File #2481: "2018_Book_FightingFraudAndCorruptionAtTh.pdf"
Text
1|Foreword|6
2|The Important Role of the World Bank´s Sanctions Regime in Deterring Foreign Corruption|6
3|Countries´ Efforts to Deter Foreign Corruption|6
4|How Have Things Improved?|6
4|Problems That Remain|8
3|The World Bank as an Instrument for Deterring Bribery|10
4|World Bank Sanctions Regime|10
4|Opportunities for Reform and Lessons for Others|11
2|References|12
1|Introduction|14
1|Contents|20
1|Chapter 1: The World Bank Sanctions System: Historical Overview and Background|23
2|1.1 The Emerging Reasons for Fighting Corruption at the World Bank: Protecting Its Own Resources|23
2|1.2 Pursuing the Clear Business Goal|24
2|1.3 A Multileveled Approach in Fighting Corruption: Promoting Good Governance at the Domestic Level|27
2|1.4 Fostering a Collective Action on Global Governance|32
2|1.5 Fighting Corruption Within the Bank-Financed Projects: Ex Ante and Ex Post Measures. The Sanctions System|35
2|1.6 The Other MDBs´ Sanction Systems|42
2|1.7 Harmonization of Sanctions Procedures and Cross-Debarment Regime|49
1|Chapter 2: The Evolution of the World Bank Sanctions System|53
2|2.1 Historical Background and the Adoption of the Sanctions System (1996)|53
2|2.2 The Establishment of the Sanctions Board (2004)|57
2|2.3 The Implementation of More Effective Measures Against Fraud and Corruption (2006)|58
2|2.4 The Introduction of the ``Early Temporary Suspension´´ and Cross-Debarment Regime (2009-2010)|59
2|2.5 Reaching a Higher Level of Accountability and Transparency (2011)|60
2|2.6 The First Phase of the Sanctions Regime General Review (2013)|62
1|Chapter 3: Framing the World Bank´s Sanction Power: Sources and Procedure|65
2|3.1 Sources of the Sanctions System and the Rule of Law: General Remarks|65
2|3.2 Applicable World Bank´s Texts|69
2|3.3 General Principles of Law and National Law|71
2|3.4 Role of Precedents|73
2|3.5 Resolution of Conflicts Between Internal Regulatory Sources|75
2|3.6 Variation Between Earlier and Later Versions of the Bank´s Sources|76
2|3.7 Procedure and Due Process in the Sanctions System: General Remarks|78
2|3.8 Complaint Intake|88
2|3.9 Investigations: The Integrity Office|89
2|3.10 First Tier of the Sanctions Process: The Suspension and Debarment Officer|92
2|3.11 Temporary Suspension|93
2|3.12 Notice of Sanctions Proceedings|95
2|3.13 Second Tier of the Sanctions Process: The Sanctions Board|96
1|Chapter 4: Respondents, Sanctionable Practices, and Attribution of Liability|99
2|4.1 Respondents: Firms and Individuals, Borrowers and Consultants|99
2|4.2 Criteria for the Attribution of Liability to Legal Entities|101
2|4.3 Corporate Groups: Controlled and Controlling Entities|105
2|4.4 World Bank´s Jurisdictional Reach over Noncontractors|109
2|4.5 Sanctionable Practices|111
2|4.6 Corruption|112
2|4.7 Fraud|114
2|4.8 Collusion|118
2|4.9 Coercion|120
2|4.10 Obstruction|120
1|Chapter 5: Defense´s Rights and Rule of Evidence|124
2|5.1 INT´s Duty to Provide Information of Investigation Outcomes|124
2|5.2 Right to Evidence Disclosure and Quality of Evidentiary Material|126
2|5.3 Right to a Hearing|130
2|5.4 Time Limits for Submitting the Written Response to the Sanctions Board|133
2|5.5 Standard of Proof and Shift of the Burden of Proof|134
2|5.6 Restrictions on Respondents´ Physical Access to Evidentiary Documents|138
2|5.7 Live Witness Testimony|139
2|5.8 Evidential Value of Party´s Silence|142
2|5.9 Request for a Stay of Proceedings|143
2|5.10 Principle of Finality|145
2|5.11 Statute of Limitations|148
1|Chapter 6: Sanctions and Sentencing Practices|150
2|6.1 Indefinite or Fixed-Term Debarment|150
2|6.2 Debarment with Conditional Release|153
2|6.3 Conditional Nondebarment|155
2|6.4 Letter of Reprimand|155
2|6.5 Restitution and Financial Remedies|157
2|6.6 Sentencing Practice|158
2|6.7 Consistency and Predictability in World Bank Sentencing|159
2|6.8 Criteria for Determining the Sanction: Severity of the Misconduct and Magnitude of Harm|162
2|6.9 Aggravating Factors|164
2|6.10 Mitigating Factors|165
2|6.11 Other Relevant Factors in Determining the Sentence|168
2|6.12 Relevance of Presentence Provisional Measures|170
2|6.13 Relevance of Potential Adverse Consequences of Debarment|172
2|6.14 Role of Excusing or Exempting Circumstances|173
2|6.15 Alternatives to Sanctions: Negotiated Resolution Agreements|176
2|6.16 Sanctions Board´s Involvement in the Settlement Procedure|181
2|6.17 Voluntary Disclosure Program|183
2|6.18 Corporate Compliance Systems|186
1|Select Bibliography|192
2|The Important Role of the World Bank´s Sanctions Regime in Deterring Foreign Corruption|6
3|Countries´ Efforts to Deter Foreign Corruption|6
4|How Have Things Improved?|6
4|Problems That Remain|8
3|The World Bank as an Instrument for Deterring Bribery|10
4|World Bank Sanctions Regime|10
4|Opportunities for Reform and Lessons for Others|11
2|References|12
1|Introduction|14
1|Contents|20
1|Chapter 1: The World Bank Sanctions System: Historical Overview and Background|23
2|1.1 The Emerging Reasons for Fighting Corruption at the World Bank: Protecting Its Own Resources|23
2|1.2 Pursuing the Clear Business Goal|24
2|1.3 A Multileveled Approach in Fighting Corruption: Promoting Good Governance at the Domestic Level|27
2|1.4 Fostering a Collective Action on Global Governance|32
2|1.5 Fighting Corruption Within the Bank-Financed Projects: Ex Ante and Ex Post Measures. The Sanctions System|35
2|1.6 The Other MDBs´ Sanction Systems|42
2|1.7 Harmonization of Sanctions Procedures and Cross-Debarment Regime|49
1|Chapter 2: The Evolution of the World Bank Sanctions System|53
2|2.1 Historical Background and the Adoption of the Sanctions System (1996)|53
2|2.2 The Establishment of the Sanctions Board (2004)|57
2|2.3 The Implementation of More Effective Measures Against Fraud and Corruption (2006)|58
2|2.4 The Introduction of the ``Early Temporary Suspension´´ and Cross-Debarment Regime (2009-2010)|59
2|2.5 Reaching a Higher Level of Accountability and Transparency (2011)|60
2|2.6 The First Phase of the Sanctions Regime General Review (2013)|62
1|Chapter 3: Framing the World Bank´s Sanction Power: Sources and Procedure|65
2|3.1 Sources of the Sanctions System and the Rule of Law: General Remarks|65
2|3.2 Applicable World Bank´s Texts|69
2|3.3 General Principles of Law and National Law|71
2|3.4 Role of Precedents|73
2|3.5 Resolution of Conflicts Between Internal Regulatory Sources|75
2|3.6 Variation Between Earlier and Later Versions of the Bank´s Sources|76
2|3.7 Procedure and Due Process in the Sanctions System: General Remarks|78
2|3.8 Complaint Intake|88
2|3.9 Investigations: The Integrity Office|89
2|3.10 First Tier of the Sanctions Process: The Suspension and Debarment Officer|92
2|3.11 Temporary Suspension|93
2|3.12 Notice of Sanctions Proceedings|95
2|3.13 Second Tier of the Sanctions Process: The Sanctions Board|96
1|Chapter 4: Respondents, Sanctionable Practices, and Attribution of Liability|99
2|4.1 Respondents: Firms and Individuals, Borrowers and Consultants|99
2|4.2 Criteria for the Attribution of Liability to Legal Entities|101
2|4.3 Corporate Groups: Controlled and Controlling Entities|105
2|4.4 World Bank´s Jurisdictional Reach over Noncontractors|109
2|4.5 Sanctionable Practices|111
2|4.6 Corruption|112
2|4.7 Fraud|114
2|4.8 Collusion|118
2|4.9 Coercion|120
2|4.10 Obstruction|120
1|Chapter 5: Defense´s Rights and Rule of Evidence|124
2|5.1 INT´s Duty to Provide Information of Investigation Outcomes|124
2|5.2 Right to Evidence Disclosure and Quality of Evidentiary Material|126
2|5.3 Right to a Hearing|130
2|5.4 Time Limits for Submitting the Written Response to the Sanctions Board|133
2|5.5 Standard of Proof and Shift of the Burden of Proof|134
2|5.6 Restrictions on Respondents´ Physical Access to Evidentiary Documents|138
2|5.7 Live Witness Testimony|139
2|5.8 Evidential Value of Party´s Silence|142
2|5.9 Request for a Stay of Proceedings|143
2|5.10 Principle of Finality|145
2|5.11 Statute of Limitations|148
1|Chapter 6: Sanctions and Sentencing Practices|150
2|6.1 Indefinite or Fixed-Term Debarment|150
2|6.2 Debarment with Conditional Release|153
2|6.3 Conditional Nondebarment|155
2|6.4 Letter of Reprimand|155
2|6.5 Restitution and Financial Remedies|157
2|6.6 Sentencing Practice|158
2|6.7 Consistency and Predictability in World Bank Sentencing|159
2|6.8 Criteria for Determining the Sanction: Severity of the Misconduct and Magnitude of Harm|162
2|6.9 Aggravating Factors|164
2|6.10 Mitigating Factors|165
2|6.11 Other Relevant Factors in Determining the Sentence|168
2|6.12 Relevance of Presentence Provisional Measures|170
2|6.13 Relevance of Potential Adverse Consequences of Debarment|172
2|6.14 Role of Excusing or Exempting Circumstances|173
2|6.15 Alternatives to Sanctions: Negotiated Resolution Agreements|176
2|6.16 Sanctions Board´s Involvement in the Settlement Procedure|181
2|6.17 Voluntary Disclosure Program|183
2|6.18 Corporate Compliance Systems|186
1|Select Bibliography|192