WORLD BANK SANCTIONS PROCEDURES
WORLD BANK SANCTIONS PROCEDURESAs adopted by the World Bank as of April 15, 2012ARTICLE IINTRODUCTORY PROVISIONSSection 1.01. Legal Basis and Purpose of these Procedures.(a)Fiduciary Duty. It is the duty of the World Bank, 1under its Articles of Agreement, to make arrangements toensure that funds provided by the Bank are used only fortheir intended purposes. In furtherance of this duty, theWorld Bank has established a regime for the sanctioning offirms and individuals that are found to have engaged inspecified forms of fraud and corruption in connection Sanctionable Practices”). This regime protects Bank fundsand serves as a deterrent upon those who might otherwiseengage in the misuse of the proceeds of Bank financing.(b)Approval by Executive Directors. The ExecutiveDirectors of the Bank approved, on July 9, 2004 and August1, 2006, certain recommendations pertaining to the reform ofthe World Bank sanctions regime, including the adoption ofa two-tier sanctions process conducted by an EvaluationOfficer and the World Bank Group Sanctions Board. 2 TheExecutive Directors of the Bank approved the mutualenforcement of debarment decisions among multilateraldevelopment banks on March 19, 2010. The ExecutiveDirectors of the Bank further approved, as of October 28,2010, the expansion of the sanctions regime to include casesinvolving fraud and corruption in connection with theBank’s corporate procurement. The aforementioned reformsare embodied in these Procedures.The terms “World Bank” or “Bank”, as used in these Procedures, include theInternational Bank for Reconstruction and Development (IBRD) and theInternational Development Association (IDA).1The Executive Directors also endorsed, on August 1, 2006, the establishment ofa Voluntary Disclosure Program (VDP). For information regarding the VDP,please go to www.worldbank.org/vdp.21
(c)Cases Subject to these Procedures. These Proceduresset out the procedures to be followed in cases involvingSanctionable Practices:(i)in connection with projects and programsfinanced by the Bank and governed by the Bank’sProcurement Guidelines, Consultant Guidelines orAnti-Corruption Guidelines (such projects andprograms being hereinafter referred to, collectively, as“Bank-Financed Projects”); 3(ii)on the basis of which the Director, GeneralService Department (GSD) has determined, inaccordance with the World Bank Vendor EligibilityPolicy, that the Respondent is non-responsible;(iii) arising from the violation of a Material Term ofthe Terms & Conditions of the Voluntary DisclosureProgram (VDP); and(iv) arising from violations of Section 13.06 of theseProcedures.Section 1.02. Definitions.(a)Defined Terms.As used in these Procedures, the following terms have thefollowing meanings:“Affiliate” means any legal or natural person thatcontrols, is controlled by, or is under common controlwith, the Respondent, as determined by the Bank.“Anti-Corruption Guidelines” means (i) the“Guidelines on Preventing and Combating Fraud andCorruption in Projects Financed by IBRD Loans andIDA Credits and Grants” dated as of October 15, 2006,as the same may be amended, supplemented orotherwise revised from time to time, (ii) the“Guidelines on Preventing and Combating Fraud andCorruption in Program-for-Results Financing,” datedThe term “Bank-Financed Projects” includes activities financed through trustfunds administered by the Bank to the extent governed by said Guidelines.32
February 1, 2012, or (iii) any similar instrument whichmay replace said Guidelines under which a case maybe brought in accordance with these Procedures.“Consultant Guidelines” means the January 1997,May 2002 or May 2004 edition of the documententitled “Guidelines: Selection and Employment ofConsultants by World Bank Borrowers”, or thedocument entitled “Guidelines: Selection andEmployment of Consultants under IBRD Loans andIDA Credits and Grants dated January 2011, as thecase may be, as amended, supplemented or otherwiserevised from time to time, or any later edition orsimilar instrument which may replace said Guidelinesunder which a case may be brought in accordancewith these Procedures.“Days” means calendar days, unless stated otherwise.“Evaluation Officer” means the Evaluation andSuspension Officer appointed by the President of theBank for cases governed by these Procedures. Theterms “IFC Evaluation Officer”, “MIGA EvaluationOfficer” and “Bank Guarantees Evaluation Officer”mean the Evaluation and Suspension Officers forcases governed by the IFC, MIGA or Bank GuaranteeSanctions Procedures, respectively.“INT” means the Integrity Vice Presidency of theWorld Bank Group; and the “Integrity VicePresident” means the head thereof.“Notice” means Notice of Sanctions Proceedings orNotice of Temporary Suspension, as the case may be.“Notice of Sanctions Proceedings” means thedocument containing INT’s accusations of one ormore Sanctionable Practices issued by the EvaluationOfficer to a named firm or individual together withthe sanction recommended by the Evaluation Officerin accordance with Section 4.01.3
“Notice of Temporary Suspension” means thedocument containing INT’s accusations of one ormore Sanctionable Practices issued by the EvaluationOfficer to a named firm or individual in accordancewith Section 2.01.“Procurement Guidelines” means the January 1995 orMay 2004 edition of the document entitled“Guidelines: Procurement under IBRD Loans andIDA Credits”, or the document entitled “Guidelines:Procurement of Goods, Works and Non-ConsultingServices under IBRD Loans and IDA Credits andGrants” dated January 2011, as the case may be, asamended, supplemented or revised from time to time,or any later edition or similar instrument which mayreplace said Guidelines under which a case may bebrought in accordance with these Procedures.“Respondent” means an entity or individual allegedto have engaged in a Sanctionable Practice and whohas been designated as such in a Notice, or in asettlement agreement. In cases involving more thanone such entity or individual, the term “Respondent”refers, individually and collectively, to all suchentities and individuals.“Sanctionable Practice” means (i) with respect to anycase under Section 1.01(c)(i), a corrupt, fraudulent,coercive, collusive or obstructive practice, as suchterms are defined in the Anti-Corruption Guidelines,Procurement Guidelines or Consultant Guidelines, asthe case may be, under which such case is beingbrought (see Annex A); (ii) with respect to any caseunder Section 1.01(c)(ii), a corrupt, fraudulent,coercive, collusive or obstructive practice, as definedin the World Bank Vendor Eligibility Policy inconnection with the Bank’s corporate procurement;(iii) with respect to any case under Section 1.01(c)(iii),a violation of a Material Term, as defined in the VDPTerms & Conditions; and (iv) with respect to any caseunder Section 1.01(c)(iv), a violation of Section 13.06of these Procedures.4
“Sanctions Board” means the World Bank GroupSanctions Board, and “Sanctions Board Chair” meansthe Chair of said Board. In respect of cases where theSanctions Board Chair has convened a panel pursuantto Articles VII or VIII of the Sanctions Board Statute,and unless the context otherwise requires, the term“Sanctions Board” means the Sanctions Board Panelso convened, and “Sanctions Board Chair” means theChair of said Panel.“Sufficient evidence” means evidence sufficient tosupport a reasonable belief, taking into considerationall relevant factors and circumstances, that it is morelikely than not that the Respondent has engaged in aSanctionable Practice.“Voluntary Disclosure Program” or “VDP” means theBank’s Voluntary Disclosure Program endorsed byExecutive Directors on August 1, 2006, as the samemay be modified from time to time, or any successorprogram.“World Bank” or “Bank” means the InternationalBank for Reconstruction and Development (IBRD)and the International Development Association(IDA). Whenever in these Procedures it is stipulatedthat an action or decision is to be taken by the Bank, itis understood that such action or decision shall betaken by the appropriate officer(s) of the Bank inaccordance with its policies and procedures.“World Bank Group” or “WBG” means, collectively,the International Bank for Reconstruction andDevelopment (IBRD), the International DevelopmentAssociation (IDA), the International FinanceCorporation (IFC) and the Multilateral InvestmentGuarantee Agency (MIGA). For avoidance of doubt,the term “World Bank Group” includes the guaranteeoperations of IBRD and IDA (Bank GuaranteeProjects), but does not include the InternationalCentre for the Settlement of Investment Disputes(ICSID).5
“World Bank Vendor Eligibility Policy” means thepolicy so denominated in Annex B of the World BankGroup Corporate Procurement Policy and ProceduresManual, dated February 2009, as amended,supplemented or otherwise revised from time to time,or any similar instrument which may replace suchpolicy, under which a case may be brought inaccordance with these Procedures.(b)Interpretation.(i)Use of Terms. Unless the context otherwiserequires, any term used in these Procedures in thesingular includes the plural, and the plural includesthe singular; pronouns of a particular gender includethe other gender.(ii)References and Headings. The headings ofarticles, sections and sub-sections of these Proceduresare for ease of reference only and do not constituteinterpretations of the text hereof. Unless otherwiseexpressly indicated, references in these Procedures toarticles, sections or sub-sections refer to articles,sections or sub-sections hereof.(iii) Questions as to Proper Interpretation. If anyquestion arises as to the proper interpretation of anyprovision of these Procedures or of the Procurement,Consultant or Anti-Corruption Guidelines, theEvaluation Officer or the Sanctions Board may consultwith the Bank Group General Counsel for advice.ARTICLE IITEMPORARY SUSPENSION PRIOR TO SANCTIONSPROCEEDINGSSection 2.01. on by INT. If, before INT concludes aninvestigation, the Integrity Vice President believes that thereis sufficient evidence to support a finding of a Sanctionable6
Practice against a Respondent and that it is highly likely thatthe investigation will be successfully concluded and aStatement of Accusations and Evidence will be presented tothe Evaluation Officer within a maximum period of oneyear, INT may present to the Evaluation Officer a Requestfor Temporary Suspension consisting of the elements cited inSection 3.01(b), mutatis mutandis. INT shall accompany anysuch Request for Temporary Suspension with a descriptionof the current progress of the ongoing investigation,including any evidence that remains to be gathered, togetherwith a good faith estimate of the time required to completeits investigation and present a Statement of Accusations andEvidence to the Evaluation Officer in accordance withSection 3.01, which may not exceed one year. INT shallfurther represent to the Evaluation Officer that theinvestigation is being pursued with due diligence anddispatch.(b)Contents of a Notice of Temporary Suspension. ANotice of Temporary Suspension shall contain the elementscited in Section 4.01(b)(ii) through (iv).(c)Issuance of the Notice of Temporary Suspension. Ifthe Evaluation Officer determines that:(i) there is sufficient evidence to support a findingthat the Respondent has engaged in a SanctionablePractice, and(ii) had the accusations been included in a Statementof Accusations and Evidence, the Evaluation Officerwould recommend, as an appropriate sanction forsuch Sanctionable Practice, debarment for a minimumperiod of no less than two years,then, the Evaluation Officer shall issue the Notice ofTemporary Suspension to the Respondent and notify thepersons specified in Section 10.02.4The Evaluation Officer’s issuance of a Notice of Temporary Suspension shall besubject to the statute of limitations set out in Section 4.01(d), with the term“Statement of Accusations and Evidence” in said section referring to the Requestfor Temporary Suspension.47
(d)Withholding of Certain Evidence. The EvaluationOfficer may, in his or her discretion and upon request byINT, withhold from the Respondent particular materialssubmitted in evidence upon a showing by INT that there is areasonable basis to conclude that (i) the disclosure of suchevidence would have a material adverse effect on theinvestigation, and (ii) the Respondent would retain theability to mount a meaningful response to the accusationsagainst it notwithstanding the withholding of such evidence.The Evaluation Officer shall inform INT of his or herdecision and allow INT an opportunity to request thewithdrawal of the Request for Temporary Suspension if theEvaluation Officer determines that such materials should notbe withheld.Section 2.02. Effect of Temporary Suspension.Upon issuance of the Notice of Temporary Suspension bythe Evaluation Officer, the Respondent5 shall be temporarilysuspended from eligibility, with the same effect as if it hadbeen debarred under Section 9.01(c) below. Except asspecified above, the provisions of Section 4.02(d) and (e)shall apply to temporary suspensions under this Article II.Section 2.03. Respondent’s Explanation in Opposition toTemporary Suspension.Within thirty (30) days after the date of delivery of theNotice of Temporary Suspension, the Respondent mayexplain in writing to the Evaluation Officer why it believesthat, notwithstanding the evidence set forth in the Notice ofTemporary Suspension, such Notice should be withdrawn(the “Preliminary Explanation”). Within thirty (30) daysafter receipt by the Evaluation Officer of the PreliminaryExplanation and upon consideration of the arguments andevidence presented therein, the Evaluation Officer maydecide to withdraw the Notice upon concluding that there ismanifest error or other clear basis for supporting a finding ofin
As adopted by the World Bank as of April 15, 2012 ARTICLE I INTRODUCTORY PROVISIONS Section 1.01. Legal Basis and Purpose of these Procedures. (a) Fiduciary Duty. It is the duty of the World Bank,1 under its Articles of Agreement, to make arrangements to ensure that funds provided by the Bank are used only for their intended purposes. In furtherance of this duty, the World Bank has established .
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and corruption in World Bank Group projects, which we know today as the Integrity Vice Presidency. Two decades later, the World Bank Group remains commit-ted to placing governance, anticorruption, and transparency front and center in our work. An important piece of our anticorruption efforts is the World Bank Group's sanctions system.
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