INTRODUCTION
In October 2019, the European Parliament and the Council adopted EU Directive 2019/1937 (‘the Directive’), setting out protection requirements for whistleblowers and recognising the importance of ensuring balanced and effective protection for whistleblowers. This Policy sets out the responsibilities and commitments of Frontex International EAD (hereinafter referred to as "the Company") with regard to the protection of whistleblowers and applies to the whole company and all its employees.
The European Directive has been transposed into Bulgarian law by the adoption of the Protection of Persons Whistleblowing or Publicly Disclosing Information on Violations Act. SG No 11 of February 2, 2023 (hereinafter referred to as ‘the Act’). The Act aims to ensure the protection of persons in the public and private sectors who report or publicly disclose information about violations of Bulgarian law or European Union acts that have come to their knowledge during or in connection with the performance of their employment or duties or in another working context.
All obliged persons should establish an internal channel for reporting breaches in pursuit of the objectives set by the Act. This policy aims to implement in practice the adopted national and supranational acts in the activities of the Company. The policy is binding on all employees working at Frontex International EAD.
DEFINITIONS
In this Policy, these words and expressions will have the following meaning:
“Objective” - ensuring the protection of reporting persons who report or publicly disclose information about breaches of Bulgarian law or European Union acts that have come to their knowledge during or in connection with the performance of their employment duties or in another working context.
“Reporting person”- a potential, current or former partner, director, official, manager, employee, supplier, contractor, volunteer or trainee in the Company who reports or publicly discloses information about violations.
“Supporting person” means:
1. persons who assist the reporting person in the reporting process;
2. persons who are associated with the reporting person and who may suffer retaliation due to the reporting;
3. legal persons in which the reporting person has a shareholding, for which he/she works or
to which it is otherwise related in a work context.
“Protection” means all reasonable steps taken by the Company to ensure the confidentiality of the name of the reporting person, as well as the measures applied to protect whistle-blowers from retaliation and financial loss. Any form of retaliation against the persons referred to in Article 5, having the character of repression and placing them at a disadvantage, as well as threats or attempts to do so, including in the forms listed in Article 33 of the Whistleblower Protection Act (WPA);
“Report” is a report or public disclosure of information about a violation.
“Violation” means any:
1. Violation of the Bulgarian legislation or of the acts of the European Union listed in the Annex to the Act in the field of:
a) public procurement;
b) financial services, products and markets and the prevention of money laundering and terrorist financing;
c) product safety and compliance;
d) transport safety;
e) protection of the environment;
f) radiation protection and nuclear safety;
g) food and feed safety, animal health and welfare;
h) public health;
I) consumer protection;
j) the protection of privacy and personal data;
k) the security of network and information systems;
2. violation affecting the financial interests of the European Union within the meaning of Article 325 of the Treaty on the Functioning of the European Union;
3. violation of the rules of the internal market within the meaning of Article 26(2) of the Treaty on the Functioning of the European Union, including the rules of the European Union and Bulgarian legislation on competition and State aid;
4. violation relating to cross-border tax schemes the purpose of which is to obtain a tax advantage contrary to the object or purpose of the applicable corporate tax law;
5. offence of a general nature of which a person referred to in Article 5 has become aware in connection with the performance of his or her work or in the course of the performance of his or her duties.
6. violation of the rules for payment of public state and municipal debts;
7. breach of labour legislation;
8. violation of legislation related to the performance of public service.
"Exception" - a report that goes beyond the scope of the law because it concerns a violation:
1. of the rules for the award of public contracts in the field of defence and national security, where they fall within the scope of Article 346 of the Treaty on the Functioning of the European Union;
2. the protection of classified information within the meaning of Article 1(3) of the Classified Information Protection Act;
3. which has come to the knowledge of persons exercising a legal profession who are under a statutory obligation of professional secrecy;
4. the confidentiality of health information within the meaning of Article 27 of the Health Act;
5. the confidentiality of the judicial deliberations;
6. the rules of criminal procedure.
“Obstacle to the initiation of proceedings” – on anonymous reports or reports relating to violations committed more than two years ago.
“Response” - means any act of discrimination, retaliation or harassment committed directly or indirectly against a reporting person by anyone in connection with the reporting of the breach.
OBJECTIVE
This policy is adopted by Frontex International EAD in compliance with European legislation and aims to achieve full compliance with the legal framework in the field of protection of whistleblowers. The company wishes, by adopting the policy, to contribute to increasing the culture of openness in the organisation, to provide an environment for all employees to report irregularities without fear of retaliation and, last but not least, to inform and ensure the protection of reporting persons.
SCOPE
Personal scope
This policy is addressed to Frontex International EAD employees and potential, current or former employees, partners, directors, officials, managers, suppliers, contractors, volunteers or trainees in the Company who have information about a violation.
The Company encourages any person who is aware of a breach within the meaning of this Policy to report it through the internal reporting channel. The Company shall ensure the protection of all reporting persons and/or assisting persons.
Material scope
This policy is part of the Company's internal rules aimed at protecting whistleblowers reporting breaches of law or internal policies, rules and procedures. These offences may consist of money laundering, document crimes, corruption, insider dealing, bribery, fraud, discrimination, unethical or immoral behaviour, breach of obligations, etc.
Exceptions
This Policy may not be used to review annual financial statements, financial and business decisions made by the Company and expressed in acts of the Board of Directors or the sole owner of the capital/shareholders.
GENERAL TERMS AND CONDITIONS
The company shall establish a dedicated whistleblowing channel that allows reporting of a breach in different ways and thus allows the reporting person to use the most convenient way of communication, including when providing evidence. Frontex International EAD has appointed a special employee responsible for receiving and handling reports, and if the reporting person so wishes, a report may also be submitted orally, and this shall be documented by the official.
The Company guarantees the protections set out in this Policy in respect of any whistleblower who, at the time of reporting, has reasonable grounds to suspect reportable conduct and that the information they provide to the Company is accurate and falls within the scope of this Policy.
Whistleblower protection may be denied where it is determined that the person's report is misleading, patently false, made with the intent to intentionally harm another person, or made with malicious or defamatory intent.
WHISTLEBLOWING CHANNELS
The Company, as part of this procedure, shall establish and maintain various whistleblowing channels in order to create a more conducive environment to promote compliance and combat the cover-up of violations of the rules.
Frontex International EAD understands well that each person is different and unique and in order for each of us to feel protected and reassured, we have created separate whistleblowing channels to allow each person to use the whistleblowing method that is most convenient for them. The company has set up a dedicated e-mail address informer@frontex.bg where any whistleblower can send their report and evidence to. Further, a dedicated helpline has been set up where whistleblowing can be made during the Company's working hours, which will be recorded for the purpose of verifying whistleblowing under the Act. The telephone number set up by Frontex International EAD is 02/405 17 71. To enable persons wishing to make a whistleblowing report to do so by letter or message, the Company will also provide a physical mailbox which will be placed outside the entrance to the Company's offices where any whistleblower at a convenient time can make a report. Lastly, Frontex International EAD. is prepared, if the whistleblower so wishes, to accept the same in oral form, and a special procedure for this purpose shall be disabled.
Each report, regardless of the method of submission, is recorded on a durable medium and the information on this medium is retained for the purposes of the verification of the report and for further investigations.
The Company shall guarantee the confidentiality of the identity of the whistleblower and the person against whom the whistleblowing is directed, of any assisting persons and of any third party named in the whistleblowing or case report. The Company shall ensure that it manages the whistleblowing channel in a manner that ensures the completeness, integrity and confidentiality of information and prevents unauthorised persons from accessing such information.
When a report is made over a telephone line that is being recorded, Frontex International EAD shall retain a record of the call (including a back-up copy) in a manner that ensures the permanent preservation of the report. If necessary, an exact and verbatim transcript of the conversation can be created.
When the report is made over a non-recorded telephone line or verbally at the Frontex International EAD office, the report shall be documented by creating a report in which a company employee records the report verbatim. After the report is prepared, it is read to the whistleblower and, once approved, is sent to the official. In cases where the report is made verbally at the company's office, the whistleblower shall sign the report, upon approval.
When conducting a physical meeting, the company's employees may also record the conversation by technical means, if the whistleblower has given his/her explicit consent for this.
Where a report is made by post or email, a valid referral shall be deemed to have been made and the persons receiving the reports in question shall be obliged to report the reports immediately to the Officer. The reports and any attached documents shall be stored in a manner that ensures their permanent preservation, including by creating backup copies.
A WHISTLEBLOWING OFFICER
Frontex International EAD appoints an officer responsible for handling whistleblowing in the person of the Company's Data Protection Officer. The Officer serves as the central point to which all whistleblowing and irregularity cases are addressed, monitored and stored.
The Whistleblower Officer receives, monitors and stores all whistleblower reports, except where the report concerns the activities of another unit – for example, the Specialist Group under Article 106 of the MAMLA or the Company's DPO. In cases where the Whistleblower Officer is referred to a whistleblower who is not within his/her jurisdiction, the same shall be forwarded without undue delay to the competent officer or department for adjudication and the whistleblower shall be informed.
The Officer shall be independent and shall serve as a central point where all reports and cases of irregularities are received, monitored and stored. All other units/individuals are required to forward all incoming whistleblower reports to the Officer without delay.
The Officer is responsible for receiving, monitoring and storing all whistleblowing reports within the Frontex International EAD organisation. He/she investigates whistleblowing reports that are within his/her jurisdiction and refers those outside his/her jurisdiction to the appropriate individuals and departments and notifies the whistleblower.
The official shall examine all reports of irregularities received in the company and conduct an investigation, and for this purpose may communicate with the whistleblower and with all employees of Frontex International EAD to clarify the factual situation of the case and assess the facts and actions in accordance with the report.
The official shall inform the management of the company of all the reports received without undue delay. In the case of whistleblowers, the Officer shall provide a report on his activities and the inspection carried out and its results.
The Officer shall, in all his or her actions, observe high standards of morality, restraint, discretion and conduct which prevent the disclosure of confidential information in connection with the whistleblowing, including keeping the identity of the whistleblower confidential, unless the whistleblower consents to the disclosure of his or her identity or if required to do so by law.
When documenting the report, the Officer shall state the key issues of concern to the whistleblower and shall request documentary evidence if available. The whistleblower shall provide as much details as possible, including dates and detailed explanation of the matter causing the concern. It would be helpful to provide the following data:
• Date, time and place.
• Names of individuals, roles and department involved.
• Relationship to the person(s) concerned.
• Nature of concern.
• How was the information retrieved.
• Witnesses.
• Other relevant information supporting the report (e. g. Documents, photos, etc.)
OPERATING PROCEDURE
The registration of whistleblowers with the Company shall be done through the Whistleblower Registration Form under the Whistleblower Protection or Whistleblower Public Disclosure Act (the "Form"), a model of which has been approved by the Privacy Commission as the Central Authority for External Whistleblowing. The whistleblowing shall be submitted to the Whistleblowing Officer in writing, including by e-mail, or orally. A written report shall be submitted by the sender by completing the Form. An oral whistleblowing may be made by telephone, other voice messaging systems or, at the request of the whistleblower, by face-to-face meeting at a mutually agreeable time. In cases where the whistleblowing is oral, the Form shall be completed by the Whistleblowing Officer in the presence of the whistleblower.
Any sources of information supporting the allegations made in the report and/or reference to documents, including details of persons who could corroborate the information reported or provide additional information, may be attached to the report.
Each report shall be entered in a special register, in a form approved by the Data Protection Commission, and checked as to its veracity. The Officer shall liaise with the whistleblower, requesting additional information from the whistleblower and third parties as necessary.
After becoming aware of the report, the Officer shall provide feedback to the whistleblower on the action taken within a period of no longer than three months after acknowledging receipt of the report.
CONFIDENTIALITY
Confidentiality
The identity of the whistleblower and any information relating to the whistleblower may only be disclosed to authorised officers competent to handle whistleblowing. Information relating to the identity of the whistleblower and the whistleblower's report should be treated as confidential information.
Personal data protection
Any processing of personal data carried out under this policy, including the exchange or transfer of personal data, shall be carried out in accordance with EU and national legislation and Frontex International EAD's policies. In processing personal data, the company is guided by the principles of need to know, data minimisation, data integrity and confidentiality.
Reports archive
Frontex International EAD maintains a whistleblower register under the WPA, which records every whistleblower received by the company. Whistleblower reports are stored in accordance with legal requirements and for no longer than necessary. The register shall be kept in accordance with a model approved and adopted by the Data Protection Commission.
PROTECTIVE MEASURES
The Company assures whistleblowers that it will prevent subsequent retaliation by employees of Frontex International EAD, its contractors and other persons who have been the subject of a whistleblower. Retaliation may take the form of a negative evaluation of the whistleblower's performance, disciplinary action, termination of a contract, reputational harm, coercion, intimidation, harassment, discrimination or unfair treatment, or other actions resulting in adverse physical or psychological consequences to the whistleblower.
In cases where Frontex International EAD is notified of, becomes aware of, or has reason to suspect retaliation against a whistleblower, it will endeavor to provide the necessary support to the individual by counseling, providing information and advice to protect the individual's rights and privacy.
Where the whistleblower is the subject of retaliation and has requested interim support from the Company, Frontex International EAD undertakes to discuss at a special meeting of the Board of Directors the provision of appropriate support measures to assist the whistleblower and/or support person. The assistance shall be determined by the Board of Directors according to the capabilities of the Company and the specific situation of the person.
In any event, Frontex International EAD will not tolerate inappropriate workplace treatment of whistleblowers and/or support persons. In this regard, the Company will monitor any action directed at these individuals and will take their status as whistleblowers into account when considering any matters relating to them and their duties. Where necessary to avoid adverse treatment of a whistleblower or a supporting person, and following their request to do so, where organisationally possible, the employer may temporarily or permanently change the person's place of work within the organisation, including, where possible and justified, offering the person to work from an off-site location.
The Company maintains information systems and has internal policies to ensure that the identity of any whistleblower or facilitator is protected. All identity data is stored in a secure environment where organisational and technical protection measures are in place. Frontex International EAD applies the 'need to know' principle to the identity of whistleblowers or supporting persons.
PROTECTION OF WHISTLEBLOWERS
All whistleblowers will be treated in accordance with the presumption of innocence. The rights of these persons are guaranteed by the Company and they will be treated in a fair manner and will be informed of their rights and obligations in each case.
The persons concerned have the right to be informed of the grounds for suspicion, who the recipients of this information are and also have the right to access, rectify and remove information relating to them that is incomplete or incorrect, in accordance with the rules on data protection. The protection of the identity of whistleblowers also applies to the protection of the persons concerned.
The exercise of any of the rights may be deferred to avoid obstructing the investigation or limited to protect the rights of others involved. The decision as to whether or not these rights should be limited shall be made by the representatives of the Company on a case-by-case basis.
MONITORING AND REPORT
The results of investigations of violations shall be reported immediately to the management of Frontex International EAD after their completion and shall be accompanied by a reasoned opinion of the Official Responsible for the handling of signals.
The management of Frontex International EAD shall be responsible for the monitoring and operation of this policy and for ensuring that the Whistleblower Officer is provided with autonomy and independence in dealing with whistleblowing. The management of the company should provide material and functional support for the activities of the Whistleblower and the implementation of the Whistleblowing Policy.
Frontex International EAD designates such persons for the position of Officer, which, in view of the work performed by him in the Company, does not give rise to a conflict of interest, both on a general basis and on a case-by-case basis. In the event that a conflict of interest is identified on a case-by-case basis, then the review shall be assigned to another person specifically designated by the executive officers of the Company, and where the conflict of interest is on a general basis, then a new Officer shall be designated who shall not have a conflict of interest.
The management of the Company shall review the policy, practice and consider whether an update of the policy and any related by-laws is required at least once every three years. The update shall be approved by order of the Executive Directors of Frontex International EAD.
Company management prohibits any form of retaliation against whistleblowers (including threats and attempts at retaliation), especially, but not limited to:
• removal, demotion, or withholding of promotion, and withholding of training;
• negative performance evaluation or job recommendation;
• the imposition or application of any disciplinary measure, reprimand or other penalty;
• coercion, intimidation, harassment, discrimination or unfair treatment;
• failure to convert a temporary contract of employment into a permanent contract where the worker had a legitimate expectation that permanent employment would be offered;
• non-renewal or early termination of a temporary contract;
• damage, including to the person's reputation (particularly on social media) or financial loss, including loss of business and loss of income;
• blacklisting on the basis of an informal or formal agreement about the sector or industry which may result in the person being unable to find work in that sector or industry;
• early termination or cancellation of a contract for goods or services.
The Officer shall submit to management an annual report on the status of the implementation of this policy within Frontex International EAD.
TRANSITIONAL AND FINAL PROVISIONS
This Whistleblower Policy of Frontex International EAD is approved by an Order of the Executive Directors of the Company and shall come into effect from 01.05.2023.
Amendments to this Policy shall be adopted by Order of the Executive Directors of Frontex International EAD.
Contacts for reporting:
tel.: 02 405 17 71
e-mail: informer@frontex.bg