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中国企业如何应对世界银行合规调查 ——世界银行制裁程序与处罚裁量情节解析 编辑:刘相文  王德昌  Graham•Adria 2019-07-26

 

 

2019年6月12日,世界银行宣布对中国某企业进行制裁——15个月内禁止该企业参与世行融资支撑的项目,到期并满足条件后才可以解除制裁。制裁的原因是其在利比里亚电力项目的投标中存在“欺诈行为”。该项目总投资6亿美金,建设内容为改善利比里亚电力供应并提升利比里亚电力部门的服务能力。被制裁企业被认定伪造两份信函,声称某设备生产商已经授权该企业提供、安装其设备。被制裁企业与世行签署了和解协议,承诺会按照《世界银行诚信合规指南》建立诚信合规体系,并将此作为解禁的一项条件。

 

On June 12, 2019, the World Bank announced that a Chinese company has been debarred with a conditional release. Due to “fraudulent practices” that occurred during a bid for a power project in Liberia, the electrical engineering firm will be unable to participate in World Bank-financed projects for 15 months. The project, worth USD 60 million, was to increase access to electricity and strengthen institutional capacity in Liberia’s electricity sector. The electrical engineering firm had falsified two letters asserting that the manufacturer of a type of equipment had authorized the electrical engineering firm to supply and install the equipment. The electrical engineering firm entered into a settlement agreement with the World Bank and committed to establishing an integrity compliance program consistent with the principles set out in the World Bank Group Integrity Compliance Guidelines[1]as a condition for release from its debarment.

 

由于对该企业的制裁期限超过了一年,该制裁事项自动触发了世界银行、亚洲开发银行、欧洲复兴开发银行、美洲开发银行、非洲开发银行等其他多边开发性金融机构的联合制裁——该项制裁机制是上述机构在《共同实行制裁决定协议》中确立的。这意味着,该企业也不能参与上述任何一家机构提供融资支撑的项目。

 

As the World Bank debarment is longer than one year, the electrical engineering firm qualifies for automatic cross-debarment by other multilateral development banks (MDBs) under the Agreement for Mutual Enforcement of Debarment Decisions. The company will be unable to participate in projects funded by the Asian Development Bank, the European Bank for Reconstruction and Development, the Inter-American Development Bank, and the African Development Bank.

 

 
 

世界银行近期频繁制裁中国企业

The World Bank Has Been Busy Debarring Chinese Companies

 
 

 

本案是世界银行对中国企业进行制裁的最新案件。除该电气设备企业以外,近期还有其他三家中国企业被世界银行制裁而与世行签署和解协议:

 

This is the latest in a line of World Bank debarment cases involving Chinese companies. In addition to the electrical engineering firm, the World Bank has announced three other settlement agreements with Chinese companies recently:

 

  1. 2019年6月6日,世行宣布对某中国企业、该企业的两家子企业及其下属企业进行制裁,制裁原因是其在某格鲁吉亚建筑工程项目的投标过程中存在“欺诈行为”,具体包括对子企业的相关经验、人员配备、设备情况进行虚假陈述。由于制裁期限不满一年,该企业未触发其他多边开发性金融机构的联合制裁。

     

    A Chinese company, two of its subsidiaries, and their affiliated companies were debarred for nine months on June 6, 2019, for “fraudulent practices” in the procurement process for a highway construction contract in Georgia. These practices included misrepresenting a subsidiary’s experience and the personnel and equipment to be used in the project. As the debarment is for less than a year, the companies do not face cross-debarment by other MDBs.

     

    该企业及其子企业还可能面临24个月的附条件不予制裁。在不予制裁期间,该企业及其子企业可以参与世行项目。但是,如果其未能遵守和解协议,包括未能在规定限期内完善其合规体系,可能将会面临24个月的实际制裁。

     

    The companies and their affiliates may face an additional conditional non-debarment for 24 months. During the non-debarment period, the companies and their affiliates will be able to participate in World Bank projects. However, if they fail to meet the conditions of the settlement agreement, including enhancing their integrating compliance program, they may be debarred for those 24 months.

     

  2. 2019年5月22日,世行宣布对中国某企业进行为期20个月的制裁,制裁理由是其在赞比亚的某输变电项目中存在欺诈行为,包括提交虚假文件谎报该企业的过往业绩。该制裁同样将建立合规体系作为解禁的一项条件。由于制裁期限超过了12个月,该制裁同时触发了其他多边开发性金融机构的联合制裁。

     

    A Chinese company was debarred for 20 months on May 22, 2019 for "fraudulent practices" in a bid for improving part of an electricity transmission and distribution system in Zambia. These practices include misrepresenting the company’s past contract experience by submitting falsified documents. The debarment comes with a conditional release which requires the development of an integrity compliance program. The company qualifies for automatic cross-debarment by other MDBs.

     

  3. 2019年5月14日,世行宣布对中国某企业进行15个月的制裁,制裁理由是其在西非的跨境输变电项目的投标中存在欺诈行为,具体表现为虚构过往业绩以满足项目要求。制裁要求该企业在制裁期间继续全面配合世行廉政局。该制裁同时触发了其他多边开发性金融机构的联合制裁。

     

    A Chinese company was debarred for 15 months on May 14, 2019, for “fraudulent practices” in a bid for a cross-border electricity transmission project in West Africa. These practices included falsifying its past experience to meet the requirements of the contract. The debarment comes with a conditional release that requires the company to continue full cooperation with the World Bank Group Integrity Vice Presidency. The company qualifies for automatic cross-debarment by other MDBs.

 

在上述4项制裁的和解协议中,有3项协议因为中国企业的配合和自愿采取补救措施而缩短了制裁时间。当企业涉嫌违反世行规定时,充分配合和自愿补救永远是被推荐的明智之举。如下文所述,企业配合世行调查能够显著地缩短制裁期限。2018年,许多外国企业被世行处以超过10年的禁令。由于世行和其他多边金融机构在全球范围内每年进行数十亿美金的基础设施建设投资,违规的中国企业越早回归参与到这些项目中就越有利。

 

Three of the settlement agreements include reduced debarment periods for the Chinese companies due to their cooperation with the World Bank and for undertaking voluntary remedial actions. Cooperation with authorities and voluntary remedial action is always recommended when compliance lapses come to light. As discussed below, cooperation can result in significantly shorter debarment periods. Some non-Chinese firms received World Bank debarments in excess of 10 years in 2018. As the World Bank and other MDBs hand out billions of dollars in contracts each year for projects across much of the world, the sooner Chinese companies can get back to participating in these projects, the better.

 

在上述4项和解协议中,有3项被制裁企业承诺了建立合规体系或者对现有合规体系进行改进。该项措施对中国企业大有裨益——它们不仅可以更好地符合中国、项目所在国甚至国际通行的法律与监管义务,更有机会进一步提升其经营成效。有效的合规体系也无数次的被证明对于提升企业业务成果大有帮助。中国在合规体系建设方面最新的法律制度(如《中央企业合规管理指引(试行)》《企业境外经营合规管理指引》)和不断增长的经济总量都在全国范围内掀起了大型企业优化合规体系的热潮,相关内容请参见大家近期关于全面合规体系建设的两篇拙文:

 

Three of the settlement agreements also included a conditional requirement to establish an integrity compliance system or enhance an existing one. This should actually be beneficial for the Chinese companies - not only will they be better positioned to meet their legal and regulatory obligations, whether domestic, foreign, or international, but they will also have the opportunity to improve their business performance. It’s been shown time and time again that strong compliance systems contribute to improved business outcomes. The improved economic outcomes combined with new Chinese laws on compliance systems has contributed to a China-wide trend for large enterprises to establish or improve their compliance system. If you’re looking for a place to start, please check out two of our recent articles on establishing compliance systems:

 

1.《如何全面构建符合中央企业特色的合规体系?》

Developing comprehensive domestic compliance systems in China.

 

2.《企业如何构建符合《世界银行诚信合规指南》的全面合规体系?》

Tailoring a compliance system for the specific requirements of the World Bank.

 

大家将在下文概述世界银行的制裁程序,以期为正在面临或未来可能面临世行制裁的企业提供参考。

 

For those looking to find out what they can except if their company is under investigation by the World Bank or will soon be under investigation, we have included an overview of the World Bank’s sanction process below.

 

 
 

世界银行制裁程序概览

Overview of the World Bank’s Sanction Process

 
 

 

世界银行的制裁程序旨在履行其协议条款项下规定的受信义务,以确保世行受托管理的资金用于指定用途。世行主要通过以下方式实现这一目的:(1)制裁,即将违规的企业或个人排除出世行融资的项目之外;(2)阻却,即通过反向激励企业在未来从事被制裁行为,减少世界银行资金未来的风险。这些遏制手段是违规行为需要承担的代价,包括附条件解除的制裁、不予制裁,赔偿,或其他补救措施。

 

The World Bank’s sanction regime exists to uphold the World Bank’s fiduciary duty under its Article of Agreement to ensure that the funds entrusted to it are used for the purposes intended. The World Bank primarily accomplishes this through (1) debarment, which excludes offending companies and individuals ( “respondents”) from World Bank projects funds and (2) deterrence, which reduces future risk to the World Bank’s funds by “disincentivizing” companies from engaging in sanctionable practices in the future. These disincentives are the price for misconduct, including meeting the conditions of release from debarment or non-debarment, restitution, or other remedies.

 

 
 

应予制裁的行为

Sanctionable Practices

 
 

 

世界银行列明了五类应予制裁的行为:腐败、欺诈、胁迫、共谋、妨碍行为。欺诈行为是导致调查的最常见的原因,上述四家中国企业也都是因此被制裁的。

 

The World Bank categorizes five sanctionable practices: corruption, fraud, coercion, collusion, and obstruction. Fraudulent practice is the most common allegation that leads to investigations and is the cause of all four of the aforementioned Chinese companies’ debarment.

 

应制裁行为

Sanctionable Practice

行为描述

Description

腐败行为

Corrupt Practice

直接或间接地提供、给予、接受或要求任何有价值物品,从而不正当地影响另一方的行为。

Offering, giving, receiving, or soliciting, directly or indirectly, of anything of value to influence improperly the actions of another party.

欺诈行为

Fraudulent Practice

通过任何作为或不作为(包括错误表述),蓄意或因为疏忽大意误导(或企图误导)某一方,以谋取财务等利益或逃避义务。

Any act or omission, including a misrepresentation, that knowingly or recklessly misleads, or attempts to mislead, a party to obtain a financial or other benefit or to avoid an obligation.

胁迫行为

Coercive Practice

直接或间接地危害或损害(或威胁危害或损害)任何一方。

Impairing or harming, or threatening to impair or harm, directly or indirectly, any party.

共谋行为

Collusive Practice

双方或多方之间的共谋,旨在于实现一个不当目的,包括对第三方的行为产生不当影响

Arrangement between two or more parties designed to achieve an improper purpose, including influencing improperly the actions of another party.

阻碍行为

Obstructive Practice

  1. 故意破坏、伪造、改变或隐瞒调查所需的证据材料或向调查官提供虚假材料,以求实质性妨碍世行对腐败、欺诈、胁迫或串通等被指控行为进行调查,和/或威胁、骚扰或胁迫任何一方使其不得透露与调查相关的所知信息或组织继续调查,或

    Deliberately destroying, falsifying, altering, or concealing evidence material to an investigation or making false statements to investigators in order to materially impede a World Bank investigation into allegations of a corrupt, fraudulent, coercive or collusive practice; and/or threatening, harassing or intimidating any party to prevent it from disclosing its knowledge of matters relevant to an investigation or from pursuing the investigation, or

  2. 行为旨在实质性阻碍世行行使其审计或获取信息的合同权利。

    Acts intended to materially impede the exercise of the World Bank’s contractual rights of audit or access to information.

 

 
 

制裁的类别

Types of Sanctions

 
 

 

世界银行有着广泛的制裁手段,能够很好地保护其资产以履行其受信义务。制裁手段包括制裁、附条件解除的制裁、附条件的不予制裁、谴责信、永久制裁。

 

The World Bank has a wide range of sanctions available to fulfil its fiduciary duty to protect its funds. This includes Debarment; Debarment with Conditional Release; Conditional Non-Debarment; Letter of Reprimand; Permanent Debarment; and Restitution and other Remedies. We will discuss these in order.

 

当存在多种违规行为竞合的时候,各违规行为会被分别考量、累加制裁。要分别考量,必须有明显的违规行为事件,无论是在不同项目上的违规行为,还是在明显不同的时间内同一项目上的违规行为。

 

When there is cumulative misconduct, each separate incidence of misconduct may be considered separately and sanctioned on a cumulative basis. To be considered separately, there must be distinct incidents of misconduct, either misconduct on different projects or on the same project at significantly different times.

 

 

A

 

附条件解除的制裁

Debarment with Conditional Release

对于所有的违规行为,制裁基本是为期三年的禁止,并附条件解除。这一制裁通常是适用于下述的其他制裁没有其他考虑的情况。有条件解除是为了鼓励违规企业的恢复,并减轻对世行活动的进一步风险。被制裁对象只有在制裁期结束后,并证明他们已经满足解除条件,才会被解除制裁。即使满足解除条件,也不能提前解除制裁。但是,符合特定条件,如采取合作或补救措施,有利于缩短制裁期。如前所述,如果发现合规疏漏,强烈建议各企业与世行合作。

 

The base sanction for all misconduct is a three-year debarment with conditional release. This is normally applied if there is no other consideration for other sanctions described below. Conditional release is to encourage the offending company’s rehabilitation and mitigate further risk to World Bank activities. Respondents will only be released from debarment after the debarment period lapses and they demonstrate they have met the release conditions set for them. Respondents cannot be released from debarment earlier even if they meet the release conditions. However, compliance with specified conditions, such as cooperation or remedial measures, may result in a reduction in the debarment period. As we mentioned before, it is highly recommended that companies cooperate with World Bank authorities if compliance lapses are found for.

 

对于制裁期超过10年的企业有一个例外情况——如果符合解除条件,他们可以在10年后申请减少制裁期限。

 

An exception exists for companies with a defined debarment period of over 10 years- they may petition for a reduction of the debarment period after 10 years if they meet the release conditions.

 

施加的条件可能包括: 

Conditions imposed may include:

 

  1. 实施或改进诚信合规计划;以及 

    Implementation or improvement of an integrity compliance program; and            

  2. 采取补救措施来解决违规行为,包括纪律处分或辞退相关负责人。

    Remedial measures to address the misconduct for which the respondent was sanctioned, including disciplinary action or termination of those responsible for the misconduct.

     

 

B

 

制裁

Debarment

 

如果没有合理的目的,世行有时会对不符合条件的调查对象施加制裁。这种情况可能发生在受制裁的企业具有健全的企业合规实践,违规行为涉及已被辞退的一名或多名员工的单独行为,并且制裁期限相对较短,通常为一年或更短。

 

Sometimes the World Bank will debar respondents with no conditions if there is no reasonable purpose served by imposing conditions. This may occur if a sanctioned firm has a robust corporate compliance practice, the misconduct involved isolated acts of an employee or employees who have already been terminated, and the proposed debarment is for a relatively short period of time, usually one year or less.

 

 

C

 

附条件不予制裁 

Conditional 

Non-Debarment

 

一般来说,附条件不予制裁适用于两种情况下的企业。第一种情况为企业不直接参与作为调查对象的关联企业的不当行为,但该企业仍对其关联企业的行为承担部分责任。例如,母企业缺乏对子企业的系统监督。第二种情况是,调查对象证明其已采取了“全面的纠正措施”,并且有此类其他的减轻情节(如下文所列)证明不该受制裁。

 

Generally, conditional non-debarment is applied to companies in two circumstances. The first circumstance involves a company that is not directly involved in the misconduct of an affiliate company that is a respondent, but the company still bears some responsibility for the respondents actions. An example would be a parent company’s systematic lack of oversight of a subsidiary. The second circumstance is when a respondent has demonstrated that it has taken “comprehensive corrective measures” and that such other mitigating factors (listed below) justify non-debarment.

 

附条件不予制裁所要求的条件与附条件解除的制裁下规定的条件相似。如果被制裁方未能在规定的时间内证明符合条件,则不予制裁期自动转为制裁期。

 

The conditions imposed will likely be similar to those imposed under debarment with conditional release. In the event that the sanctioned party fails to demonstrate compliance with the conditions within the established time periods, the non-debarment period automatically becomes a debarment period.

 

 

D

 

谴责信

Letter of Reprimand

 

谴责信最常被用来制裁因监督不足而只犯个别违规事件的关联方。

 

A Letter of Reprimand is most often be used to sanction an affiliate of a respondent that was only guilty of an isolated incident due to a lack of oversight.

 

 

E

 

永久制裁

Permanent Debarment

 

永久制裁是一种很少规定的制裁,在“没有合理理由”认为调查对象可以通过合规或其他条件得以恢复的情况下使用。这通常适用于自然人、自然人控股的企业和空壳企业。 

 

Permanent debarment is a rarely prescribed sanction that is used when there is “no reasonable grounds” for thinking that a respondent can be rehabilitated through compliance or other conditions. This is most commonly applied to natural persons, closely held companies by natural persons, and shell companies.

 

 

F

 

赔偿与其他救济

Restitution and other Remedies

 

在特殊情况下,包括欺诈需要向客户国家或项目归还大量资金时,可以使用赔偿金以及财务等其他补救措施。

 

Restitution, as well as financial and other remedies, can be used in exceptional cases, including when there is fraud that requires a significant amount of money to be restored to the client country or project

 

 
 

减轻或加重情节

Mitigating and Aggravating Factors

 
 

 

企业在应对世行调查或即将面临世行调查时,最重要的事情之一就是尽量减少可能加重处罚的情形并采取增加减轻处罚的措施。高效且适当的措施有很大可能减少制裁期限。下表列明世行决定对被调查对象进行制裁时,可能考虑到的加重或减轻情节。

 

One of the most important things a company that finds itself under a World Bank investigation or suspects that it will soon be under investigation, is to consider taking actions that will reduce aggravating factors and increase mitigating factors. Quick and appropriate action can potentially shave years off a debarment period. The tables below list the mitigating and aggravating factors the World Bank considers when deciding on the appropriate sanction for a respondent.

 

加重情节 Aggravating Factors

加重幅度

Increase

加重情节

Aggravating Factor

1-5年

1 to 5 

years

A. 违规行为的严重性

Severity of the Misconduct

 

  1. 违规行为反复出现

    Repeated Pattern of Conduct.

  2. 从事禁止行为的手段老练、复杂,比如精心策划某项不当行为,运用多种手段使不当行为隐藏掩盖极深,参与人数或组织机构众多,持续时间很长,或者涉及多个司法管辖区域等

    Sophisticated means: This   includes the complexity of the misconduct, such as degree of planning and the   level of concealment; the number and type of people or organizations involved;   whether the scheme was developed or lasted over a long period of time;   if more than one jurisdiction was involved.

  3. 在违规行为中起核心作用,比如是组织者、策划方或牵头方;

    Central role in misconduct:   Organizer, leader, planner, or prime mover in a group   of 2 or more.

  4. 管理层在违规行为中起作用,参与、纵容或故意忽视违规行为;

    Management’s role in misconduct:   If an individual within high-level personnel of the organization participated   in, condoned, or was willfully   ignorant of the misconduct.

  5. 调查对象与政府官员或世行工作人员合谋从事违规行为

    Involvement of public official or   World Bank staff: If the respondent conspired with or involved a public   official or World Bank staff in the misconduct.

1-5年

1 to 5 years

B. 违规行为的危害

Harm   Caused by the Misconduct

 

  1. 对社会公共安全与健康造成损害,包括可预见的身体伤害或死亡,以及使公共健康或安全处于危险之中

    Harm to   public safety/welfare:   When misconduct either resulted in or involves a foreseeable risk of death or   bodily injury; if public health or safety is endangered by the misconduct.

  2. 对项目的危害程度高,比如履约能力低下,商品或服务的质量或数量不符合合同条款要求,以及工期延误等。

    Degree of   Harm to Project: Poor   contract implementation; delay caused.

1-3年

1-3 years

C. 干扰调查

Interference with Investigation

 

  1. 在调查过程中从事干扰行为,具体包括蓄意销毁、篡改、隐瞒证据材料,为了对调查造成实质性的阻碍对调查人员提供虚假陈述,威胁、骚扰或恐吓协助调查的其他人员等;

    Interference with investigative process: Deliberately destroying, falsifying, altering, or concealing evidence material to the investigation or making false statements to investigators in order to materially impede a World Bank investigation and/or threatening, harassing or intimidating any party to prevent it from disclosing its knowledge of matters relevant to the investigation or from pursuing the investigation; or acts intended to materially impede the exercise of the World Bank’s contractual rights of audit or access to information.

  2. 胁迫证人或给证人付费,比如调查对象威胁对证人的财产、工作、名誉进行伤害或已经造成伤害,以及调查对象为了阻止证人与世行合作,作为交换对其进行支付等。

    Intimidation/payment of a witness: If a respondent caused or threatened causing injury to a witness, his or her assets, employment, reputation, family or significant others, or if the respondent offered the witness a payment in exchange for noncooperation with the Bank.

10年

10 years

D. 被判定违规的过往历史

Past History of Adjudicated Misconduct

 

此前受过制裁或其他处罚,包括被其他多边开发银行处罚。过往历史必须包括与被制裁方本次将要被制裁的行为不同的违规行为。

Prior debarment or other penalty, including debarments by another MDB. Prior history must involve misconduct other than the misconduct for which the respondent is being debarred.

 

减轻情节

Mitigating Factors

减轻幅度

Decrease

减轻情节

Mitigating Factor

可达25%

Up to 25%

A. 违规行为中起次要作用

Minor Role in Misconduct

行为人起次要作用或是边缘性参与者,企业高层决策机构无人参与、纵容或故意无视不当行为的发生。

Minor, minimal, or peripheral participant; if no individual with decision-making authority participated in, condoned, or was willfully ignorant of the misconduct.

可达50%,

在特殊情况下更高

Up to 50%,

higher in

exceptional

circumstances.

B.主动修正不当行为

Voluntary Corrective Action Taken

  1. 暂停不当行为:采取行为的时间或能体现出真诚悔过和改革意图的程度,或是为减轻判决的严重程度而采取有计划的步骤。

    Cessation of misconduct: The timing of the action may indicate the degree to which it reflects genuine remorse and intention to reform, or a calculated step to reduce the severity of the sentence.

  2. 对涉事人员采取内部行动。企业经理层采取一切适当的手段来处理不当行为,包括对相关员工、代理或代表行为采取适当的惩戒和/或补救措施;

    Internal action against responsible individual: Management takes all appropriate measures to address the misconduct engaged in on its behalf, including taking appropriate disciplinary and/or remedial steps with respect to the relevant employee, agent, or representative. The timing of the action may indicate the degree to which it reflects genuine remorse and intention to reform, or a calculated step to reduce the severity of the sentence.

  3. 实施有效的合规计划。 建立、加强以及实施企业廉政合规计划(下文还将阐释),实施的时间、范围以及成果质量都非常重要;

    Effective compliance program: Establishment or improvement, and implementation of a corporate compliance program. The timing, scope and quality of the action may indicate the degree to which it reflects genuine remorse and intention to reform, or a calculated step to reduce the severity of the sentence.

  4. 进行赔偿或经济补偿。调查对象自愿弥补合同实行中的任何缺陷,或退还因不当行为获取的利益。需要专门说明的是,第二类全部四种行为采取的时间点对判定减轻处罚的幅度都非常重要,因为表明了行为人悔意的真诚度、意图悔改的决心,以及为了降低不当行为的损害结果所专门采取的补救措施力度。

    Restitution or financial remedy: When the respondent voluntarily addresses any inadequacies in contract implementation or returns funds obtained through the misconduct. The timing of the action may be indicative of the extent to which it reflects genuine remorse and intention to reform, or a calculated step to reduce the severity of the sentence.

可达33%,在特殊情况下更高

Up to 33%,

higher in

exceptional

circumstances

C. 配合调查

Cooperation with Investigation

 

  1. 提供支撑与合作。调查对象在调查中提供了实质性的协助与支撑,包括自愿披露的行为,提供信息与证言的真实性、完整性与可靠性,提供支撑的性质与程度,以及协助的及时性等;

    Assistance and/or ongoing cooperation: The respondent provided substantial assistance in an investigation, including voluntary disclosure, the truthfulness, completeness, reliability of any information or testimony, the nature and extent of the assistance, and the timeliness of assistance.

  2. 开展内部调查。调查对象对违规行为采取自行的、行之有效的内部调查,并将调查结果及其相关事实证据与廉政局分享,并且鼓励调查对象扩大内部调查行为的范围并将结果与廉政局分享;

    Internal investigation: Respondent conducted its own, effective internal investigation of the misconduct and relevant facts relating to the misconduct for which it is to be sanctioned and shared results with the investigators. Consideration will also be given to a respondent conducting its own internal investigation that extends beyond the conduct and facts related to the sanctioned misconduct and sharing the results with the investigators.

  3. 认罪或承担责任。在调查阶段尽早认罪或承担全部责任比调查进行很久再承认,减轻幅度会更大;

    Admission/acceptance of guilt/responsibility: Admissions or full and affirmative acceptance of guilt or responsibility for misconduct earlier in the investigation shall be given more weight than later in the investigation or subsequent proceeding.

  4. 进行自我约束。在调查结束之前自愿主动放弃参与世界银行融资项目也会被认为是一种配合行为。

    Voluntary Restraint: Voluntary restraint from bidding on Bank financed tenders pending the outcome of an investigation may also be considered as a form of assistance and/or cooperation.

 

 
 

结  语 Conclusion

显而易见,中国企业正处于世界银行监管部门的严格监管中。如果贵企业正在或将要接受世行的调查,大家强烈建议开展全面的内部调查,最好是与外部律师合作,以确定所有指控的真实性;如果指控属实,则寻求最有利的结果。

 

It’s clear that Chinese firms are finding themselves under the strict watch of World Bank regulators. If your company finds itself or expects to find itself involved in a World Bank investigation, we highly recommend that you launch a comprehensive internal investigation, preferably with outside counsel, to determine the validity of any allegations and, if they are true, determine the most favorable outcome.

 

企业可以把合规疏漏作为真正建立或优化合规体系的机会并从中获益。这不仅将促进企业更快地重新获得世界银行和其他多边发展银行项目的准入资格,而且将有利于企业具备更好的条件来缓解与世行处罚引发的公共关系问题,满足大型跨国企业主办的其他国内、国外和国际法律法规的合规性要求,从而有助于跨国企业获得一个获益更多且低风险的未来。

 

Companies that use their compliance lapse as an opportunity to genuinely establish or enhance their compliance systems can reap a number of benefits. Not only will they only regain access to World Bank and other MDB projects quicker but will also be better equipped to mitigate the public relations issues related to the World Bank’s announcements, meet the compliance requirements for the host of other domestic, foreign, and international laws and regulations that large multinational companies find themselves subject to, and set their company on a more profitable and a reduced risk future.

 

长按二维码识别阅读

《世界银行诚信合规指南》

 

 

 

特别声明:

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