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2019年6月12日，世界銀行宣布對中國某公司進(jìn)行制裁——15個月內(nèi)禁止該公司參與世行融資支持的項(xiàng)目，到期并滿足條件后才可以解除制裁。制裁的原因是其在利比里亞電力項(xiàng)目的投標(biāo)中存在“欺詐行為”。該項(xiàng)目總投資6億美元，建設(shè)內(nèi)容為改善利比里亞電力供應(yīng)并提升利比里亞電力部門的服務(wù)能力。被制裁公司被認(rèn)定偽造兩份信函，聲稱某設(shè)備生產(chǎn)商已經(jīng)授權(quán)該公司提供、安裝其設(shè)備。被制裁公司與世行簽署了和解協(xié)議，承諾會按照《世界銀行誠信合規(guī)指南》建立誠信合規(guī)體系，并將此作為解禁的一項(xiàng)條件。

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.

由于對該公司的制裁期限超過了一年，該制裁事項(xiàng)自動觸發(fā)了世界銀行、亞洲開發(fā)銀行、歐洲復(fù)興開發(fā)銀行、美洲開發(fā)銀行、非洲開發(fā)銀行等其他多邊開發(fā)性金融機(jī)構(gòu)的聯(lián)合制裁——該項(xiàng)制裁機(jī)制是上述機(jī)構(gòu)在《共同執(zhí)行制裁決定協(xié)議》中確立的。這意味著，該公司也不能參與上述任何一家機(jī)構(gòu)提供融資支持的項(xiàng)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.

世界銀行近期頻繁制裁中國企業(yè)

The World Bank Has Been Busy Debarring Chinese Companies

本案是世界銀行對中國企業(yè)進(jìn)行制裁的最新案件。除該電氣設(shè)備公司以外，近期還有其他三家中國公司被世界銀行制裁而與世行簽署和解協(xié)議：

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，世行宣布對某中國企業(yè)、該企業(yè)的兩家子公司及其下屬公司進(jìn)行制裁，制裁原因是其在某格魯吉亞建筑工程項(xiàng)目的投標(biāo)過程中存在“欺詐行為”，具體包括對子公司的相關(guān)經(jīng)驗(yàn)、人員配備、設(shè)備情況進(jìn)行虛假陳述。由于制裁期限不滿一年，該公司未觸發(fā)其他多邊開發(fā)性金融機(jī)構(gòu)的聯(lián)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. 該公司及其子公司還可能面臨24個月的附條件不予制裁。在不予制裁期間，該公司及其子公司可以參與世行項(xiàng)目。但是，如果其未能遵守和解協(xié)議，包括未能在規(guī)定限期內(nèi)完善其合規(guī)體系，可能將會面臨24個月的實(shí)際制裁。 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，世行宣布對中國某公司進(jìn)行為期20個月的制裁，制裁理由是其在贊比亞的某輸變電項(xiàng)目中存在欺詐行為，包括提交虛假文件謊報該公司的過往業(yè)績。該制裁同樣將建立合規(guī)體系作為解禁的一項(xiàng)條件。由于制裁期限超過了12個月，該制裁同時觸發(fā)了其他多邊開發(fā)性金融機(jī)構(gòu)的聯(lián)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，世行宣布對中國某公司進(jìn)行15個月的制裁，制裁理由是其在西非的跨境輸變電項(xiàng)目的投標(biāo)中存在欺詐行為，具體表現(xiàn)為虛構(gòu)過往業(yè)績以滿足項(xiàng)目要求。制裁要求該公司在制裁期間繼續(xù)全面配合世行廉政局。該制裁同時觸發(fā)了其他多邊開發(fā)性金融機(jī)構(gòu)的聯(lián)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項(xiàng)制裁的和解協(xié)議中，有3項(xiàng)協(xié)議因?yàn)橹袊镜呐浜虾妥栽覆扇⊙a(bǔ)救措施而縮短了制裁時間。當(dāng)公司涉嫌違反世行規(guī)定時，充分配合和自愿補(bǔ)救永遠(yuǎn)是被推薦的明智之舉。如下文所述，企業(yè)配合世行調(diào)查能夠顯著地縮短制裁期限。2018年，許多外國企業(yè)被世行處以超過10年的禁令。由于世行和其他多邊金融機(jī)構(gòu)在全球范圍內(nèi)每年進(jìn)行數(shù)十億美元的基礎(chǔ)設(shè)施建設(shè)投資，違規(guī)的中國企業(yè)越早回歸參與到這些項(xiàng)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項(xiàng)和解協(xié)議中，有3項(xiàng)被制裁企業(yè)承諾了建立合規(guī)體系或者對現(xiàn)有合規(guī)體系進(jìn)行改進(jìn)。該項(xiàng)措施對中國企業(yè)大有裨益——它們不僅可以更好地符合中國、項(xiàng)目所在國甚至國際通行的法律與監(jiān)管義務(wù)，更有機(jī)會進(jìn)一步提升其經(jīng)營成效。有效的合規(guī)體系也無數(shù)次的被證明對于提升企業(yè)業(yè)務(wù)成果大有幫助。中國在合規(guī)體系建設(shè)方面最新的法律制度（如《中央企業(yè)合規(guī)管理指引（試行）》《企業(yè)境外經(jīng)營合規(guī)管理指引》）和不斷增長的經(jīng)濟(jì)總量都在全國范圍內(nèi)掀起了大型企業(yè)優(yōu)化合規(guī)體系的熱潮，相關(guān)內(nèi)容請參見我們近期關(guān)于全面合規(guī)體系建設(shè)的兩篇拙文：

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:

我們將在下文概述世界銀行的制裁程序，以期為正在面臨或未來可能面臨世行制裁的企業(yè)提供參考。

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.

世界銀行制裁程序概覽

Overview of the World Bank’s Sanction Process

世界銀行的制裁程序旨在履行其協(xié)議條款項(xiàng)下規(guī)定的受信義務(wù)，以確保世行受托管理的資金用于指定用途。世行主要通過以下方式實(shí)現(xiàn)這一目的：（1）制裁，即將違規(guī)的公司或個人排除出世行融資的項(xiàng)目之外；（2）阻卻，即通過反向激勵企業(yè)在未來從事被制裁行為，減少世界銀行資金未來的風(fēng)險。這些遏制手段是違規(guī)行為需要承擔(dān)的代價，包括附條件解除的制裁、不予制裁，賠償，或其他補(bǔ)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.

應(yīng)予制裁的行為

Sanctionable Practices

世界銀行列明了五類應(yīng)予制裁的行為：腐敗、欺詐、脅迫、共謀、妨礙行為。欺詐行為是導(dǎo)致調(diào)查的最常見的原因，上述四家中國企業(yè)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.

制裁的類別

Types of Sanctions

世界銀行有著廣泛的制裁手段，能夠很好地保護(hù)其資產(chǎn)以履行其受信義務(wù)。制裁手段包括制裁、附條件解除的制裁、附條件的不予制裁、譴責(zé)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.

當(dāng)存在多種違規(guī)行為競合的時候，各違規(guī)行為會被分別考量、累加制裁。要分別考量，必須有明顯的違規(guī)行為事件，無論是在不同項(xiàng)目上的違規(guī)行為，還是在明顯不同的時間內(nèi)同一項(xiàng)目上的違規(guī)行為。

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、附條件解除的制裁

Debarment with Conditional Release

對于所有的違規(guī)行為，制裁基本是為期三年的禁止，并附條件解除。這一制裁通常是適用于下述的其他制裁沒有其他考慮的情況。有條件解除是為了鼓勵違規(guī)公司的恢復(fù)，并減輕對世行活動的進(jìn)一步風(fēng)險。被制裁對象只有在制裁期結(jié)束后，并證明他們已經(jīng)滿足解除條件，才會被解除制裁。即使?jié)M足解除條件，也不能提前解除制裁。但是，符合特定條件，如采取合作或補(bǔ)救措施，有利于縮短制裁期。如前所述，如果發(fā)現(xiàn)合規(guī)疏漏，強(qiáng)烈建議各企業(yè)與世行合作。

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.

對于制裁期超過10年的公司有一個例外情況——如果符合解除條件，他們可以在10年后申請減少制裁期限。

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.

施加的條件可能包括：

Conditions imposed may include:

1. 實(shí)施或改進(jìn)誠信合規(guī)計(jì)劃；以及 Implementation or improvement of an integrity compliance program; and

2. 采取補(bǔ)救措施來解決違規(guī)行為，包括紀(jì)律處分或解雇相關(guān)負(fù)責(zé)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

如果沒有合理的目的，世行有時會對不符合條件的調(diào)查對象施加制裁。這種情況可能發(fā)生在受制裁的公司具有健全的公司合規(guī)實(shí)踐，違規(guī)行為涉及已被解雇的一名或多名員工的單獨(dú)行為，并且制裁期限相對較短，通常為一年或更短。

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、附條件不予制裁

Conditional

Non-Debarment

一般來說，附條件不予制裁適用于兩種情況下的公司。第一種情況為公司不直接參與作為調(diào)查對象的關(guān)聯(lián)公司的不當(dāng)行為，但該公司仍對其關(guān)聯(lián)公司的行為承擔(dān)部分責(zé)任。例如，母公司缺乏對子公司的系統(tǒng)監(jiān)督。第二種情況是，調(diào)查對象證明其已采取了“全面的糾正措施”，并且有此類其他的減輕情節(jié)（如下文所列）證明不該受制裁。

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.

附條件不予制裁所要求的條件與附條件解除的制裁下規(guī)定的條件相似。如果被制裁方未能在規(guī)定的時間內(nèi)證明符合條件，則不予制裁期自動轉(zhuǎn)為制裁期。

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、譴責(zé)信

Letter of Reprimand

譴責(zé)信最常被用來制裁因監(jiān)督不足而只犯個別違規(guī)事件的關(guān)聯(lián)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

永久制裁是一種很少規(guī)定的制裁，在“沒有合理理由”認(rèn)為調(diào)查對象可以通過合規(guī)或其他條件得以恢復(fù)的情況下使用。這通常適用于自然人、自然人控股的公司和空殼公司。

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、賠償與其他救濟(jì)

Restitution and other Remedies

在特殊情況下，包括欺詐需要向客戶國家或項(xiàng)目歸還大量資金時，可以使用賠償金以及財(cái)務(wù)等其他補(bǔ)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

減輕或加重情節(jié)

Mitigating and Aggravating Factors

企業(yè)在應(yīng)對世行調(diào)查或即將面臨世行調(diào)查時，最重要的事情之一就是盡量減少可能加重處罰的情形并采取增加減輕處罰的措施。高效且適當(dāng)?shù)拇胧┯泻艽罂赡軠p少制裁期限。下表列明世行決定對被調(diào)查對象進(jìn)行制裁時，可能考慮到的加重或減輕情節(jié)。

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.

結(jié) 語 Conclusion

顯而易見，中國企業(yè)正處于世界銀行監(jiān)管部門的嚴(yán)格監(jiān)管中。如果貴公司正在或?qū)⒁邮苁佬械恼{(diào)查，我們強(qiáng)烈建議開展全面的內(nèi)部調(diào)查，最好是與外部律師合作，以確定所有指控的真實(shí)性；如果指控屬實(shí)，則尋求最有利的結(jié)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.

企業(yè)可以把合規(guī)疏漏作為真正建立或優(yōu)化合規(guī)體系的機(jī)會并從中獲益。這不僅將促進(jìn)企業(yè)更快地重新獲得世界銀行和其他多邊發(fā)展銀行項(xiàng)目的準(zhǔn)入資格，而且將有利于企業(yè)具備更好的條件來緩解與世行處罰引發(fā)的公共關(guān)系問題，滿足大型跨國公司主辦的其他國內(nèi)、國外和國際法律法規(guī)的合規(guī)性要求，從而有助于跨國企業(yè)獲得一個獲益更多且低風(fēng)險的未來。

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.

《世界銀行誠信合規(guī)指南》

責(zé)編：劉相文

作者簡介

劉相文 律師

北京辦公室 合伙人

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