Reporting channel regulations


Table of contents

 

INTRODUCTION

Article 1. Purpose.

Article 2. Scope of application.

Article 3. Reporting. 

Article 4. Unacceptable, illicit or criminal behaviour. 

Article 5. Allegations reported in good faith. 

Article 6. Rights of a good faith reporting party. 

Article 7. Rights of the party against whom an allegation is made. 

  1. Article 8. Procedure for handling reported allegations. 

Article 9. Allegations reported in bad faith. 

Article 10. Conclusion of the procedure. 

 

 

INTRODUCTION

Ership, in its firm commitment to regulatory compliance, will provide all users with an external Reporting Channel, in order to prevent and detect any irregular, illicit or criminal conduct. The Reporting Channel, in addition to uncovering and investigating possible irregularities, is an essential tool to ensure that the Code of Ethics and Code of Conduct are fully enforced and make possible the continuous improvement of the protocols and policies of prevention, quality regulations and other internal rules and regulations.

  

Article 1. Purpose.

These Regulations aim to regulate and provide content to the Ership's external Reporting Channel, establishing the procedure for the reporting of any irregular, illicit, or criminal behaviour in the organisation, as well as to make provision for and protect the rights and assurances of all parties involved in the reporting process and subsequent investigation.

 

Article 2. Scope of application.

These Regulations apply to any natural or legal person who has any kind of relationship with Ership and who reports or is reported for an irregular, illicit or criminal act, using the Reporting Channel set up for the purpose.

 

Article 3. Reporting.

  1. A report shall consist in the bringing to our knowledge by a reporting party of one or more irregular, illicit or criminal acts through the online form on our website that has been set up for the purpose and that complies with the requirements established in these Requirements.
  2. The identification of the reporting party is mandatory. The form must state the full name, address, tax ID or foreign resident ID number and at least one contact method, either a telephone number or email address. The omission of any of these identification data points will entail that the report will not be processed.
  3. All reports must include the identification details of the person or group against whom the report has been made, a list of the facts that are alleged to be irregular, illicit or of a criminal nature, and any evidence that the reporter has on which the report is based.
  4. Any anonymous reports shall be null and void and shall be disregarded, as will any that are filed through any medium other than the Reporting Channel web form set up for the purpose.

 

Article 4. Unacceptable, illicit or criminal behaviour.

  1. Any breach of Ership's Code of Conduct and any conduct or attitudes contrary to the organisation's ethical values shall be deemed unacceptable behaviour.
  2. Any breach of the law or regulations shall be deemed illicit behaviour, regardless of whether it redounds to the benefit of Ership or otherwise.
  3. Any conduct defined as a criminal offence by the Spanish Criminal Code shall be deemed criminal behaviour, regardless of whether it redounds to the benefit of Ership or otherwise.

 

Article 5. Allegations reported in good faith.

  1. An allegation reported in good faith shall be one that has been filed in accordance with Article 3 of these Regulations, calls attention to a series of facts or indications of apparent unacceptable, illicit or criminal activity and where the reporting party acts in the rational belief that the alleged facts or indications are true.
  2. Any allegation processed in accordance with Article 3 of these Regulations shall be deemed to be in good faith.

 

Article 6. Rights of a good faith reporting party

  1. Reporting parties who act in good faith in accordance with the provisions of these Regulations may not be subject to disciplinary measures, dismissal or removal from office or role, nor be prejudiced in any way in their relationship with Ership as a consequence of filing a report.
  2. Under no circumstances may filing a report in good faith in accordance with the provisions of these Regulations be deemed a breach of the Code of Conduct, of Ership's code of ethics nor of any obligation undertaken contractually.
  3. The reporting party in good faith shall have the right to be informed, at any time, of the status of the processing of their allegation, as well as its outcome.
  4. The identity of a good faith reporting party shall not be disclosed to any third party nor to the organisation itself. Only in the case of strict necessity, and with the consent of the reporting party, may their identification details be disclosed to Ership. The manager of the Reporting Channel, upon a written request from Ership, will analyse the objective situation of a need to disclose the identity of the reporting party, and, if the manager concludes that there is such a need, will contact the reporting party to ask for their consent. Any personal data that are disclosed may be used by Ership for the sole purpose of resolving the situation of necessity and will be duly destroyed once such a situation has come to an end.
  5. Any measure deployed against a reporting party in good faith and, in particular, situations involving threats, discrimination or harassment, for having filed a report, will be investigated as a matter of the highest priority and penalised appropriately. If said measures are of a criminal nature, Ership will assist the reporting party in the exercise of their rights.

 

Article 7. Rights of the party against whom an allegation is made.

  1. A person against whom an allegation is made shall have the right to know the existence of the allegation. Ership undertakes to disclose the existence of an allegation against the party allegedly responsible no later than three (3) months from the receipt of the monthly report from the manager of the Reporting Channel.
  2. In the event that the allegation is shelved, either because the alleged facts did not occur or because they are not deemed to be unacceptable, illicit or of a criminal nature, the subject of the allegation shall have the right to record this in the relevant dossier and Record of allegations.

 

Article 8. Procedure for handling reported allegations.

  1. Each allegation reported in accordance with these Regulations shall be assigned a unique identifier code and shall be duly stored in the Record of allegations.
  2. The manager of the Reporting Channel shall conduct a preliminary analysis of the alleged facts and the evidence enclosed and shall then proceed to assess them in legal terms. The said assessment shall be accompanied by a series of recommendations addressed to Ership as regards the appropriate response for each allegation received.
  3. The manager of the Reporting Channel shall send the Record of allegations to Ership on a monthly basis, without including, under any circumstances, the personal details of the reporting parties. If the alleged facts in an allegation are particularly serious, the manager of the Reporting Channel shall send an extraordinary report with the utmost urgency.
  4. Once the Record of allegations has been received, Ership will proceed to open a file for each of the reported allegations, whose identification code will coincide with the identification code of the allegation.
  5. Ership, after evaluating the allegation, its assessment and the attached recommendations, will take a decision regarding each case, which may consist of opening an investigation or shelving the case, if the allegation is totally unfounded. In either case, the reasons for taking the decision will be recorded in the case file.
  6. Ership will take, where applicable the appropriate precautionary measures to prevent the recurrence of the facts reported during the investigation procedure and to secure the evidence that can be obtained.
  7. Ership will ensure that the rights of reporting parties, those against whom allegations are made and third parties who may be implicated in the case are recognised and respected.
  8. The deadline for the processing of the case, its investigation and resolution shall not exceed six (6) months to run from the date it is opened.

 

Article 9. Allegations reported in bad faith.

  1. An allegation made in bad faith shall be one in which the reporting party is aware that the alleged facts are false or who acts with manifest disregard for the truth.
  2. The personal data of parties who make allegations in bad faith may be disclosed to Ership to safeguard the basic rights of the person against whom the allegations were made.
  3. If there is a perception of bad faith of an allegation and it wishes to obtain the identification data of the reporting party, Ership will inform the Reporting Channel Manager, justifying in writing the reasons why it wants to obtain said data and the rationale for concluding the falsity of the complaint. Having received the request, the manager of the Reporting Channel will give the reporting party a reasonable period of time to present its allegations.
  4. Having analysed the reporting party's allegations, or if the time period established for this purpose has run out, the manager of the Reporting Channel will decide whether or not to disclose the identification details of the reporting party.

 

Article 10. Conclusion of the procedure.

  1. Once the investigation has concluded, Ership will issue a written resolution with regard to the outcome thereof, as well as the measures that will be adopted in response to the report. The manager of the Reporting Channel will inform the reporting party immediately of the said resolution.
  2. In the event that the alleged facts on which the report was based are proven, the resolution will specify the penalties to be imposed on the person or persons named in the report, as well as the measures to be taken to prevent any recurrence thereof.
  3. Once the report has been resolved and the resolution has been communicated, the reporting party's identification information and that of the individual who is the subject of the allegations, will be definitively erased from the record.