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External reporting channels and procedures
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11. The following section is inserted after section 7 of the Principal Act:
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“7A. (1) External reporting channels and procedures shall include the following:
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(a) acknowledgement, in writing, to the reporting person of receipt of the report not more than 7 days after receipt of it, save where the reporting person explicitly requested otherwise or the prescribed person reasonably believes that acknowledging receipt of the report would jeopardise the protection of the identity of the reporting person;
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(b) diligent follow-up by the designated person, which shall include at least the following:
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(i) the carrying out of an initial assessment, including seeking further information from the reporting person if required, as to whether—
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(I) there is prima facie evidence that a relevant wrongdoing may have occurred, and
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(II) the report concerns matters that fall within the scope of the matters for which the prescribed person has responsibility by virtue of the functions conferred on the prescribed person by or under this or any other enactment;
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(ii) if, having carried out an initial assessment, the prescribed person decides that there is no prima facie evidence that a relevant wrongdoing may have occurred—
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(I) closure of the procedure, and
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(II) notification of the reporting person, in writing, as soon as practicable of the decision and the reasons for it;
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(iii) if, having carried out an initial assessment, the prescribed person decides that there is prima facie evidence that a relevant wrongdoing may have occurred, but that the relevant wrongdoing is clearly minor and does not require further follow-up—
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(I) closure of the procedure, and
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(II) notification of the reporting person, in writing, as soon as practicable of the decision and the reasons for it;
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(iv) having carried out an initial assessment—
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(I) closure of the procedure in the case of repetitive reports where the prescribed person decides that the report does not contain any meaningful new information about a relevant wrongdoing compared to a previous report (including any report made before the commencement of section 11 of the Protected Disclosures (Amendment) Act 2022 (in this clause referred to as a ‘past report’)) made or transmitted to the prescribed person or to any other person in respect of which the relevant procedures (including any procedures that applied at the time any past report was made) were concluded, unless new legal or factual circumstances justify a different follow-up, and
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(II) notification of the reporting person, in writing, as soon as practicable, of the decision referred to in clause (I) and the reasons for it;
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(v) if, having carried out an initial assessment, the prescribed person decides that there is prima facie evidence that a relevant wrongdoing may have occurred and the report concerns matters that fall within the scope of the matters referred to in subparagraph (i)(II), the taking of appropriate action, in accordance with the functions conferred on the prescribed person by or under this or any other enactment, to address the relevant wrongdoing, having regard to the nature and seriousness of the matter concerned;
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(vi) having carried out an initial assessment, if the prescribed person decides that the disclosure concerns matters that are not within the scope of the matters referred to in subparagraph (i)(II)—
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(I) transmission of the report to—
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(A) such other prescribed person or persons as the prescribed person considers appropriate, or
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(B) where there is no such other prescribed person as referred to in subclause (A), the Commissioner,
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and
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(II) notification of the reporting person, in writing, as soon as practicable of the decision and the reasons for it;
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(c) where the procedure has not otherwise been closed under subparagraph (ii), (iii) or (iv) of paragraph (b) and the report has not been transmitted to any other prescribed person or persons or the Commissioner, as the case may be, under subparagraph (vi)(I) of paragraph (b), the provision of feedback to the reporting person within a reasonable period, being not more than—
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(i) where acknowledgement of receipt of the report was sent to the reporting person under paragraph (a)—
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(I) 3 months from the date of such acknowledgement, or
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(II) 6 months from the date of the acknowledgement in duly justified cases due to the particular nature and complexity of the report,
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or
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(ii) where no acknowledgement of receipt of the report was sent to the reporting person under paragraph (a)—
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(I) 3 months from the date of expiry of the period of 7 days after the report was made, or
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(II) 6 months from the date of expiry of the period of 7 days after the report was made in duly justified cases due to the particular nature and complexity of the report;
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(d) where feedback is not or is not likely to be provided to the reporting person within the period of 3 months referred to in paragraph (c)(i)(I), notification of the reporting person, in writing, as soon as practicable of the extension of that period under paragraph (c)(i)(II);
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(e) the provision to the reporting person, where he or she so requests in writing, of further feedback at intervals of 3 months until such time as the procedure relating to the report concerned is closed, the first such period of 3 months commencing on the date on which feedback is provided to the reporting person under paragraph (c);
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(f) save as provided for by or under any enactment or rule of law and subject to subsection (4), communication, in writing, to the reporting person of the final outcome of any investigation triggered by the report;
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(g) where a report concerns a breach, transmission as soon as practicable of the information contained in the report to relevant competent institutions, bodies, offices or agencies of the Union, as appropriate, for further investigation, where provided for under Union law or the law of the State.
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(2) A reporting person shall, in respect of the report concerned and any follow-up procedures, without prejudice to his or her rights under this Act and to such extent as may reasonably and lawfully be required for the purposes of this Act, cooperate with a prescribed person in relation to the performance by the prescribed person of the functions conferred on that prescribed person by or under this Act.
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(3) Without prejudice to the period referred to in subparagraph (i)(I) or (II) or subparagraph (ii)(I) or (II) of paragraph (c), as applicable, of subsection (1), if necessary and appropriate, having due regard to the number of reports received by a prescribed person, the prescribed person may deal with reports of a serious relevant wrongdoing as a matter of priority.
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(4) Subsection (1)(f) shall operate without prejudice to any legal obligations applying to the prescribed person concerned as regards confidentiality, legal professional privilege, privacy and data protection.
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(5) External reporting channels and procedures shall be considered to be independent and autonomous if they meet the following criteria:
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(a) they are designed, established and operated in a manner that ensures the completeness, integrity and confidentiality of the information concerned and prevents access thereto by persons other than designated persons and any other members of staff duly authorised in that behalf;
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(b) they enable the durable storage of information in accordance with section 16C to allow further investigations to be carried out.
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(6) External reporting channels and procedures shall enable reports to be made to a prescribed person—
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(a) in writing and orally, and
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(b) in the case of a report made orally, by telephone or through other voice messaging systems and, upon request by the reporting person, by means of a physical meeting with the prescribed person or a designated person, as the case may be, within a reasonable period from the making of the request.
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(7) Each prescribed person shall designate one or more than one member of staff (in this section referred to as a ‘designated person’) to be responsible for handling reports and, in particular, for—
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(a) providing any person with information on the procedures for making a report in the manner specified in section 7,
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(b) receiving and follow-up on reports made to the prescribed person, and
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(c) maintaining communication with the reporting person for the purpose of providing feedback and, where necessary, requesting further information from that reporting person.
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(8) Each prescribed person shall ensure that where a report is received by the prescribed person through channels and procedures other than those referred to in subsections (5) and (6) or is received by a member of staff other than a designated person—
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(a) it shall be forwarded promptly and without modification to the designated person, and
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(b) any information that might identify the reporting person or the person concerned shall not be disclosed by such member of staff.
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(9) Each prescribed person shall ensure that designated persons receive specific training for the purposes of handling reports.
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(10) Each prescribed person shall publish on a website maintained by or on behalf of such prescribed person in a separate, easily identifiable and accessible section at least the following information:
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(a) the conditions for qualifying for protection under this Act;
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(b) the contact details of the prescribed person to whom a report may be made in the manner specified in section 7, in particular the electronic and postal addresses and the telephone numbers for making the report, indicating whether the telephone conversations are recorded;
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(c) the procedures applicable to the making of reports using the external reporting channels and procedures, including the manner in which the prescribed person may request the reporting person to clarify the information reported or to provide additional information, the period for providing feedback (including further feedback) and the type and content of such feedback;
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(d) the confidentiality regime applicable to reports and, in particular, the information in relation to the processing of personal data in accordance with section 16B and under applicable data protection law;
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(e) the nature of the follow-up to be given in relation to reports;
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(f) the remedies and procedures for protection against penalisation and the availability of advice pursuant to Article 20.1(a) of the Directive for persons contemplating making a report;
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(g) a statement clearly explaining the conditions under which persons making a report using the external channels and procedures are protected from incurring liability for a breach of confidentiality pursuant to sections 14 and 15;
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(h) contact details for the support services provided under section 21A;
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(i) such other information as the Minister may specify in guidance under section 21.
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(11) (a) Each prescribed person shall review the external channels and procedures regularly but at least once within 3 years after the date of first publication of information under subsection (10) and at least once in every period of 3 years after the first such review.
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(b) In reviewing the external channels and procedures, the prescribed person shall take account of their operation and may consult with other prescribed persons in relation to the operation of external channels and procedures established, maintained and operated by them and adapt the external channels and procedures accordingly as the prescribed person considers necessary and appropriate.
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(12) Where a report made to a prescribed person is an anonymous report, unless prohibited by or under any other enactment, this section shall apply, with any necessary modifications, to such a report as if references in this section to a report were a reference to an anonymous report.
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(13) The provisions of this section (other than paragraphs (b)(vi) and (c) of subsection (1) and subsections (10) and (11)) shall apply, with any necessary modifications, to reports transmitted to a prescribed person under subsection (1)(b)(vi)(I) as those provisions apply to a report made to a prescribed person.
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(14) Where a report is transmitted to a prescribed person under subsection (1)(b)(vi)(I), feedback shall be provided to the reporting person not later than—
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(a) where acknowledgement of receipt of the report was sent to the reporting person under subsection (1)(a) (in this subsection referred to as the ‘original acknowledgement’)—
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(i) 3 months from the date of the original acknowledgement, or
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(ii) 6 months from the date of the original acknowledgement in duly justified cases due to the particular nature and complexity of the report,
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or
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(b) where there was no original acknowledgement—
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(i) 3 months from the date of expiry of the period of 7 days after the report was made, or
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(ii) 6 months from the date of expiry of the period of 7 days after the report was made in duly justified cases due to the particular nature and complexity of the report.”.
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