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By Order No. 1.3/20-12-28/411.4
of the Director of Alwark UAB
dated 28 December 2020
1. This Procedure for the Establishment and Operation of Internal Whistleblowing Channels (hereinafter – the Procedure) establishes the requirements for the implementation and operation of internal whistleblowing channels within the Company, as well as the procedures for reporting, investigating, processing information on violations, and ensuring confidentiality.
2. The following terms are used in this Procedure:
2.1. Competent Authority – a person, group of persons, or dedicated unit appointed by the Company to administer the internal whistleblowing channel, examine reports of violations received through the channel, and ensure the confidentiality of the person submitting the report.
2.2. Whistleblower – a person who submits information concerning a violation within the Company with which they have or have had an employment, service, or contractual relationship (including consulting, contracting, internship, traineeship, volunteering, or similar arrangements), and who is recognised as a whistleblower by the Competent Authority.
2.3. Internal Whistleblowing Channel – the procedure established and implemented within the Company for reporting, investigating, and providing feedback regarding information on violations.
2.4. Other terms used in this Procedure shall have the meanings assigned to them in the Law on the Protection of Whistleblowers of the Republic of Lithuania and other legal acts governing the protection of whistleblowers.
3. Internal whistleblowing channels (hereinafter – internal channels) shall be established in all state and municipal institutions. For the purposes of this Procedure, state and municipal institutions include state and municipal bodies, state and municipal enterprises as defined by the Law on State and Municipal Enterprises of the Republic of Lithuania, as well as companies in which the State or a municipality owns shares carrying more than 50% of the voting rights at the general meeting of shareholders, and companies in which the State or a municipality has the right to appoint more than half of the members of the company’s administrative, management, or supervisory bodies.
4. Internal channels may not be established in state or municipal institutions that fall within the administrative scope of another institution, provided that the supervising institution has already established internal channels that are also accessible to the employees of those institutions.
5. Other organisations not referred to in Clause 3 of this Procedure may establish internal channels voluntarily. However, organisations employing 50 or more employees are required to establish internal whistleblowing channels.
6. The Company shall ensure that any person who has or has had an employment, service, or contractual relationship with the Company (including consulting, contracting, internship, traineeship, volunteering, or similar arrangements) has the opportunity to report a violation through the internal whistleblowing channel.
7. Information concerning a violation may be reported on the basis of the reporting person’s knowledge or reasonable belief that a violation has occurred within the Company.
8. A person submitting information through the internal whistleblowing channel is not required to be certain that the reported information is accurate. Nor is the reporting person obliged to assess whether the reported conduct constitutes a criminal offence or any other violation as defined by applicable legislation.
9. The Director of the Company shall appoint a Competent Authority responsible for administering the internal whistleblowing channel.
The Competent Authority may consist of one or more individuals whose reputation and professional qualifications ensure their ability to properly perform the duties set out in this Procedure.
The Competent Authority shall carry out its functions independently and shall not be subjected to any undue influence or obstruction in the performance of the responsibilities assigned under this Procedure.
10. In implementing the requirements of this Procedure, the Competent Authority shall perform the following functions:
10.1. analyse and investigate information concerning violations received through the internal whistleblowing channel;
10.2. ensure the confidentiality of the person submitting information concerning a violation;
10.3. cooperate with Company employees, departments, and competent public authorities by requesting and/or providing information necessary for the investigation;
10.4. collect and maintain anonymised statistical data regarding the number of reports received and the outcomes of their examination;
10.5. perform any other functions assigned under this Procedure.
11. In carrying out its duties, the Competent Authority shall have the right to:
11.1. request and obtain the information and data necessary for the performance of its duties from Company employees and organisational units that are not directly subordinate to it;
11.2. make decisions necessary for conducting investigations into reports received through the internal whistleblowing channel. Such decisions shall be binding upon all Company employees and organisational units.
12. Information regarding the appointed Competent Authority, including its contact details and the Company’s procedure for reporting and handling information concerning violations, shall be made available through the Company’s internal communication channels and, where applicable, external communication channels.
13. Information concerning a violation may be reported where the whistleblower possesses information indicating that a violation has occurred within the Company.
14. A whistleblower may submit information concerning a violation through the internal whistleblowing channel by completing the prescribed Report of a Violation Form (Annex No. 1 to this Procedure) using one of the following methods:
14.1. by reporting directly to the Competent Authority;
14.2. by sending the completed report by e-mail to: [email protected]
15. The personal data requested in the reporting form are required to identify the reporting person for the purpose of determining whether whistleblower status should be granted. Such data shall be retained for a period of not less than three (3) years from the date of receipt.
16. A person submitting information concerning a violation shall provide, where applicable:
16.1. details of who committed, is committing, or intends to commit the violation, when, how, and the nature of the alleged violation;
16.2. the date and circumstances under which the reporting person became aware of the alleged violation;
16.3. the reporting person’s full name, personal identification number, employer, and other contact details;
16.4. where possible, any documents, records, or other information in their possession that may support or indicate the existence of the alleged violation.
17. The Competent Authority shall ensure that all information concerning a reported violation, together with any related data, is stored securely and is accessible only to persons authorised to examine such information.
18. Upon receipt of a report, the Competent Authority shall register it and commence the examination of the information contained therein.
19. The confidentiality of the reporting person shall be maintained irrespective of the outcome of the examination of the reported information.
20. Confidentiality need not be maintained where:
21. The disclosure of the reporting person’s identity or other related information to pre-trial investigation authorities or other competent authorities responsible for investigating violations, without disclosing such information within the Company, shall not be deemed a breach of confidentiality.
At the request of the reporting person, the Competent Authority shall promptly provide written confirmation that the report has been received.
22. Where the information received gives reasonable grounds to believe that a criminal offence, administrative offence, or any other violation has been committed, is being committed, or is about to be committed, the Competent Authority shall, without delay and no later than two (2) working days from the date of receipt of the information, forward the report to the competent authority authorised to investigate such violations, without obtaining the consent of the reporting person. The reporting person shall be informed accordingly.
23. Within five (5) working days of receiving information concerning a violation, the Competent Authority shall notify the reporting person in writing of the decision regarding the examination of the report.
Any decision not to examine the report shall be reasoned and justified.
24. A person who has submitted information concerning a violation and who experiences, or is likely to experience, adverse consequences as a result of making the report may consult the Competent Authority regarding available means of protecting their rights.
Furthermore, in accordance with Article 11(2) of the Law on the Protection of Whistleblowers of the Republic of Lithuania, the reporting person may apply to the competent authority for formal recognition as a whistleblower.
25. Upon completion of the examination of the report, the Competent Authority shall promptly inform the reporting person in writing of:
Where a violation has been confirmed, the reporting person shall also be informed of the liability or disciplinary measures applied to the person(s) responsible for the violation, where such disclosure is permitted by law.
26. If the reporting person does not receive a response or if no action is taken by the Company in response to the submitted information, they shall have the right, in accordance with Article 4(3)(4) of the Law on the Protection of Whistleblowers of the Republic of Lithuania, to submit a report directly to the competent authority, namely the Prosecutor’s Office of the Republic of Lithuania, using the prescribed reporting form (Annex No. 1 to this Procedure).
27. Any person who violates the requirements of this Procedure shall be held liable in accordance with the applicable laws and regulations.
Annex No. 1
to the Procedure for the Establishment and Operation of Internal Whistleblowing Channels
Date: ____ __________ 20___
Place: _______________________________
| Reporting Person's Details | |
|---|---|
| Full Name | |
| Personal Identification Number | |
| Employer (current or former employment, service, or contractual relationship with the Company) | |
| Job Title | |
| Telephone Number (contact preferences, if any) | |
| Personal Email Address or Residential Address |
| Details of the Violation | |
|---|---|
| What violation are you reporting? What is the nature of the violation? | |
| Who committed the violation? What may have been the person's motive for committing the violation? | |
| Location and Date/Time of the Violation |
| Details of the Person(s) Responsible for the Violation | |
|---|---|
| Full Name | |
| Employer | |
| Job Title | |
| Were any other persons involved, or may they have been involved, in the violation? If yes, please identify them. | |
| Were there any other witnesses to the violation? If yes, please provide their contact details. |
| Details of the Witness(es) | |
|---|---|
| Full name | |
| Job Title | |
| Employer | |
| Telephone Number | |
| Email Address | |
| When did the violation occur, and when did you first become aware of or observe it? | |
| What information or evidence supporting the alleged violation can you provide to facilitate the investigation? Please specify any documents or other materials attached in support of your report. | |
| Have you previously reported this violation to anyone? If yes, please indicate to whom it was reported and whether you received a response. If you received a response, please summarise its content. | |
| Additional Comments and Remarks |
I confirm that I understand the legal consequences of knowingly providing false information and that the information I have provided is true and accurate.
| Date | Signature |