentials will be available to the User and will be sent to his/her email once he/she has registered on the page to access the Whistleblowing Channel. To do so, he/she must access through the “New user registration” option and fill in each of the fields.

Once the User has his/her credentials, he/she must enter them and click on the “ENTER” option.

If the User has previously registered and cannot remember his/her password, he/she may click on the “Remember login details” option and follow the steps to recover his/her password.

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

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

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

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 may modify the following data:

  • Phone
  • E-MAIL
  • Password

Once the data has been modified, whenever the user wants to save the new data entered, he/she must click on the “Modify data” button.

Likewise, the User is allowed to activate the option (*) “Receive notifications” at any time.

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

 

3.A.2 - New complaint:

This section allows the user to detail and present the communication that they wish to send to the entity through this means.

The following fields will be displayed for you to fill in:

  • Detailed exposition
  • Affected area
  • People involved
  • Location of the incident
  • Date/time of incident

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

  • Attach documentation

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

In order to send the complaint, the user must complete each of the fields provided, except for “Attach documentation” (optional), and click on the “Send Complaint” button.

3.A.3 - List of Complaints:

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

This list of communications allows you to list the communications made, showing them on the same page up to 10, up to 25, up to 50 or up to 100. You can choose the viewing method by clicking on the arrow below the “Show” option.

Likewise, the user can individually search for a specific communication by entering the date of registration or sending of the same in the blank field provided on the right side of the screen below the text “Search:”.

The list of communications will show the name and surname of the User, their ID, the Date of Registration or Sending, the processing status of the communication and the number of days that the complaint has been open from the time it was sent until it is resolved.

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

  • Received - The communication has been sent but its receipt has not been acknowledged nor has the management process been initiated by the entity.
  • In progress - The communication has been acknowledged and the management process has been initiated by the entity.
  • Processed - The management and investigation procedure by the entity has ended.

The status of the list of communications sent by the User to the entity will be modified as the information process progresses. However, through the email provided by the user in the “Profile” tab, the entity will notify the user of each change in status of the communications sent.

Using the “Messages” button, the User and the Entity Manager may initiate communication regarding each complaint made, as well as exchange documentation in this regard.

3.A.4 - Help Guide:

This section will allow the user to view a video guide on how to use the System.

  1. Filing an anonymous complaint

Once the User accesses the link provided on the entity's website, he/she may make an Anonymous Complaint by clicking on the “Anonymous Complaint” option.

This section allows the user to detail and present the communication that they wish to send to the entity through this means.

The following fields will be displayed for you to fill in:

  • Detailed exposition
  • Affected area
  • People involved
  • Location of the incident
  • Date/time of incident

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

  • Attach documentation

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

In order to send the complaint, the user must complete each of the fields provided, except for “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 filing the complaint.

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

3.B.1 – Monitoring of Anonymous Complaints:

Using the “Access Anonymous Complaint” button, the User will be able to access a Complaint tracking panel.

In order to access the tracking, the User must enter the complaint identification code that was provided to them when submitting the complaint.

Once the User has logged in, they will be shown the information about their complaint with the Date of Registration or Submission, the processing status of the communication and the number of days that the complaint has been open from the date it was submitted until it is resolved.

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

  • Received - The communication has been sent but its receipt has not been acknowledged nor has the management process been initiated by the entity.
  • In progress - The communication has been acknowledged and the management process has been initiated by the entity.
  • Processed - The management and investigation procedure by the entity has ended.

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

Using the “Messages” button, the User and the Entity Manager may initiate communication regarding each complaint made, as well as exchange documentation in this regard.

Communications to the Ethics Channel/Complaints Channel may be made via email, to the address hola@victoriacoleccion.com and for those cases in which the complaint can be anonymous, the channel is the following link to the portal Complaints Channel Portal