1. ROP: Confidentiality; Retaliation
    1. Confidentiality.
      1. Requestors may request confidentiality for a variety of reasons. The request for confidentiality and the reasons for the request are provided with the submission (see Section 6.4.3 above on Request for Confidentiality; Retaliation Assessment). Confidentiality of identity and other information can help to mitigate risks of retaliatory actions to the Requestors, their families and in-country Authorized Representatives (see Section 9.2 below on Retaliation). Confidentiality of proprietary information can also protect the legitimate commercial interests of Clients. Therefore, any of the parties to a submission may request the PPM to keep their identities and other information confidential, including information provided or obtained during submission review. The PPM verifies this information but will not disclose it to other parties, including Management, the Board or Client.
      2. The PPM considers the request for confidentiality and makes all reasonable efforts to grant the confidentiality requested. If, however, confidentiality becomes an impediment to eligibility assessment or effective resolution of issues raised, the PPM advises the Requestors of these concerns and seeks to agree with the Requestors on how to proceed. Failing such agreement, the PPM may terminate the review of the submission.
      3. The PPM advises all PPM personnel, and Management advises all other AIIB personnel, of their obligations to ensure the requested confidentiality when handling any submissions received. The following measures apply to the sharing of submission-related information:
        1. Sharing Among PPM Personnel. The PPM provides detailed information to PPM personnel on maintenance of confidentiality during the performance of their roles and responsibilities. The PPM ensures that requested confidentiality of the Requestors’ identity and other information is protected when copying or forwarding submission-related material within AIIB.
        2. Sharing Among Other AIIB Personnel. Management advises all non-PPM AIIB personnel of their obligation to protect the Requestors’ requested confidentiality when handling submissions.
        3. Sharing with Other Financiers. The PPM makes arrangements with the IAMs of Project co-financiers to address confidentiality when sharing submission-related information. If a request for confidentiality is granted by the PPM, authorization from the party concerned is required before this information is shared with IAMs of the co-financiers.
      4. Public Disclosure. If a request for confidentiality under a submission is granted, the PPM discloses information regarding the submission only after it has made the redactions needed to maintain the requested confidentiality.
    2. Retaliation.
      1. The PPM recognizes that instances of Retaliation are a serious issue. Threats and acts of Retaliation against people who may interact with the PPM may place those people, their families, any in-country Authorized Representative or others, as well as the effectiveness of the PPM, at risk. These threats and acts of Retaliation can come from Project proponents, agencies, Clients, contractors, employees, and rival interest groups, including other Project-affected people, among others. They can occur at all stages of the Project cycle, for example, during preparation and delivery of a submission to the Project-level GRM or PPM or during PPM site visits and other meetings. In the latter case, threats and acts of Retaliation may also affect interviewees and PPM personnel facilitating communications and meetings with Project-affected people.
      2. Neither AIIB nor the PPM is an enforcement mechanism. Consequently, the PPM is unable to physically protect or safeguard people from possible consequences of engaging in a PPM process or cooperating with PPM personnel. The PPM advises Requestors and any in-country Authorized Representative about its inability to assist with physical protection measures. The PPM also communicates this inability through its outreach, the PPM website and publicity.
      3. Nevertheless, the PPM explores with the Requestors and any in-country Authorized Representative if confidentiality of the identity of the Requestors or the in-country Authorized Representative and other relevant persons and/or any other information would mitigate the risks of Retaliation.
      4. The PPM also assesses the risk of Retaliation against the Requestors, any in-country Authorized Representative and, if determined by the PPM, other relevant persons in connection with a submission. The PPM makes a due diligence desk review of the risk environment and potential or actual risk of Retaliation against any persons filing a submission to the PPM. This review forms a routine part of submission assessment. The PPM collates and endeavors to corroborate information from public sources, AIIB staff, international legal, financial, donor and governance institutions, nongovernmental organizations (NGOs), civil society organizations (CSOs), private sector organizations, researchers, reporters and the Requestors.
      5. The review becomes a restricted access report that is stored and protected within the PPM management information system. The first review report is updated as appropriate, and especially if the likelihood of retaliatory risks increases, until the PPM process is concluded, or the Requestors and any in-country Authorized Representative indicate that confidentiality is no longer required.
      6. If the review identifies a risk of Retaliation, the PPM notifies Management and discusses actions that Management may take to mitigate the risks to the Requestors, their families and in-country Authorized Representative. Attachment 4 provides more information on PPM handling of Retaliation risks.

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