Requirements

Reporting

1. Reporting system:
   1. For the duration of the Project, 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, in relation to the Project:
      1. suspected or actual corruption
      2. suspected or actual breach of:
         1. anti-corruption laws or regulations
         2. the Project Procedures
         3. the Anti-Corruption Contractual Commitments
         4. the Project Code of Conduct.
   2. The reporting system should enable reports to be made:
      1. confidentially or anonymously
      2. in writing or orally.
2. Publicising the reporting system:
   1. The Project Owner should take reasonable steps to:
      1. ensure that the reporting system is well publicised so 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 3 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.
   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 prominently on the Project Owner’s website, in the Project Owner’s office premises, and at all Project and site offices.
3. Obligations, rights and protections for those reporting corruption or breach:
   1. All organisations and individuals involved in the Project should be required to make a report under the reporting system in paragraph 1 above 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.  This requirement should be contained in the Project Code of Conduct (see PACS Standard 8).
   2. Anyone making a report should be able to do so confidentially and, if desired, anonymously.
   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 secure and confidential except in so far as necessary to further an investigation or prosecution.
      3. Where the reporting person is an employee of the Project Owner, the reporting person should be protected against retaliation, discriminatory treatment, disciplinary sanctions, or other unjustified treatment related to such report.
4. Management of reports:
   1. Reports should be received securely and confidentially, 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. Upon receipt, the report should promptly be sent by the person receiving it to the Project Owner’s top management (see paragraph 4 of PACS Standard 1), the Project compliance manager (see paragraph 5 of PACS Standard 1), and the independent monitor (see PACS Standard 11). The Project Owner’s top management should determine and supervise the manner in which the report is managed and investigated.

 Investigation

5. Investigation into the matters reported:
   
   5. The matters raised in the report should be promptly and effectively investigated on behalf of the Project Owner by the Project compliance manager or by a suitable person who is sufficiently independent of the persons or activities which are the subject of the report.
   6. If necessary or useful, expert third party resources may be used in the investigation.
   7. The outcome of the investigation should be promptly submitted in writing by the person investigating to the Project Owner’s top management, the Project compliance manager  and the independent monitor.
6. Consequent action:
   
   5. The Project Owner’s top management should review the outcome of the investigation and determine the appropriate action which should be taken in consequence.
   6. If the Project Owner’s top management identifies that there are reasonable grounds to suspect corruption, the report should be referred by the Project Owner to the law enforcement body.
   7. If the Project Owner’s top management determines that corruption or breach of any matter listed in paragraph 1 is established, then the Project Owner should:
      
      5. take appropriate enforcement action under PACS Standard 14
      6. implement any necessary improvements to the Project Procedures to prevent repetition of such matter.
   8. To the extent that this does not prejudice any investigation, the reporting person should be informed of the action that has been taken with regard to the report and of the outcome of such action.
   9. The independent monitor should be kept informed by the Project compliance manager of the progress and outcome of the investigation and any consequent action taken.