Preliminary assessment of the second payment request of Romania

The provisions of the Directive’s Article 5 have been transposed by the Law’s paragraphs in Article 3, which provides the relevant definitions.

Transposition of the Directive’s Article 6 - Conditions for protection of reporting persons

The provisions of the Directive’s Article 6 have been transposed by the Law’s paragraphs in Articles 6, 11 and 20.

Article 6(1) of the Law establishes the information that must be included in the report based on the requirement in Article 6(1)(a) of the Directive. Additionally, Article 6(2) of the Law (as amended by Law No. 67/2023, adopted and published in the Romanian Official Journal on 28 March 2023) provides an exception to the requirement to include personal identifying information in the report, in line with the provision in Article 6(2) of the Directive in view of anonymous reports.

Article 11 (1)(a), 11(1)(b), 11(2), 11(4), and 11(5) of the Law cover the provisions of Article 6 of the Directive related to the handling of incomplete or anonymous reports.

Article 20(1) of the Law is transposing Article 6(1) of the Directive, setting out the conditions for the whistle-blower to qualify for protection.

Transposition of the Directive’s Article 7 - Reporting through internal reporting channels The provisions of the Directive’s Article 7 have been transposed by Articles 5(1) to 5(3), Article 10(1) and 10(2), and Article 15, paragraphs (b) and (c), setting out the principles for handling reports through internal channels.

Transposition of the Directive’s Article 8 - Obligation to establish internal reporting channels

The provisions of the Directive’s Article 8 have been transposed by Article 9(1), Article 9(3) to 9(6) and Article 10(1) and 10(2), which set out the obligation and the characteristics and safeguards of internal reporting channels.

Transposition of the Directive’s Article 9 - Procedures for internal reporting and follow-up The provisions of the Directive’s Article 9 have been transposed by the Law’s specific paragraphs in Articles 2, 5 and 10. In particular, Articles 2(1)(c) and (d) of the Law correspond to Article 9(1)(c) and (d) of the Directive with regards to follow-up actions. Article 5(1), (2), and (4) correspond to reporting channels in Article 9 of the Directive. Article 10(1)(a) to (h) and 10 (2) transpose further provisions of Article 9 of the Directive on the relationship with the whistle-blower in particular with regards to providing them with information on how their report is being handled.

Transposition of the Directive’s Article 10 - Reporting through external reporting channels

The provisions of the Directive’s Article 10 have been transposed by the Law’s Article 5 (1) to (4) which allow for whistle-blowers to report also via external channels.

Transposition of the Directive’s Article 11 - Obligation to establish external reporting channels and to follow up on reports

The provisions of the Directive’s Article 11 have been transposed by the Law’s specific paragraphs in Articles 3, 12, 13, 14, and 17 with regards to the definition, requirements, and processes for handling and resolving reports received through external reporting channels. In particular, the definitions are transposed by Articles 3(5), 3(13), 3(14) and Articles 12(1) to (5) of the Law. Articles 13(2) and Articles 14 (a) to (c), (e) and (f) transpose obligations in Article 11(a), (c), (e), (f) and 11(2)

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