Whistleblower Channel
WHISTLEBLOWER CHANNEL POLICY
The Sotecnisol Group consists of the following companies: [
– Noteisol SGPS, Lda;
– Sotecnisol, S.A.;
– Sotecnisol Power, Lda;
– Keep On, Sole Proprietorship, Lda;
– Output, Lda;
– Sonervest – Sole Proprietorship, Lda;
– Sá Morais Castro, Sole Proprietorship, Lda;
– SMCLand, Sole Proprietorship, Lda;
– Novisol – Real Estate Investments and Management, Lda.;
– E. Nunes Rodrigues Construction, Lda;
– Byte Brand, Sole Proprietorship, Lda;
– TSHP, Sole Proprietorship, LLC;
– Proflooring, Lda;
– Green Evolut, Lda;
– 2WORK – Temporary Employment and Training Company, Lda;
– SMC-Agro;
– 4Safe, Lda;
– Waterproof, Lda;
– Capital Eficiente, Lda;
] hereinafter referred to as Sotecnisol.
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Introduction
Sotecnisol complies with the law and aims to create a professional environment in which all its employees, suppliers, and customers are committed to acting in accordance with applicable laws. In this context, Sotecnisol has adopted a code of conduct, which can be viewed here.
Equally important, Sotecnisol promotes a corporate culture characterized by openness, fairness, and transparency. A key element of this commitment is the firm dedication to giving all employees, suppliers, and customers the opportunity to raise concerns about any irregularities, potential violations of the law or the code of conduct, or other improper conduct they may observe.
These Regulations are intended to provide a reporting mechanism for matters covered by them, and is intended to complement any other complaint or reporting mechanisms available at Sotecnisol, specifically complaints related to personal circumstances in the workplace or working conditions, which should be reported through the existing channels.
The mechanisms and procedures for receiving, retaining, and handling complaints covered by this Regulation shall comply with applicable personal data protection regulations, as well as information security standards.
The protection provided by this Regulation extends to individuals who assist the whistleblower in the whistleblowing process (including union representatives or employee representatives), to third parties associated with the whistleblower, and to legal entities owned or controlled by the whistleblower, for which the whistleblower works, or with which the whistleblower is otherwise connected in a professional capacity.
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Whistleblowers
Whistleblowers may use the internal reporting channel; a whistleblower is defined as any individual who reports a violation based on information obtained in the course of their professional activities and who has a relationship with Sotecnisol, such as employees, former employees, suppliers, customers, job applicants, shareholders, and members of Sotecnisol’s governing bodies.
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Scope of Application
3.1. A complaint may concern violations of the law or the code of conduct.
3.2. For example, a complaint may relate to one of the following matters:
- Public procurement;
- Financial services, products, and markets; and the prevention of money laundering and terrorist financing;
- Product safety and compliance;
- Transportation safety;
- Environmental protection;
- Radiation protection and nuclear safety;
- Food safety for human and animal consumption, animal health, and animal welfare;
- Public health;
- Consumer protection;
- Protection of privacy and personal data, and security of networks and information systems;
- Competition and state aid rules, as well as corporate tax rules;
- Violent crime;
- Drug trafficking;
- Influence peddling;
- Improper acceptance of a benefit;
- Active and passive corruption;
- Embezzlement;
- Economic interest in a business;
- Money laundering;
- Damage related to computer programs or other computer data, as well as computer sabotage and unauthorized access to computer systems.
3.3. Only whistleblowers acting in good faith who have serious grounds to believe that the information is true at the time of the report are entitled to the protection provided by these Regulations.
3.4. If Sotecnisol determines that the complaint was filed in bad faith and/or is manifestly unfounded and/or is untrue, it will be dismissed, without prejudice to any other legal or disciplinary consequences that may apply in this case.
3.5. The provisions of this Regulation do not affect the right of workers to consult with their representatives or unions, nor do they affect the rules governing the protection associated with the exercise of that right.
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Whistleblower Channel
4.1. The internal reporting channel is managed internally by Dr. Teresa Maria Cabral Sá Morais Castro, who is responsible for receiving and following up on reports.
4.2. Organizational and operational security measures are in place to ensure that internal complaints are submitted and tracked securely.
4.3. The following are guaranteed: (i) the completeness, integrity, and preservation of reports; (ii) the confidentiality of the identity or anonymity of reporters (as applicable), as well as the confidentiality of the identity of third parties mentioned in the report; (iii) the prohibition of access to the report by unauthorized persons.
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Filing a Complaint
5.1. Reports must be submitted to Sotecnisol: (i) in writing; and (ii) either anonymously or with the reporter’s identification.
5.2. The complaint must be submitted via email to the following address: denuncias@sotecnisol.pt.
5.3. In the case of an anonymous report, if you so choose, you may identify yourself at a later date, and your protection will be guaranteed, specifically through the confidential handling of your identity.
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Follow-up on the complaint
6.1. Upon receipt of the complaint, Sotecnisol:
- Notifies the complainant of receipt of the complaint and provides information on the procedures for filing an external complaint (with the competent authorities) within seven days of the date Sotecnisol receives the complaint;
- It takes the internal actions deemed appropriate to verify the allegations contained in the complaint and, if necessary, to put an end to the alleged violation;
- If it deems it necessary, it may open an internal investigation or report the violation to the competent authority for investigation;
- Notify the complainant of the measures planned or taken to address the complaint and the rationale for them, within a maximum of three months from the date Sotecnisol receives the complaint.
6.2. The complainant may request at any time that Sotecnisol inform him or her of the outcome of the investigation into the complaint within 15 days after the investigation is completed.
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Confidentiality
7.1. The identity and any information that could identify the complainant are restricted to those responsible for receiving and/or following up on complaints.
7.2. The identity of the whistleblower is disclosed only to comply with a legal obligation or pursuant to a court order to that effect. In such cases, the whistleblower is notified in writing of the reasons for the disclosure of the confidential information in question, unless providing such information would jeopardize the related investigations or legal proceedings.
7.3. The provisions of the preceding paragraphs also apply to the identity of:
- An individual who assists the whistleblower in the reporting process and whose assistance must remain confidential, including union representatives or employee representatives;
- A third party who is connected to the whistleblower—specifically, a coworker or family member—and who may be subject to retaliation in a professional context; and
- Legal entities or similar entities that are owned or controlled by the whistleblower, for which the whistleblower works, or with which the whistleblower is in some way associated in a professional capacity.
7.4. Individuals responsible for receiving and/or following up on complaints, as well as any person who has received information regarding complaints (even if not authorized to do so), are bound by a duty of confidentiality.
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Personal Information
8.1. Sotecnisol is the Data Controller for personal data and processes such data in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council of April 27, 2016 (General Data Protection Regulation – “GDPR”) and Law 58/2019, of August 8.
8.2. Without prejudice to the option of anonymity, when you provide Sotecnisol with your personal data and/or that of third parties as part of the internal reporting procedure, such data is processed by Sotecnisol for the purpose of receiving and handling reports, in accordance with the legal obligation arising from Law 93/2021.
8.3. Reports and any associated personal data may be processed by third-party service providers of Sotecnisol for the purposes of receiving reports and providing technical support. These third parties, acting as subcontractors, process personal data on behalf of and in accordance with Sotecnisol’s instructions, and are bound by a subcontracting agreement entered into in accordance with the GDPR.
8.4. When necessary, personal data may be disclosed to the competent authorities, in their capacity as Data Controllers, for the purpose of investigating the violation.
8.5. Sotecnisol retains records of complaints received and associated personal data for a period of five years, unless it is necessary to retain them for a longer period in connection with a judicial or administrative proceeding related to the complaint.
8.6. Personal data that is clearly irrelevant to the handling of the complaint shall be deleted immediately, unless it was collected by means of a durable and retrievable record, in order to comply with the statutory retention period set forth in the preceding paragraph.
8.7. Under the applicable legal provisions of the GDPR, the data subject has the right to request from Sotecnisol access to personal data concerning him or her, rectification or erasure, or restriction of processing, as well as the right to file a complaint with the National Data Protection Commission (CNPD).
8.8. You may contact Sotecnisol regarding personal data matters using the following contact information rgpd@sotecnisol.pt.
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Protective Measures
9.1. Sotecnisol will not engage in or condone any acts of retaliation against whistleblowers who file internal complaints in accordance with these Regulations.
9.2. An act of retaliation is defined as any act or omission—as well as any threat or attempt to commit such an act or omission—that, directly or indirectly, occurring in a professional context and motivated by an internal report, causes or is likely to cause the whistleblower, without just cause, pecuniary or non-pecuniary harm.
9.3. The provisions of this Regulation are without prejudice to any rights or procedural safeguards granted to persons identified as having committed the violation or who are associated with it.
9.4. The rights and guarantees provided for in these Regulations may not be waived or limited by agreement.
Approved on January 3, 2023.
