- Purpose
This policy establishes the ethical principles that guide the activities of ESIA Consulting LLC and the mechanisms for communicating, assessing, investigating, and resolving complaints, reports, or possible misconduct involving its personnel, consultants, contractors, subcontractors, suppliers, and other persons associated with its operations.
The policy incorporates labor, gender equality, protection of persons, and grievance management principles established in accordance with the Environmental and Social Policy Frameworks (ESPFs) and Environmental and Social Performance Standards (ESPSs) of multilateral development banks.
- Scope
This policy applies to all directors, employees, consultants, specialists, contractors, subcontractors, and suppliers of ESIA Consulting, regardless of the country, contractual arrangement, or project in which they participate.
Clients, participants in training activities, and other stakeholders who become aware of possible misconduct associated with ESIA Consulting’s activities may also use its reporting mechanisms.
Contracts and agreements with consultants, contractors, subcontractors, and suppliers shall include, as appropriate, obligations consistent with this policy. ESIA Consulting may verify compliance, request corrective actions, and suspend or terminate the contractual relationship when serious or repeated noncompliance is identified.
- Ethical principles
ESIA Consulting shall conduct its activities in accordance with the following principles:
- Integrity, honesty, and transparency.
- Compliance with applicable laws, contracts, and standards.
- Professional independence, objectivity, and impartiality.
- Respect for human rights and human dignity.
- Equal opportunity, inclusion, fair treatment, and nondiscrimination in access to employment, compensation, assignment of duties, training, promotion, evaluation, disciplinary measures, and termination of employment.
- Prevention of workplace or sexual harassment, sexual and gender-based violence, sexual exploitation and abuse, and other forms of violence.
- Confidentiality and responsible protection of information.
- Prevention of conflicts of interest, fraud, corruption, bribery, and prohibited practices.
- Protection of the health and safety of workers, communities, and other persons connected with ESIA Consulting’s activities.
- Accountability and continuous improvement.
- Respect for freedom of association and the right to collective bargaining, without interference, discrimination, or retaliation.
- Prohibition of child labor, forced labor, servitude, human trafficking, and any form of modern slavery.
- Environmental protection, responsible use of resources, and prevention of environmental and social harm.
- Conduct that must be reported
The following situations, among others, may be reported:
- Fraud, corruption, bribery, collusion, coercion, or obstruction.
- Actual, potential, or apparent conflicts of interest.
- Falsification, alteration, or concealment of information.
- Misuse of resources, information, or intellectual property.
- Noncompliance with legal, contractual, or professional obligations.
- Discrimination; workplace or sexual harassment; sexual and gender-based violence; sexual exploitation or abuse; human trafficking; child or forced labor; servitude; retaliation; interference with freedom of association; or any other violation of labor and human rights.
- Unfair or unsafe working conditions; noncompliance relating to compensation, working hours, rest periods, benefits, health and safety; or violations committed by contractors, subcontractors, or suppliers.
- Retaliation against a person who raises a concern in good faith.
- Noncompliance with environmental, social, labor, or health and safety requirements.
- Violations of confidentiality or data protection.
- Any other conduct contrary to this policy or to ESIA Consulting’s values.
- Labor and working conditions
ESIA Consulting shall promote labor relations based on fair treatment, transparent communication, and compliance with applicable law. Persons associated with its activities shall receive clear information about their duties, contractual conditions, compensation, working hours, rest periods, leave, benefits, and termination of the contractual relationship.
Discrimination on the basis of sex, gender, sexual orientation, gender identity or expression, pregnancy, maternity or paternity, marital status, age, disability, nationality, ethnic or racial origin, religion, immigration status, socioeconomic status, political opinion, union membership, or any other protected status shall not be tolerated.
ESIA Consulting shall respect freedom of association and collective bargaining and shall not retaliate against persons who exercise these rights.
Child labor, forced labor, servitude, improper retention of documents, charging of recruitment fees, human trafficking, and any other form of labor exploitation are prohibited. These prohibitions shall also apply to contractors, subcontractors, and suppliers.
- Occupational health and safety
ESIA Consulting shall provide and promote safe and healthy working conditions proportionate to the risks of each activity. This shall include hazard identification, risk assessment and control, provision of information and training, incident investigation, and adoption of preventive and corrective measures.
Every person shall have the right to report unsafe conditions and to remove themselves from a situation that they reasonably believe presents a serious and imminent danger to their life or health, without retaliation.
- Handling cases of sexual and gender-based violence
Reports involving sexual harassment, sexual and gender-based violence, sexual exploitation or abuse, and human trafficking shall be handled through a survivor-centered approach that prioritizes the affected person’s dignity, safety, privacy, well-being, and informed consent.
Information shall be handled only by competent personnel and shared on a need-to-know basis, unless there is a legal obligation to disclose it. The affected person shall not be required to confront the person accused and may request reasonable accommodations during the process.
Where appropriate, ESIA Consulting shall provide information on available medical, psychosocial, legal, or protection services. The internal investigation shall not replace actions by the competent authorities and shall not be conditional on the filing of a judicial complaint.
Retaliation against the affected person, informants, witnesses, or persons providing support during the process shall not be tolerated.
- Channels for inquiries and reports
Inquiries, complaints, or possible misconduct may be communicated through:
- Email: contactinfo@esiaconsulting.org.
- Form available at https://esiaconsulting.org/es/.
- Written communication addressed to the President or the ethics officer designated by ESIA Consulting.
- Direct communication with the relevant project director, unless that person is involved in the reported events.
The report should describe the events in as much detail as possible and include, when available, dates, persons involved, witnesses, documents, and other evidence. A lack of complete information shall not prevent its receipt and assessment. The ESIA Consulting website allows inquiries and reports to be submitted without disclosing the identity of the reporting person.
The channels shall be free of charge and accessible and, when necessary, adapted to the language, disability-related needs, and safety and confidentiality needs of the reporting person. Use of these mechanisms shall not prevent access to available judicial, administrative, labor, union, contractual, or institutional remedies.
- Confidentiality and protection against retaliation
ESIA Consulting shall treat reports confidentially and limit access to the information to persons who must participate in their assessment, investigation, and resolution.
Retaliation shall not be tolerated against any person who, in good faith, submits an inquiry, complaint, or report, provides information, or participates in an investigation. This protection shall remain in effect even when the investigation does not substantiate the reported facts.
The deliberate submission of false or malicious information may result in disciplinary or contractual measures.
- Receipt and initial assessment
Every communication received shall be:
- Securely recorded.
- Reviewed to determine its nature, severity, and potential risks.
- Assessed to identify conflicts of interest.
- Assigned to a competent and impartial person.
- Referred for investigation when sufficient grounds exist.
When the reporting person has provided contact information, ESIA Consulting shall acknowledge receipt within the following five business days. As a general rule, the initial assessment shall be conducted within the following ten business days, without prejudice to immediate measures necessary to protect persons, preserve evidence, or control risks. The duration of the investigation shall depend on the nature and complexity of the case, and reasonable information on its status and closure shall be provided when possible.
- Investigation
Investigations shall be objective, timely, confidential, and proportionate to the nature of the facts. They may include:
- Review of documents, communications, and records.
- Interviews with the reporting person, the persons involved, and witnesses.
- Analysis of contracts, deliverables, decisions, and evidence.
- Consultation with legal, technical, or institutional specialists.
- Preparation of findings and recommendations.
The person under investigation shall have an opportunity to respond to the allegations, while respecting confidentiality, the safety of the persons involved, and the integrity of the investigation.
In cases of sexual and gender-based violence, the opportunity for the person under investigation to respond shall be provided without exposing the affected person, unnecessarily disclosing their identity, requiring direct confrontation, or compromising their safety or well-being.
When a report involves the President or a conflict of interest exists, the assessment shall be entrusted to an independent senior professional or external adviser with no connection to the reported events.
- Resolution and corrective measures
When misconduct is substantiated, ESIA Consulting may adopt, as appropriate:
- Corrective or preventive actions.
- Training or strengthening of controls.
- Warnings or disciplinary measures.
- Replacement or removal of personnel.
- Suspension or termination of contracts.
- Recovery of resources or correction of information.
- Notification to the client, the IDB, or the competent authority.
- Other measures proportionate to the severity of the conduct.
Decisions, rationale, responsible parties, and follow-up actions shall be documented.
- Management of cases involving multilateral development banks
When a communication relates to a contract, selection process, or operation financed by the IDB, the WB, or another multilateral development institution, ESIA Consulting shall comply with the notification obligations established in the contract and cooperate with investigations in accordance with applicable institutional procedures. Incident reporting shall respect confidentiality, data protection, and the safety of affected persons and, particularly in cases of sexual and gender-based violence, the survivor-centered approach.
- Records and information protection
ESIA Consulting shall maintain records of communications received, assessments, investigations, decisions, and measures adopted. These records shall be protected against unauthorized access, modification, or disclosure and retained in accordance with applicable legal and contractual obligations.
Confidential, personal, or sensitive information from a report shall not be entered into public artificial intelligence tools.
- Communication and compliance
This policy shall be communicated to personnel, consultants, specialists, contractors, and subcontractors participating in ESIA Consulting’s activities. It shall form part of applicable contracts and agreements and, where appropriate, induction processes.
Noncompliance with this policy may result in disciplinary, contractual, or legal measures. Resolution mechanisms shall not interfere with applicable legal actions.
- Application of the ESPF and other applicable environmental and social standards
ESIA Consulting shall conduct its activities in accordance with the IDB and WB Environmental and Social Policy Frameworks and the applicable ESPSs. Specific requirements related to risk assessment and management, resource efficiency and pollution prevention, community health and safety, land acquisition and resettlement, biodiversity, Indigenous Peoples, cultural heritage, gender equality, and stakeholder engagement shall be addressed through the environmental and social policies, procedures, codes of conduct, and instruments applicable to each contract or project.
- Review and improvement
The policy shall be reviewed periodically and whenever relevant regulatory, institutional, or contractual changes occur. Lessons from its implementation shall be used to strengthen internal controls and prevent recurrence of misconduct.
Approval
ESIA Consulting LLC hereby approves this Ethics, Integrity, and Reporting Policy and commits to providing the resources and independence necessary for its implementation.
Name: Juan Carlos Vásquez Castro
Title: President, ESIA Consulting LLC
Date: March 20, 2024