Whistleblower Reporting

CapeOmega and any entity that is directly or indirectly controlled by CapeOmega (collectively referred to as “CapeOmega” or “Company”) requires its employees and representatives to observe the highest standard of business and personal ethics in the conduct of their duties and responsibilities.

To ensure compliance with applicable laws and regulations of the countries where the Company conducts business, the Company has established various policies and procedures, including the Code of Conduct.

Scope

This information is part of CapeOmega whistleblower policy (the “Policy”) is intended to encourage and enable all our employees, customers, partners, suppliers and/or any other third parties who have acquired information in a work-related context (an “Associate”) to make good faith reports pertaining to serious violations such as suspected fraud, unethical business practices, bribery, corruption, or other improper or unlawful activity, or serious health and safety concerns within CapeOmega and;

(i) to describe the process that will be followed by CapeOmega in evaluating and investigating such reports. This Policy is owned by the CEO and the Quality Manager.

(ii) to contact Company representative; – Esther Peiner (Board member) and / or Ronny Nordstrøm Larsen (QA Manager) who will be the primary recipients of any reports.

(iii) or alternatively contract Wikborg Rein, an international law firm, as a confidential and secure third party, who will facilitate Whistleblower reporting for employees, directors, third parties and subcontractors to raise concerns without fear of retaliation for reports made in good faith.

Reporting

Any Associate that has concerns or reason to believe that an employee or board member of CapeOmega has been in violation of the above should report this;

Directly to the above Company representatives (ii), or
Report the violation on CapeOmega’s whistleblower form below.

The form will be directly sent confidential and secure to Wikborg Reins dedicated whistleblower lawyer.

The report should explain and describe the violation with as much detail as possible. The more information that is provided, the better for the efficiency and success of the investigation.

Investigation

Every report of a possible violation will be investigated promptly and impartially, with every effort to maintain confidentiality of the Associate and the reported individual(s). The Associate making the report and individual(s) reported will be informed of the results of the investigation no later than 3 (three) months after the report has been received.

Individual(s) Reported

CapeOmega will ensure that any person reported under this Policy fully enjoys the right to a fair investigation and the presumption of innocence, and the right to be informed about the investigation and access to their file. This means that any person reported will receive:

A notice that a report about them has been submitted
Information about who will investigate their file and the purpose
Information about the treatment of the file and their right to access it
Information that the file may be submitted to the police or other public authorities

However, if the legal advice estimates that informing the reported individual(s) at an early stage could put the investigation or the Associate at risk, sharing of the above information might need to be deferred. Deferral of information will be decided on a case by case basis and the reasons for any restriction will be documented.

Findings

If CapeOmega finds that a violation has taken place, it will take appropriate corrective and remedial action, up to termination and reporting the violation to a competent legal authority.

Anonymity

CapeOmega will treat your reporting confidentially and protect your identity internally, if it is known to us. Only if a police investigation or other external investigations are needed CapeOmega might be required to reveal an Associates personal information. However, if an Associate wants to ensure their anonymity, they must avoid the following:

Avoid writing their own personal details in the report.
Avoid reporting from a PC provided by CapeOmega.
Avoid using a PC that is connected to CapeOmega’s network/intranet.
Avoid using an e-mail account that can reveal their personal identity.

Filing a report on the form below will automatically be forwarded to Wikborg Rein and will be received by an independent third-party lawyer.

No Retaliation

CapeOmega prohibits retaliation against, harassment of, or other adverse action against an Associate (including colleagues or any other third party who assist the Associate with the reporting) because they reported a suspected violation or assisted in an investigation. Any instances of retaliation should be reported as a violation as defined in this Policy. Examples of prohibited retaliation includes:

Suspension, lay-off, dismissal, or equivalent measures
Coercion, intimidation, or discrimination
Negative performance assessment or employment reference
Early termination or cancellation of contracts for goods or services

It is important to avoid innocent persons being suspected of a violation, so before initiating a report an Associate should consider very carefully whether the practices they intend to report fall within the scope of this Policy and if they have reasonable grounds to believe so. Associates whose report is not based on reasonable grounds will not enjoy the protection as defined in this Policy.

Personal Data Processing

CapeOmega will process Personal Data of the Associate, the reported person(s) and any other third parties involved for the purposes provided in this Policy and in accordance with CapeOmega’s GDPR Policy and specifically its section 4 and 11, and in accordance with a Norwegian law.