Whistleblower Procedure

LEGAL BASIS AND PURPOSE OF THE PROCEDURE

The legal basis of this Procedure is the Law of 14 June 2024 on the protection of whistleblowers.
The Procedure was introduced after consultation with the representative of whistleblowers.
The Procedure sets out the rules and procedure for receiving whistleblowing reports and taking follow-up action.
The introduction of the Procedure is intended to create a safe and transparent working environment and to promote among employees and other authorised persons the reporting of violations of the law and other specified irregularities through internal reporting channels and to protect whistleblowers from any retaliation.

DEFINITIONS

Employer – LUCCHINI POLAND Spółka z o.o. with its registered office in Mińsk Mazowiecki.
Team – The internal claims handling team appointed by the Employer.
Entity authorised to receive applications – TALARCZYK I ROESSLER Spółka Partnerska radców prawnych with its registered office in Tychy, 24 Sienkiewicza Street.
Whistleblower – a person who reports or publicly discloses information on a violation of the law obtained in a work-related context, including: an employee; a temporary employee; a person providing work on a basis other than employment relationship, including on the basis of a civil law contract; an entrepreneur; a proxy; a shareholder or partner; a member of a body of a legal person or organisational unit without legal personality; a person providing work under the supervision and direction of a contractor, subcontractor or supplier; an intern; a volunteer; an apprentice. The procedure shall also apply to the above-mentioned natural persons, in the event of a report of a violation of the law obtained in a work-related context prior to the establishment of the employment relationship or any other legal relationship constituting the basis for the provision of work or services or the performance of functions with or for the Employer.
Breach of law – an act or omission that is unlawful or intended to circumvent the law in a work-related context regarding:
(a) corruption,
(b) public procurement,
c) financial services, products and markets,
d) anti-money laundering and anti-terrorist financing,
e) product safety and compliance,
f) transport safety, environmental protection,
g) radiological and nuclear safety,
h) food and feed safety, animal health and welfare,
i) public health
j) consumer protection
k) protection of privacy and personal data
l) security of information and communication networks and systems,
m) financial interests of the State Treasury of the Republic of Poland, local government unit and the European Union,
n) the internal market of the European Union, including public law principles of competition and state aid as well as corporate taxation,
o) constitutional freedoms and rights of a human being and citizen – occurring in relations of an individual with public authorities and not related to the areas indicated above.
Work-related Context – past, present or future work-related activities under an employment or other legal relationship underpinning the provision of work or services or functions to or for an Employer, where information of a breach of the law has been obtained and there is a possibility of experience of retaliation.
Notification – information about a violation of law, including a reasonable suspicion of an actual or potential violation of law that has occurred or is likely to occur at a legal entity with which the whistleblower has participated in the recruitment process or other pre-contractual negotiations, works or has worked, or at another legal entity with which the whistleblower has or has had contact in a work-related context, or information concerning an attempt to conceal such a violation of law.
Feedback – information provided to the whistleblower on the follow-up actions planned or taken and the reasons for such actions.
Person affected by the notification – a natural person, a legal person or an organisational unit without legal personality, to which the law confers legal capacity, identified in the notification as the person who committed the infringement, or as a person with whom the person who committed the infringement is associated.
Reporting helper – an individual who assists a whistleblower with a report in a work-related context and whose assistance should not be disclosed.
Associated person of the whistleblower – an individual who may experience retaliation, including a co-worker or next of kin of the whistleblower as defined in Article 115 § 11 of the Criminal Code.
Follow-up action – action taken by the Panel to assess the veracity of the information contained in the notification and to counteract the infringement of the law that is the subject of the notification, in particular by investigation, initiation of control or administrative proceedings, prosecution, action taken to recover funds or closure of the procedure.
Reporting channel – the whistleblower’s method of submitting reports, together with their mailing address or email address, referred to as the ‘contact address’.
Retaliation – a direct or indirect act or omission in a work-related context that is caused by a report or public disclosure and that violates or is likely to violate the whistleblower’s rights or causes or is likely to cause unwarranted harm to the whistleblower, including the unwarranted initiation of proceedings against the whistleblower.

SPOSOBY PRZEKAZYWANIA ZGŁOSZEŃ

Application may be made:
(a) by post to the address: TALARCZYK I ROESSLER Spółka Partnerska radców prawnych with its registered office in Tychy 24 Sienkiewicza Street , with the note ‘Internal application’.
b) by e-mail to: lucchini@talarczyk-roessler.pl.
c) in person, at the whistleblower’s request, by prior appointment by telephone (tel. + 48 883 497 075) with persons authorised to receive reports.
d) By telephone on + 48 883 497 075 between 9am and 4pm.
The face-to-face meeting with the authorised reporters shall take place at the Employer’s premises or at another agreed location, within 14 days of the communication to the authorised reporters of the intention to use this report channel.

REPORTING

Reports must be made in good faith and the information contained therein must be obtained in a work-related context and must fall within the categories indicated in § 2(5) of the Procedure. Anyone who makes a report in the knowledge that a violation of the law has not occurred may be held criminally and civilly liable.
A report may contain, inter alia, the following information: name and surname, position or function held, date and place of the infringement of the law or date and place of obtaining information about the infringement of the law, description of a specific situation or circumstances creating the possibility of infringement of the law, indication of the entity covered by the report, indication of possible witnesses of the infringement of the law, indication of all the evidence and information available to the whistleblower, which may prove helpful in the process of investigating the report, indication of the preferred method of contact. A model of a sample form for acceptance of a notification is attached as Annex No. 1 to this Procedure.
An anonymous application is left unprocessed.

ACKNOWLEDGEMENT OF RECEIPT

Without undue delay, within no more than 7 days of the receipt of the report, the persons authorised to receive reports shall inform the whistleblower that the report has been accepted, unless the whistleblower has not provided a contact address to which feedback should be sent.

FOLLOW-UP

The entity authorised to receive notifications shall forward the notification to the Chairman of the Team as soon as the whistleblower’s confirmation has been provided, for follow-up by the Team.
The purpose of the follow-up action taken is to assess the veracity of the information contained in the notification and to counteract the infringement of the notified right.
Follow-up is being carried out by the Internal Enquiry Team.
Each report is investigated with due diligence, objectively and inquisitively, regardless of the whistleblower and the subject of the report. The investigation shall respect the dignity and reputation of the persons concerned. In the course of the investigation, all information contained in the report should be thoroughly checked and objectively assessed.
A notification cannot be qualified as unfounded without an examination of the information submitted. A notification may be left without examination if the information presented is too general to be verified.

THE TEAM FOR PROCESSING OF INTERNAL NOTIFICATIONS

The team consists of persons appointed and dismissed by the Board of Directors of the Company. The first team appointed under this Procedure consists of:
a) Monika Kwiatek – Chairperson of the Team.
b) Marcin Kroszczyński – Member of the Team.
c) Marcin Popowski – Member of the Team.
d) Katarzyna Wolińska-Komuda- Member of the Team.
The Team carries out its work through meetings, convened by the Chairman of the Team, as required by the need for follow-up.
Meetings of the Team may be held by means of remote communication.
A meeting of the Team may take place if at least half of the Team Members are present.
It is recommended that the Panel concludes its proceedings within 2 months of the receipt of the Application.
In case the application concerns a Team Member, the Chairman of the Team decides on the further course of action. In the case of the Chairman of the Team, the decision is made by the Employer. The Team Member is subject to exclusion from acting in the matter.
A member of the Panel may not be a person whose participation in the proceedings would give rise to justified doubts as to his or her impartiality.

AUTHORITY OF THE TEAM

The team carries out tasks to ensure the smooth functioning of the system for preventing violations of the law, in particular by:
a) ensuring that each report is dealt with, i.e. carrying out investigations and, where appropriate, appointing teams to enable the case to be comprehensively investigated,
b) fulfilling the duty of information to the whistleblower, in particular providing a response,
c) ensuring confidentiality,
d) ensuring impartiality in the conduct of investigations,
e) presenting proposals and sanctions to the Employer in the event of a violation of the law,
f) keeping a register of notifications,
g) conducting awareness-raising campaigns among Employees aimed at consolidating positive perceptions of reporting activities and promoting an attitude of civic responsibility.

In the course of follow-up, the Team Members are entitled in particular to:
a) access to the Employer’s documents and data (e.g. video surveillance, computers and work phones),:
b) obtain processed and unprocessed information from heads of organisational units,
c) obtain oral and written explanations from the Employer’s employees and contractors,
d) access to the Employer’s premises for site visits,
e) to be assisted by management in the course of their activities.
If necessary to ensure the proper conduct of the proceedings, the Panel may request the Employer or management to:
a) securing and handing over certain evidence,
b) removal from specific tasks of the employee affected or likely to be affected by the report,
c) other measures to safeguard the proper course of the proceedings,
d) to delegate to the Team a person with the expertise to deal with the application,
e) Provide the legal support necessary for the proper conduct of the proceedings.

REPORT AND CONCLUSION OF THE PROCEDURE

A protocol shall be drawn up by the Team on the findings of the follow-up.
The protocol is adopted by the Panel by a simple majority.
The report shall contain a description of the facts established, including the irregularities identified and their causes, extent and consequences, and the persons responsible for them.
The team submits the protocol to the Employer. Proposals for further action shall be attached to the minutes.
Depending on the findings, actions range from actions against offenders (e.g. caution, recommendation for remediation, application of a disciplinary penalty, termination of employment) to actions to prevent violations and strengthen the control system, actions to improve defective or ineffective processes, development or improvement of policies in a given area, undertaking a communication strategy, implementation of a remediation plan.
The employer identifies further actions and the persons responsible for their implementation. The Chairman of the Team monitors the implementation of these actions and provides assistance to those responsible for them.
The team shall provide feedback to the whistleblower within a period not exceeding 3 months from the date of acknowledgement of the notification.
In the event of failure to provide an acknowledgement – feedback shall be provided within a maximum of 3 months, calculated from the expiry of the 7-day deadline for providing the acknowledgement, unless the whistleblower has not provided a contact address to which feedback should be provided. Information on the follow-up action taken shall be recorded in the register of notifications.

REGISTER OF INTERNAL NOTIFICATIONS

Each application is subject to entry in the Register of Applications.
The register shall be kept in such a way as to ensure data protection, including data confidentiality.
Access to the register is available to:
a) people authorised to receive applications,
b) other participants in the follow-up – to the extent necessary to carry out the tasks assigned.
Authorisation to access the register is granted by the Employer.
In the case of notifications which are not subject to examination according to this Procedure, a note shall be entered in the register stating that the notification has been forwarded in accordance with the jurisdiction (when and to whom) or that the notification has been left without examination, stating the reasons.
In the case of a renewed application that has already been clarified before, when the renewed application does not contain additional information – the Chairman of the Panel may decide to leave the application unprocessed.
Personal data and other information in the register of notifications shall be retained for a period of 3 years after the end of the calendar year in which the follow-up actions have been completed or the proceedings initiated by those actions have been terminated.
Personal data and other information in the register of internal notifications shall be deleted by committee. The committee consists of the Chairman of the Team and persons authorised to receive notifications.

PROHIBITION OF RETALIATION AND WHISTLEBLOWER PROTECTION MEASURES

The whistleblower is protected from the moment of reporting, provided that the whistleblower had reasonable grounds to believe that the reported information was true at the time of reporting and that it constitutes infringement information.
No retaliatory action or attempted or threatened retaliatory action may be taken against the whistleblower.

PROTECTION OF PERSONAL DATA

The personal data of the whistleblower, the person to whom the report relates, the third party named in the report, the person assisting in making the report and the person associated with the whistleblower, as well as all information enabling them to be identified, will generally not be disclosed.
Access to personal data will be granted to :
(a) people authorised to receive applications,
b) members of the Team,
c) other people may only be informed if this is necessary to prevent retaliation against the whistleblower.
The persons referred to in paragraph 2(1) will receive written authorisations from the Employer, on the basis of which they will have access to the personal data contained in the application.
The whistleblower’s personal data, allowing for the identification of the whistleblower, shall not be disclosed to unauthorised persons, except with the whistleblower’s express consent.
Paragraph 4 shall not apply where disclosure is a necessary and proportionate legal obligation in connection with investigations carried out by public authorities or in connection with investigations or prosecutions carried out by the courts, including for the purpose of ensuring the right of defence of the reported person.
Before a disclosure of personal data is made, the Panel or the competent court shall notify the whistleblower by sending an explanation in paper or electronic form of the reasons for the disclosure of his or her personal data, unless such notification would jeopardise an investigation or pre-trial or judicial proceedings.
Upon receipt of a notification, the personal data of the persons referred to in paragraph 1 shall be processed to the extent necessary for the acceptance of the notification or for any follow-up action. Personal data which are not relevant for the processing of the notification shall not be collected and, if accidentally collected, shall be deleted immediately. The deletion of such personal data shall take place within 14 days of the determination that it is not relevant.
Persons authorised to receive notifications and Team Members are obliged to keep confidential the information and personal data they have obtained in the course of receiving and verifying notifications or taking follow-up action, even after termination of the employment relationship. Information constituting company secrets may only be used for the purpose of follow-up.

INFORMATION CONCERNING EXTERNAL NOTIFICATIONS

Notification may in any event also be made to the Ombudsman or to a public body and, where appropriate, to the institutions of bodies, offices or agencies of the European Union, without following the procedure laid down in this Procedure.
The modalities and methods for making external submissions will be indicated on the BIP (Public Information Bulletin) websites of the Ombudsman and other public bodies.
A report made to the Ombudsman or a public authority bypassing an internal report does not have the effect of depriving the whistleblower of the protection guaranteed by the provisions of the Law on the Protection of Whistleblowers.

FINAL PROVISIONS

To the extent not regulated in this Procedure, the provisions of the Act
of 14 June 2024 on the protection of whistleblowers and Directive (EU) 2019/1937 of the European Parliament and of the Council of 23 October 2019 on the protection of whistleblowers.
The procedure shall enter into force 7 days after it has been made known to persons performing the work in the manner adopted by the Employer.