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General Risk Control Policy

1. OBJECT

The purpose of this document (the “Complaint Channel”) is to establish the means by which any person or group, whether or not belonging to the organization, may approach the organization to report facts or activities of persons or departments of the organization that they believe constitute an irregular practice or behavior.

2. CONFIDENTIALITY

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It is guaranteed to all persons, groups or organizations that, acting in good faith, make use of the channel to carry out any communication of irregular practices or conducts, the highest confidentiality, especially in front of the denounced person to whom only the identity of the denouncer will be communicated with the express authorization of the denouncer.

The total absence of reprisals or discriminatory or harmful actions derived from the expressed communications is also guaranteed. For these purposes, the system of sanctions for non-compliance with duties to prevent criminal risks is included in the regime of sanctions for those who violate the confidentiality of communications received through established channels or develop any action of retaliation, discrimination or harmful in any other way for the complainant.

3. Channels

The following channels are established:

Telephones: Fixed: +34 945 121 556 (in the event of a switchboard jump, request communication with any of the members of the Compliance Unit: Máximo Cañizo, Alicia Fernández or Ángel de la Peña).

Mobiles: +34 616 485 222 (Maximum Canyon), +34 638 581 871 (Alicia Fernández), +34 608 348 188 (Ángel de la Peña)

e-mail: denuncia@lyrsa.es

Correos postal: Lajo y Rodríguez, S.A., a la att. de Unidad de Prevención de Riesgos Penales, Avda. de los Olmos, nº 1, Edificio Inbisa D-1, Of. 102, 01013 Vitoria-Gasteiz (Álava).

Webmail: With access through the Web www.lyrsa.es by clicking on the “contact” tab located in the lower right part of the home page that leads directly to the corporate mail. It will indicate that it is addressed to the Prevention of Criminal Risks Unit.

Without prejudice to the foregoing, any other conduit may be used that allows access to the indicated persons.

In the event that the irregular practices or behaviors are attributed to any of the foregoing persons, the reporting channels will be:

strong>Telephones: Fixed: +34 916 794 990 (in case of jumping switchboard, request communication request communication with any of the members of the Internal Audit Committee: Gorka Lajo, Javier Lajo Marcos or Victoriano Lajo).

Mobile : +34 686 478 363 (Gorka Lajo), +34 659 792 405 (Javier Lajo Marcos), +34 609 794 744 (Victoriano Lajo)

e-mail: ComisionAuditoriaInterna@lyrsa.es

Correos postal: Lajo y Rodríguez, S.A., a la att. de Auditoría Interna, C/. Duero, 17, 28840 – Mejorada del Campo (Madrid).

  • Webmail: With access through the Web www.lyrsa.es clicking on the “contact” tab located in the lower right part of the home page that leads directly to the corporate mail. It will indicate that it is addressed to the Internal Audit Committee.

4. IDENTIFICATION

The communicator identified will have full assurance that the provisions of point 2 on confidentiality and lack of consequences of the complaint made in good faith will be rigorously applied.

He or she will also be guaranteed that the behaviour denounced will be investigated to the end and that, in the event that the investigation confirms the existence of irregular behaviour, consequences will be derived for the offender.

If the informant does not identify himself/herself, because he/she prefers to remain anonymous, he/she will only be guaranteed that a preliminary investigation will be carried out to check the reliability of the complaint, since only if in this preliminary investigation there are indications of the veracity of the complaint will a thorough investigation be carried out.

5. PROCESSING

All complaints received through the channel will be processed by the Criminal Risk Prevention Unit in accordance with the provisions of the Criminal Risk Prevention Manual and resolved by the Criminal Risk Prevention Committee or, as the case may be, by the Executive Committee of the Board, unless the complaint is against any member of said Unit, in which case it will be processed by the Internal Audit Department.

6. OWNER

The General Secretariat will be responsible for developing and keeping this procedure up to date.

7. REFERENCES

The documents and templates referred to in this document are:

  • Penal Risk Prevention Manual
  • Penal risk detection and prevention model
  • Ethical Code
  • Penal Risk Prevention Policy
  • Criminal action protocol
  • Disciplinary Regime

8. RULES OF PROCEDURE

This Complaints Channel has been designed with this in mind:

  • Organic Law 5/2010, of 22 June, which modifies Organic Law 10/1995, of 23 November, of the Penal Code.
  • Organic Law 1/2015, of 30 March, which modifies Organic Law 10/1995, of 23 November, of the Criminal Code.
  • Circular 1/2016, on the criminal liability of legal persons under the reform of the Criminal Code made by Organic Law 1/2015.
  • Requirement of the Management System for the prevention of crimes in AENOR organizations.

9. RESPONSIBILITIES

The areas and bodies participating in the Complaint Channel are included in section 3 of this document.

10. REGISTRIES

The following records shall be kept for at least five years:

  • Report of complaints received
  • Investigation file for each complaint
  • Communications and reports derived from complaints