SOS 1075
1. Introduction
The Procedure for the Management of Regulatory Framework Complaints aims to ensure that the Company has an effective framework in place for managing reports and complaints regarding the timely identification of improper practices or wrongdoings, providing the necessary guarantees that complaints are taken seriously, whilst at the same time ensuring that:
- the principle of confidentiality and the protection of anonymity are respected (insofar as this does not conflict with the applicable law); and
- the current position and any future professional development of the persons making such reports is not at stake.
2. Main Principles
This Procedure is governed by the following main principles:
- The Company ensures that any information or evidence relevant to the Report/ complaint is collected to allow for the effective investigation thereof.
- The Company ensures the creation of an environment of trust among its employees, customers and suppliers and encourages the “in good faith” reporting of illegal practices and criminal offences.
- Although the Company encourages anonymous reports, it is nevertheless committed to maintaining the anonymity of the Complainant, to the extent that the disclosure of his/her details is not required by a public authority in the context of the investigation of the case. Similarly, it is committed to not compromising the position and future development of the Complainant as a result of the reporting/ complaint.
- The maintenance and processing of personal data is governed by the provisions of the applicable legislation on personal data protection and the relevant policies and procedures of the Company.
- Reports, when submitted, should have the ultimate purpose of ensuring the Company’s compliance with the applicable institutional framework and safeguarding the interests of the Company, its shareholders and its customers and suppliers. A Report should not be made with the expectation or promise of payment of any consideration to the Complainant.
- The Company adheres to the principles of respect for personality, trust, transparency, decency, honesty, integrity and professional diligence, and confidentiality when investigating a Report.
3. Submission of Reports
Reports are made “in good faith” and when the Complainant has a sincere and reasonable belief that a criminal act or misconduct has been committed or is likely to be committed.
The Company’s management encourages employees and cooperating third parties to submit reports on criminal acts, suspected incidents of illegal conduct, mismanagement or serious irregularities-omissions found within the Company.
The Reports may concern – indicatively – the following:
(a) incidents that may involve elements of fraud or corruption,
(b) incidents of theft, embezzlement, forgery,
(c) acts contrary to the interests of AMSA,
(d) incidents of bribery,
(e) material breaches/irregularities in the provision of services by AMSA.
This policy applies only to Reports related to possible criminal acts and violations of legal/regulatory obligations of the Company and not to any (a) disagreements of the Complainant on matters of policies and decisions of the Company’s management or (b) personal matters and disagreements between colleagues or (c) rumors.
Similarly, this policy does not apply to matters relating to labour relations, for which the employees that are directly involved should contact the Human Resources Department, using the communication channels made available by the Company for this purpose.
In case the content of the Report relates to acts that have already been part of or are part of any criminal or civil proceedings or proceedings before public authorities, the Company’s management shall inform the Company’s legal advisors without delay to be advised on further actions.
4. Protection and Anonymity of the person making the report/ complaint
An anonymous Report will be considered if it: (a) provides substantial documentation; and (b) describes illegal conduct in a definite and investigable manner.
Reference to sensitive personal data under the applicable legal framework (data concerning racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, genetic and biometric data, health, sexual life and sexual orientation) should be avoided, unless it is directly related to the subject of the Report. Otherwise, such information will be deleted.
Reporting should be done in good faith. The Company undertakes not to disclose the identity of the person making the complaint (subject to any statutory obligation to disclose such data in the context of an investigation of the case) and to protect the Complainant from any acts of retaliation in relation to his/her present position or future professional development and from any discrimination or unfavorable treatment.
If the Complainant has participated in any unlawful event or act complained of, he/she is not relieved of any liability. In any case, however, any contribution to the investigation of the case shall be taken into account.
Persons named in the Report (against whom the complaint is made) have the right to be informed of the misconduct for which they are reported, the persons who have access to the contents of the Report and the right to be invited to a hearing. If there is a serious risk of obstruction to the investigation of the case, the persons reported may be informed at a later date, after such risk has ceased to exist. If the Report is found to be unfounded, the person against who the report is made will be informed that there was an unfounded Report against him/her.
5. How to Submit a Report
The Report is submitted anonymously or signed:
(a), by email to compliance@aegeanmotorway.gr.
(b) by post to the address of the Company’s headquarters (Moschochori Larissa, 415 00, for the attention of the Compliance Officer, marked “Highly Confidential”).
Alternatively, the Complainant may call the telephone number 2414-401000 ext. 1150.
The recipient of the Report is obliged to maintain confidentiality regarding the content of the Report and the identity of the Complainant, informing only the persons involved in the investigation of the Report.
6. Management of the report/ complaint
In the case of a signed Report, the Company’s Compliance Officer shall immediately inform the Complainant of the receipt of the Report, providing him/her with the relevant acknowledgement of receipt (in hard copy or electronically), as well as the results of the relevant investigation after its completion.
The investigation of the complaint in most cases may require the cooperation of the Internal Audit department and/or the Human Resources department and/or other departments of the Company, in which case these departments are informed respectively of the actions falling within the remit of their responsibilities. If deemed necessary, independent legal or other specialized advice (depending on the matter complained of) is obtained.
A Report should be investigated within a reasonable period of time, which may not exceed forty-five (45) days. Any delay should be adequately justified. All departments of the Company shall provide all possible assistance in the investigation of the Report.
The Compliance Officer prepares a findings report addressed to the Company’s executive management, regarding the findings of the investigations carried out in relation to submitted Reports/ complaints.
This report shall incorporate the findings of the investigations carried out by the Internal Audit Department or the Human Resources Department or any other department whose assistance in the investigation of the complaint has been deemed absolutely necessary.
If the Report relates to a person involved in the investigation process or one of these persons has a conflict of interest, then this person will abstain from the investigation of the Report and will be replaced.
7.Findings Report
The Compliance Officer of the Company prepares an annual report to the management providing details of:
- activities carried out within the reporting period (such as training) related to regulatory compliance and issues identified
- complaints received (whether anonymous or signed) and the findings of their assessment
- any improvement actions initiated
8. Personal Data Protection
The Company takes all necessary technical and organizational measures to protect the personal data of the Complainants and those mentioned in the Reports. Any processing of personal data hereunder shall be carried out in accordance with the relevant national and European legislation and in accordance with the Company’s privacy policy. The data of all parties involved are protected and processed for the sole purpose of verifying the validity or otherwise of the specific report/complaint and whilst investigating the specific incident.
In the event that those included in the Report are not immediately informed of its contents, so as to ensure that the investigation is not obstructed, the reasons for the delay are recorded in writing and the document is entered in the case file.
Access to the data contained in the Report for the purposes of its examination is restricted to the persons involved in the investigation of the incident in question. Access to the data contained in the Report may also be granted to the persons included in the Report, witnesses and anyone else with a legitimate interest. The extent of access given to each applicant is decided on a case-by-case basis by the Compliance Officer, taking into account the status of the applicant and the seriousness of the case. Where access to the data is granted, the identity of the Complainant and the persons involved shall be withheld unless they have previously given their express consent or in case it is established that the Report was malicious.