FIRST. Whistleblowing Channel Rules & Regulations
BRAVO makes available to its members and third parties an Internal Information System called the Whistleblowing Channel to facilitate the reporting of events or actions that violate the company's Code of Ethics, internal regulations, or current legislation, as well as to raise inquiries.
The purpose of these regulations is to explain the use of the company's whistleblowing channel and its specificities for reporting complaints by company members and related third parties. It also develops the guarantees and protection measures for individuals who report non-compliance, as well as the corresponding investigation procedure.
Notwithstanding the provisions set forth in the following sections, it should be noted that the Whistleblowing Channel is based on the following principles:
• The prohibition of retaliation. The company must protect individuals who, in a work or professional context, detect serious or very serious criminal or administrative violations and report them through the mechanisms provided for this purpose. Retaliation is understood to be any act or omission that constitutes unfavorable treatment that places the person reporting a violation at a particular disadvantage compared to another person in the workplace or professional context.
• The prohibition of reporting false reports and presenting illegally obtained evidence. Good faith, the honest awareness that serious harmful events have occurred or may occur, is an essential requirement for the protection of the whistleblower. This good faith is the expression of their civic behavior and is contrasted with other actions that, on the contrary, must be excluded from protection, such as the submission of false or distorted information, as well as information obtained illegally.
These Regulations and any other information relevant to understanding the operation of the Channel are available to all users on the web platform that supports the reporting system.
SECOND. People who can file a report
The Whistleblowing Channel is available to anyone who is aware of a reportable incident (hereinafter, "reporter"). BRAVO members and related third parties may report complaints.
The following may also report:
The protection measures applicable to whistleblowers will also apply, where appropriate, to:
THIRD. Protection measures for affected persons
During the processing of the file, the persons affected by the communication shall have the right to the presumption of innocence, the right to a defense, and the right to access the file under the terms regulated by law. They shall also have the same protection established for informants, preserving their identity and guaranteeing the confidentiality of the facts and data of the procedure.
FOURTH. Different means or methods for filing a complaint
The Complaints Channel guarantees the confidentiality of data and communications, allows anonymous communications, and ensures the independence of their management, as it is managed by an external party.
The Channel allows for the communication of complaints in writing and verbally. Communication may be made either in writing, by postal mail, or through any electronic means enabled for this purpose, or verbally, by telephone, or through a voice messaging system. At the request of the reporting party, they may also communicate in a face-to-face meeting within a maximum period of seven days. In this case, the reporting party is warned that the face-to-face communication will be recorded and will be informed of the processing of their data. Verbal communications, including those made through face-to-face meetings, telephone calls, or voice messaging systems, must be documented in one of the following ways, with the prior consent of the reporting party:
a) Through a recording of the conversation in a secure, durable, and accessible format, or
"b) through a full and accurate transcript of the conversation made by the staff responsible for processing it.
Without prejudice to the rights to which they are entitled under data protection regulations, the reporting party will be offered the opportunity to verify, rectify, and accept the transcript of the conversation by signing it.
Every internal report must contain, at a minimum, (i) the identifying information of the person reported (name, surname), and (ii) the facts reported, specifying, to the extent possible, the violation allegedly committed. When filing a complaint, the complainant may provide a postal address, email address, or a secure location to receive notifications from the person processing the complaint.
The parties involved in the complaint must be adequately informed about everything related to the events, always showing the utmost respect for the confidentiality of the system and guaranteeing the utmost protection for its users. The company is firmly committed to not taking reprisals against complainants and participants in the investigation process.
At the same time, those wishing to file a complaint are informed, and may do so in a clear and accessible manner, about the external channels for reporting to the competent authorities and, where appropriate, to public institutions, bodies, or organizations.
Any person filing a complaint must have reasonable grounds to support it, and therefore their complaint must be accompanied by preliminary evidence that substantiates the facts, at least circumstantially. Any legally permitted evidence obtained lawfully, preferably in documentary form, will be considered valid preliminary evidence, although witness testimony—including the testimony of the complainant himself—and instruments that reproduce words, images, and sounds will also be admissible. In any case, any evidence must have been obtained by the complainant lawfully, that is, in compliance with the law and constitutional rights and guarantees.
FIFTH. Admission for processing, correction of defects, and filing
Complaints will only be admitted for processing if they comply with the provisions of these Regulations.
If a correctable defect was found when the complaint was filed, the complainant will be notified, if their information is received, of the need to correct the defect(s) within seven (7) business days. If the defect(s) are not corrected within the specified timeframe, the complaint may be filed.
If the complaint does not comply with the provisions of these Regulations, it will be filed.
SIXTH. Opening of a file and notification to the person(s) reported.
Once the complaint is received, the Ombudsman will notify the Ethics Committee of its inadmissibility or acceptance for processing so that a file can be opened and the investigative actions that must be carried out to properly clarify the facts can be determined.
The processing period for the file may not exceed three (3) months from the date of its opening, except in cases of special complexity that require an extension, in which case, it may be extended up to a maximum of three additional months.
The person or persons reported shall have the right to know that they have been reported and must receive notification and a summary of the reported facts as soon as possible. This notification will not include the complainant's information.
Communication through the external information channel of the Independent Authority for the Protection of Whistleblowers or through regional authorities or bodies.
Likewise, any individual may report to the Independent Authority for the Protection of Whistleblowers (hereinafter, IAA) or to the corresponding regional authorities or bodies the commission of any actions or omissions included within the scope of the Law, either directly or by submitting a report through the Whistleblower Channel.
When a complaint is filed with the IAA, it will be governed by the procedure established in Article 17 et seq. of Law 2/2023, of February 20, regulating the protection of persons who report regulatory violations and the fight against corruption.
Support Measures
Persons who report or reveal violations may have access to the following support measures:
a) Comprehensive and independent information and advice, easily accessible to the public and free of charge, on the available procedures and remedies, protection against retaliation, and the rights of the affected person.
b) Effective assistance from the competent authorities before any relevant authority involved, in order to protect them from reprisals, including certification that they are eligible for protection under the law.
c) Legal assistance in criminal proceedings and cross-border civil proceedings in accordance with Community regulations.
d) Financial and psychological support, exceptionally, if so decided by the Independent Authority for the Protection of Whistleblowers (IAW) after assessing the circumstances arising from the submission of the communication.
e) All of this is independent of any assistance that may be available under Law 1/1996, of 10 January, on free legal aid, for representation and defense in judicial proceedings arising from the submission of the communication or public disclosure.
Support measures will be provided by the Independent Whistleblower Protection Authority (IWPP), in the case of violations committed in the private sector and in the state public sector.
What is the internal whistleblowing channel?
The whistleblowing channel is an internal mechanism of the company that allows any person to notify it of the possible commission of acts contrary to the law within or to their detriment and possible violations of its Ethical Code.
2.- What are the methods that employees and managers have to denounce?
Internal complaints can be filed both by members of BRAVO and by third parties through any of the methods made available by the company.
The Whistleblowing Channel allows the communication of complaints in writing and verbally. The communication may be made either in writing, through postal mail or through any electronic means enabled for this purpose, or verbally, by telephone or through a voice messaging system. At the request of the informant, they may also communicate in a face-to-face meeting within a maximum period of seven days. In this case, the complainant is warned that the face-to-face communication will be recorded and they will be informed of the processing of their data. Verbal communications, including those made through a face-to-face meeting, by telephone or through a voice messaging system, must be documented in one of the following ways, with the informant's prior consent:
a) By means of a recording of the conversation in a secure, durable and accessible format, or
b) Through a complete and exact transcription of the conversation carried out by the personnel responsible for treating it.
Without prejudice to the rights that correspond to them in accordance with the regulations on data protection, the informant will be offered the opportunity to verify, rectify and accept the transcript of the conversation by signing it.
In turn, people who wish to make a complaint are informed, that they may do so in a clear and accessible way, about the external channels of information before the competent authorities and, where appropriate, before public institutions, bodies or agencies, if any. they offered this possibility.
Can complaints be filed anonymously? Does the company protect whistleblowers?
The company guarantees, first of all, that the processing of the complaints will be carried out confidentially, that is, keeping the identity of the complainant secret, whose data may only be disclosed, where appropriate, to the public authority competent for the investigation. of the facts.
Secondly, the company guarantees the complainant that there will be no retaliation against them for the simple fact of making a complaint, quite the contrary.
The complaint made in good faith and that reveals any irregularity that may be committed in the company will always be welcome.
The complainant also has the right to go to the Director of your Center. the Managing Director ot to the Compliance Committee so that they provide protection and to be guided and advised on how to act to defend themselves against possible retaliation.
Thirdly, the complainant is guaranteed that the treatment of their complaint will be carried out independently of the company itself and in an absolutely professional manner, by a specialized legal firm.
Can a complaint be made without evidence?
Complaints can only be admitted that are based on the existence of rational indications of the commission of an illegal act and/or contrary to the Ethical Code and, therefore, it is essential that they are supported by evidence, preferably documentary. Although testimonial evidence -including the testimony of the complainant himself- and instruments for reproducing words, images and sounds are also admissible. In any case, it is important to note that it is essential that the evidence has been obtained by the complainant in a lawful manner.
What happens if a proven false complaint is filed?
Reports must be truthful, made in good faith, and must comply with the operating rules of the reporting channel. It should be noted that filing false reports could constitute the crimes of slander and libel. The company may take appropriate legal action against anyone who files a false or malicious report and, in the case of false reports, may even disclose the information of the person who filed the false report to the person reported so that the person may, if appropriate, initiate legal action against the person.
Does the people reported have the right for the company to notify him that a third party has filed a complaint against him?
Yes. The law requires that the people reported be aware that a complaint has been made against him and, therefore, as soon as the appropriate verifications and investigations have been carried out, the Ombudsman will send a confidential report, that is, without that the data of the complainant appears, to the Compliance Committee, in which the Committee will agree with reasons for the admission or inadmissibility of the complaint made.
Is there a deadline for processing an internal complaint?
The investigation of the file must end within three (3) months following the receipt of the complaint, only in exceptional cases, the processing of the file may be extended for another (3) additional months.
The formulation of an internal complaint, in the event that it is admitted for processing, will lead to the opening of a file aimed at clarifying the fact or facts denounced.
The company will inform the accused of the existence of the complaint and a summary of the facts denounced. Except in cases of false complaints, the denounced person will not be given the identifying data of the complainant.
What consequences can an internal complaint have if it is verified that there are rational indications of the commission of an illegal act or contrary to the Ethical Code of Conduct?
If, from the file to which the complaint gave rise, the existence of rational indications of the commission, within the company or to its detriment, of an act or acts contrary to the law or to the Ethical Code of Conduct, in First, the company will immediately take all necessary steps to put an end to such acts or to prevent them from occurring. Then, depending on the seriousness of the facts, the company may also decide to initiate the corresponding legal actions against the person or persons presumably responsible for them, filing a complaint, complaint or lawsuit before the Courts of Justice, the Prosecutor's Office or the State Security Forces and Bodies.
For the purposes of the provisions of the Personal Data Protection regulations, BRAVO informs users of the Whistleblowing Channel, as well as those who have submitted their complaint by email (hereinafter, the "Users") that the data provided through the Whistleblowing Channel or by email, and any data generated as a result of the complaints filed, will be processed for the sole purpose of managing complaints filed regarding the alleged commission of acts contrary to the Law within the company or detrimental to it, and violations of the Code of Ethics.
The legal basis for such processing will be:
• In the event that the complaint refers to the commission of criminal offenses or serious or very serious administrative offenses, as well as violations of European Union law, in relation to the company that, pursuant to applicable regulations, must have an internal information system, compliance with a legal obligation.
• In cases where the complaint relates to a breach of the Code of Ethics, the legitimate basis for processing will be BRAVO 's legitimate interest in adopting measures that facilitate compliance with the Code and prevent its non-compliance.
Additionally, your personal data will be accessible to our Whistleblowing Channel management service provider.
The submission and subsequent processing of anonymous complaints will be permitted. If the complaint received is not anonymous, BRAVO undertakes to respect the confidentiality of the data processed and to use it in accordance with the purpose established herein, as well as to comply with its obligation to store it and adopt all measures to prevent unauthorized access, destruction, loss, or accidental or unlawful alteration. The company will maintain the confidentiality of the data of Users who file internal complaints, regardless of the channel through which they are filed, preventing access to them by the individuals reported. In any case, the channel will not collect information that could directly or indirectly identify those who file an anonymous report.
Only personal data necessary for the understanding and investigation of the actions or omissions established in the Whistleblowing Channel Policy will be processed; otherwise, it will be deleted immediately. Likewise, personal data that is not clearly relevant to handling a report will not be collected, or if it is collected accidentally, it will be deleted without undue delay.
Users who have submitted their complaint through the Whistleblowing Channel may exercise their rights of access, rectification, erasure, or restriction of processing, and, where appropriate, objection and portability, whenever appropriate, by sending a request by email to privacidad@lessepslegal.com or by regular mail to:
Christian Mesía Martínez
BRAVOOmbudsman
C/ Príncipe de Vergara, 33
28001 - Madrid
Christian Mesía is an external legal consultant for BRAVO who serves as the data processor for the Whistleblowing Channel and is responsible for addressing, on behalf of the company, requests by Users to exercise the aforementioned rights.
The exercise of the rights of the person under investigation may be limited by the specific nature of the communication and may only be exercised with respect to the personal data being processed. Under no circumstances may data relating to the User be deemed to be included within the exercise of the aforementioned rights by the person under investigation.
If the person to whom the facts described in the communication relate exercise their right to object, it will be presumed that, unless proven otherwise, there are compelling legitimate grounds that justify the processing of their personal data.
Users may also contact Christian Mesia at privacidad@lessepslegal.com.
Finally, Users are informed that they have the right to seek protection from the Spanish Data Protection Agency through its website www.aepd.es.
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