GIACC.PACS 13.LOGO.2021


PACS Standard 13

Reporting

PACS Standard 13 forms part of GIACC’s Project Anti-Corruption System (PACS), which comprises 15 PACS Standards (see links at foot of this webpage). 

[NOTE:  The webpages on PACS Standards 1 to 15 are being updated between 1st and 30th September 2021, during which time the page content may not be complete, and there may be inconsistencies on these pages.]

Requirements

  1. Reporting system:  The Project Owner should provide a system which enables any individual or organisation involved in the Project, or any member of the public, to report:
    1. suspected or actual corruption in relation to the Project
    2. breach of anti-corruption laws or regulations
    3. breach of the Project Owner’s anti-corruption policy or procedures
    4. breach by any individual or organisation of the Project Code of Conduct.
  2. Management of reports:
    1. Reports should be received, investigated and managed securely and confidentially, by or on behalf of the Project Owner, by a person who is sufficiently independent of the persons or activities which are the subject of the report.
    2. If this investigation reveals reasonable grounds to suspect corruption, the report should be forwarded promptly by the Project Owner to the law enforcement body.
    3. The reporting person should be informed, to the extent that this does not prejudice any investigation, of the action that has been taken with regard to the report and of the outcome of such action.
    4. The reporting person should have the obligations, rights and protections stated in paragraph 4 below.
    5. The independent monitor should promptly be informed of such report, and should be kept informed of the progress and outcome of the investigation.
  3. Publicising the reporting system:
    1. The Project Owner should take reasonable steps to:
      1. ensure that any persons who may wish to make a report are aware of:
        1. the reporting system
        2. in what circumstances they have a legal duty to report
        3. how to report in a safe and confidential or anonymous manner
        4. who to report to
        5. their obligations, rights and protections if they report (paragraph 4 below) 
      2. encourage the making of reports
      3. inform persons about how to seek advice from an appropriate person on what to do if faced with a concern or situation which could involve corruption
      4. inform persons who intend to report that legal protections under paragraph 4 below apply only where reports are made in good faith or on reasonable grounds.
    2. Information as to the matters above should be made easily and obviously available so that persons are aware of them prior to making any report.  This should include publishing this information on the Project Owner’s website and at Project and site offices.
  4. Obligations, rights and protections for those reporting corruption:
    1. All organisations and individuals involved in the Project should be required to make a report where they believe in good faith or on reasonable grounds that any of the matters referred to in paragraph 1 above have occurred in relation to the Project (see PACS Standard 8).
    2. Confidential and anonymous reporting should be permitted.
    3. The Project Owner should implement measures to protect a person who makes a report in good faith or on reasonable grounds, including as follows:
      1. The identity of the reporting person should not be disclosed without her/his prior consent.
      2. Identities, information, records and documents delivered or referred to by the reporting person should be kept confidential except in so far as necessary to further an investigation or prosecution.
      3. The reporting person should be protected against retaliation, discriminatory treatment, disciplinary sanctions or other unjustified treatment related to such report.

Guidance

G1:  Why is it important to have proper reporting mechanisms?

Corruption is normally concealed by the participants and it is therefore difficult for the affected organisation or the law enforcement authorities to uncover and deal with it.  Reports from persons who witness or suspect suspicious conduct are therefore important in the fight against corruption.

Corruption will only be materially reduced or prevented if individuals are aware that there is a real probability that corrupt activity will be reported, and that it will then be properly investigated and prosecuted.  In order for reports of corruption to be made, individuals who wish to make a report need to be confident that they will not be subject to discrimination or physical harm, and that their reports will be properly investigated.

Consequently, safe and effective reporting processes must be established.

G2:  What sort of reporting processes should be set up?

In order to reassure personnel of the safety and confidentiality of making reports, many organisations appoint a professional external third party organisation to receive reports from personnel.   In addition to receiving reports of suspected corruption, this organisation may also receive reports relating, for example, to employment, health, safety and quality issues.  This organisation will be instructed to feed back the reports to the relevant manager within the organisation (e.g. the compliance manager).   

G3:  Further Guidance

For further guidance on features of a reporting system, see Reporting.

Updated on 18th September 2021

© GIACC