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The Compliance Review Process

Step 1: Requesting Management response

  • The Compliance Review Panel carries out the initial assessment of the complaint and determines whether it falls within its mandate.

Management to respond within 21 days

If the complaint falls within its mandate, the Compliance Review Panel forwards it to Management for response, with a copy to the Board Compliance Review Committee.

  • The Compliance Review Panel informs the borrower and the Board member representing the borrowing country concerned about receipt of the complaint.
  • The Compliance Review Panel ensures confidentiality of the identities of complainants, if requested.

Step 2: Determining eligibility

Within 21 days of receiving Management's response

  • The Compliance Review Panel reviews the complaint, Management’s response, and other relevant documents, and determines the eligibility of the complaint.
  • The Compliance Review Panel informs the complainants, borrower, Board member representing the country concerned, Management, and operations department of its determination concerning eligibility.

Note: The Compliance Review Panel forwards the complaint to the operations department if complainants did not make prior good faith efforts to resolve the issues with the operations department.

Step 3: Board authorization of compliance review

  • The Compliance Review Panel submits its eligibility report through the Board Compliance Review Committee to the Board.
  • If the Compliance Review Panel determines that the complaint is eligible, it will recommend, through the Board Compliance Review Committee, that the Board authorize a compliance review.

Within 21 calendar days from receipt of the Compliance Review Panel’s recommendation

  • The Board decides whether to authorize a compliance review.

Within 7 days from receipt of Board authorization

  • The Office of the Compliance Review Panel informs the complainants of the Board’s decision.

Step 4: Conducting compliance review

Within 10 days from receipt of Board authorization

  • The Compliance Review Panel prepares, and the Board Compliance Review Committee clears, the terms of reference for the compliance review.
  • The Office of the Compliance Review Panel provides the terms of reference to the Board for information, with a copy to Management.
  • The Compliance Review Panel begins the compliance review upon terms of reference clearance by the Board Compliance Review Committee.

The time required for compliance review depends on the project’s nature, complexity, and scope, and the alleged noncompliance

  • The Compliance Review Panel consults all relevant parties.
  • The compliance review may include desk reviews, meetings, discussions, and a site visit.

Step 5: Compliance Review Panel’s draft report

Upon completion of compliance review

  • The Compliance Review Panel issues a draft report of its findings to the complainants, borrower, and Management for comments and responses.
  • The Compliance Review Panel provides the draft report to the Board Compliance Review Committee for review.

Note: Comments and responses to be given within 45 days of issue of the draft report.

Step 6: Compliance Review Panel’s final report

  • The Compliance Review Panel revises the report as it finds warranted.
  • The Compliance Review Panel issues a final report to the Board through the Board Compliance Review Committee.

Step 7: Board consideration of the Compliance Review Panel report

Within 21 calendar days of receiving the Compliance Review Panel final report

  • The Board considers the Compliance Review Panel report.

Within 7 days after Board consideration of the Compliance Review Panel report

  • The Office of the Compliance Review Panel releases the Compliance Review Panel report to the complainants and borrower.

Step 8: Management’s remedial actions

About 60 days after Board consideration of the Compliance Review Panel report

  • If the Compliance Review Panel report concludes that ADB’s noncompliance caused direct and material harm, Management proposes remedial actions.
  • Management must obtain the borrower’s agreement on remedial actions.

Within 5 days of Management's submission of draft remedial actions

  • The Compliance Review Panel comments on Management's proposed remedial actions.

About 60 days from step 7

  • Management submits a report on proposed remedial actions to the Board, with the Compliance Review Panel comments attached.

Step 9: Board decision

Within 21 calendar days of receiving Management’s report

  • The Board decides on Management’s proposed remedial actions.

Step 10: Monitoring and conclusion

Generally not longer than 3 years

  • The Compliance Review Panel monitors the implementation of remedial actions and prepares annual monitoring reports (or at such other times as specified by the Board).
  • The Compliance Review Panel finalizes draft reports in consultation with the Board Compliance Review Committee. the Office of the Compliance Review Panel makes the reports available to the complainants, borrower, Board, Management, staff, and public.