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Modello 231 – WHISTLEBLOWING REPORT MANAGEMENT PROCEDURE

WHISTLEBLOWING REPORT MANAGEMENT PROCEDURE

 

PREAMBLE

With reference to La Marzocco S.r.l. (hereinafter “La Marzocco”), this procedure (hereinafter the “Procedure”) governs the process for receiving and handling reports (the “Whistleblowing”), the operational management methods, and the safeguards and protections provided to the reporting person (the “Whistleblower”) and any persons involved, in compliance with the applicable legislation on personal data protection (GDPR).

The Procedure is effective as of 15 July 2023, as provided for by Legislative Decree No. 24 of 10/03/2023, issued in implementation of Directive (EU) 2019/1937. For any matters not expressly set out in this Procedure, the provisions of the aforementioned Legislative Decree shall apply in full.


RECIPIENTS

The recipients of this Procedure are those identified under Article 3 of Legislative Decree 24/2023 and, in particular: directors, shareholders, executives, members of corporate and supervisory bodies, employees, temporary workers, interns, professionals, consultants, suppliers, collaborators and, in general, all business partners having business relations with our company.

 

WHAT MAY BE REPORTED

Legislative Decree No. 24/2023 establishes that reportable matters include information concerning violations that harm the public interest or the integrity of a public administration or private entity, learned within a work-related context, including, by way of example and not limitation:

· administrative, accounting, civil or criminal offences; unlawful conduct relevant under Legislative Decree No. 231/2001 (including violations of organizational models and related protocols); breaches of the Code of Ethics; violations of the provisions set out in Legislative Decree No. 24/2023; breaches of contractual provisions, policies, rules and procedures, both at company and Group level; any violation of applicable national or international laws and regulations, whether currently in force or future;

· in general, any conduct, act or omission that may cause damage or prejudice, including reputational damage, to La Marzocco and/or the La Marzocco Group;

· offences falling within the scope of European Union or national acts relating to the following sectors: public procurement; financial services, products and markets and prevention of money laundering and terrorist financing; product safety and compliance; transport safety; environmental protection; radiation protection and nuclear safety; food and feed safety and animal health and welfare; public health; consumer protection; protection of privacy and personal data and security of networks and information systems; acts or omissions affecting the financial interests of the European Union; acts or omissions relating to the internal market; acts or conduct that defeat the object or purpose of the provisions set out in European Union acts.

Reports must be made in good faith and must be sufficiently detailed and supported by precise information so as to be readily verifiable.

 

WHAT MUST NOT BE REPORTED

The following do not fall within the scope of reportable violations:

· manifestly unfounded information, information already entirely in the public domain, as well as information acquired solely on the basis of unreliable rumours or hearsay (“gossip”) or otherwise learned outside the work-related context;

· disputes, claims or requests relating to a personal interest of the reporting person and concerning exclusively their individual employment relationship or relationships with hierarchically superior figures.

Therefore, for example, reports concerning employment disputes, discrimination among colleagues, interpersonal conflicts between the reporting person and another employee, complaints regarding contractual classification or remuneration, etc., are excluded.

It is specified that in the event of unfounded reports that prove to be defamatory or slanderous, La Marzocco reserves the right to take action to protect its interests and those of the injured parties, including from a disciplinary standpoint.

 

WHO RECEIVES AND MANAGES THE REPORTING PROCESS

The Company has identified the HR Function (hereinafter “HR”) as the recipient of reports and therefore responsible for the entire management process. In cases of conflict of interest—i.e., where the subject of the report concerns the HR Manager, the HR Department, or conduct carried out by them—the recipient of the reports shall be the Legal Department of La Marzocco (hereinafter “Legal”).

HOW TO MAKE A REPORT

 

INTERNAL REPORTING

A person wishing to submit a report may use the following channels:

· The primary reporting channel is the digital platform accessible at “https://segnalazioni.lamarzocco.com/”, which allows written reports to be submitted. Use of the platform is strongly recommended as it ensures a high level of confidentiality and effectiveness both during the reporting phase and subsequent management;

· Through the same digital platform accessible at “https://segnalazioni.lamarzocco.com/”, it is also possible to submit an oral report by requesting a direct meeting with HR or, in cases of conflict of interest, with Legal;

· Ordinary mail, in a sealed envelope addressed to HR or, in cases of conflict of interest, to Legal, at the operational headquarters of La Marzocco – Via La Torre 14/H, 50038 Scarperia (FI), indicating on the envelope “CONFIDENTIAL HR” or “CONFIDENTIAL LEGAL DEPARTMENT”;

· In cases of conflict of interest, it is always possible to submit a report addressed to Legal through the platform at “https://segnalazioni.lamarzocco.com/”;

· Only as a last resort, and in all cases of conflict of interest also involving Legal, it will be possible to submit a report to the National Anti-Corruption Authority – ANAC (https://www.anticorruzione.it/-/segnalazioni-contratti-pubblici-e-anticorruzione).

Reports must include all elements necessary to enable the recipient to carry out appropriate checks to verify the validity of the reported facts. The report should preferably include the following elements:

a)    details of the reporting person;

b)    a clear and complete description of the reported facts;

c)    if known, the time and place in which the facts occurred;

d)    if known, the identity or other elements (such as position and department) allowing identification of the person responsible;

e)    indication of any other persons who may provide information on the reported facts;

f)     indication of any documents that may confirm the validity of the reported facts;

g)    any other information that may provide useful verification of the reported facts.

Anonymous reports will be considered for further verification only if they concern particularly serious facts and are adequately detailed and substantiated.

 

EXTERNAL REPORTING

A person wishing to make a report may also submit an external report to the National Anti-Corruption Authority – ANAC (https://www.anticorruzione.it/-/segnalazioni-contratti-pubblici-e-anticorruzione).

An external report may be made if, at the time of submission, one of the following conditions applies:

a)    no mandatory internal reporting channel is provided within their work context, or such channel, even if mandatory, is not active or does not comply with Article 4;

b)    the reporting person has already made an internal report and no follow-up has been given;

c)    the reporting person has reasonable grounds to believe that, if an internal report were made, it would not be effectively followed up or that it may result in retaliation;

d)    the reporting person has reasonable grounds to believe that the violation may constitute an imminent or manifest danger to the public interest.

 

PUBLIC DISCLOSURE

As a last resort, reporting persons may also publicly disclose their suspicions.

Such disclosure is permitted only if one of the following conditions applies:

· the reporting person has already made an internal or external report which has not been followed up;

· the reporting person has reasonable grounds to believe that the violation may constitute an imminent or manifest danger to the public interest;

· the reporting person has reasonable grounds to fear retaliation in the event of an external report or that such report would not be effectively followed up.

 

HOW A REPORT IS HANDLED

Upon receipt of a report, the recipient shall:

· carry out a preliminary assessment to verify the plausibility of the contents of the report;

· within 7 days of receipt, acknowledge to the reporting person that the report has been taken into charge, request any additional clarifications if necessary, or declare the report inadmissible (stating the reasons for such decision);

· if the report is deemed well-founded, proceed with the investigation phase, maintaining communication with the reporting person, requesting any additional information or documentation as needed, and providing appropriate feedback on the progress and final outcome of the investigation, within no more than 3 months from the acknowledgment of receipt (unless the investigation requires a longer period).

 

PROTECTION OF THE CONFIDENTIALITY OF REPORTING PERSONS

The identity of the reporting person may not be disclosed to persons other than those competent to receive or follow up on reports, without the express consent of the reporting person. Protection covers not only the name of the reporting person but also all elements of the report from which their identity may be directly or indirectly inferred.

Confidentiality protection is also extended to the identity of the persons involved and mentioned in the report until the conclusion of the proceedings initiated as a result of the report, subject to the same safeguards provided for the reporting person.

If the reporting person is an employee of La Marzocco, no form of retaliation or discriminatory measure, direct or indirect, affecting working conditions for reasons directly or indirectly related to the report, shall be permitted or tolerated.

 

RESPONSIBILITY OF THE REPORTING PERSON

The criminal and disciplinary liability of the reporting person remains in cases of slanderous or defamatory reporting pursuant to the Criminal Code and Article 2043 of the Civil Code.

Disciplinary liability and other applicable consequences may also arise in cases of abuse of this Procedure, such as reports that are manifestly opportunistic and/or made solely for the purpose of harming the reported person or others, or any other improper or intentional misuse of the whistleblowing system governed by this Procedure.

 

COMPLIANCE WITH PERSONAL DATA PROTECTION LEGISLATION

The processing of personal data relating to the receipt and management of reports is carried out by La Marzocco, as Data Controller, through HR or Legal as authorized data processors, in compliance with European and national principles on personal data protection, providing appropriate information to reporting persons and persons involved, and adopting suitable measures to safeguard the rights and freedoms of data subjects.

Internal and external reports and related documentation shall be retained for the time necessary to process the report and, in any case, no longer than 5 years from the date of communication of the final outcome of the reporting procedure, in compliance with confidentiality obligations under European and national personal data protection legislation.

If the reported facts do not fall within the scope of whistleblowing legislation or are not verifiable, the personal data shall be deleted within 60 days from receipt of the report.

 

UPDATING OF THE PROCEDURE

This Procedure has been drafted on the basis of the current legislation and may therefore be subject to amendments, additions or updates as necessary, in light of regulatory developments or best practices in the field.