ࡱ> v N !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMVOPQRSTUnWXYZ[\]^_`abcdefghijklmwopqrstu}xyz{|~Root Entry FP}7L@SummaryInformation(DocumentSummaryInformation8WordDocument. Oh+'0  L X d p|NLuLƖVڋOTĉcWSXd _ Normal.dotmmachao14251057317@`U@ڤ7L@pa# >7Microsoft Office Word՜.+,D՜.+,L px The World Bank Group!u@ (\dlKSOProductBuildVer2052-11.1.0.86120Table4Data WpsCustomData "E "E OiOilZ%lZ%z2z2GIGIlxw\lxw\]7]]7]]Ii]Ii%k%kh^h`o(.H^H\`\)^\`\.^\`\.4^4\`\) ^ \`\.| ^| \`\. ^ \`\)^\`\.h^h` ho(X^X` Xo(.^0`0 o(..^0`0 o(...^` o(3.1.1 ^` o( ..... @ ^@ ``` @ o( ...... 0 ^0 ``` 0 o(....... ^` o(........h^h` ho(X^X` Xo(.^0`0 o(..^0`0 o(... ^` o( .... ^` o( ..... @ ^@ ``` @ o( ...... 0 ^0 ``` 0 o(....... ^` o(........h^h` ho(W^W` Wo(.^0`0 o(..^0`0 o(... ^` o( .... ^` o( ..... : ^: ``` : o( ...... ) ^) ``` ) o(....... ^` o(........h^h` h5o(.^` o(. ^ 0`0  o(..^0`0 o(...  ^ `  o( ....  ^ `  o( ..... ^``` o( ...... 8^8``` 8o(....... H^H` Ho(........ h^h` h5o(W^W` W5o(.^0`0 5o(..^0`0 5o(... ^` 5o( .... ^` 5o( ..... : ^: ``` : 5o( ...... ) ^) ``` ) 5o(....... ^` 5o PKSKS.@  2 2 118&|2'<'$"2Ln22>3|>4@~4y+$)h(jn'M1+d Summary of World Bank Group Integrity Compliance Guidelines NLuLƖVڋOTĉcWSXd As part of the World Bank Group s (WBG) continuing effort to improve its sanctions regime, the existing sanction of debarment with conditional release has become the default or  baseline WBG sanction for cases initiated under the WBG s revised Sanctions Procedures effective September 2010. 00NLuLƖVN N{yNL NvRN[UvQ6RSO|0\O:Nُy]\OvNR sLD&^dagNvSmDkNS9hnc(ul_T?eZQ0?eZQ[XTTP NcOPc>k N^lQ_b2@b gv?elPc>kd^QNTlO[v 0 Charitable Donations & Sponsorships: Take measures within the party s power to ensure that their charitable contributions are not used as a subterfuge for Misconduct. Unless secrecy or confidentiality is legally required, all charitable contributions and sponsorships should be publicly disclosed. HaUPc>kT^R(WlQSvCgRVQ ǑSceNnxOlQSvHaUPcR*g(u\O NS_L:NvncKbk0d^QNTlO[v &TR@b gvHaUPc>kT^RGW^lQ_b20 Facilitation Payments: The party should not make facilitation payments. }YY9lQS N^/eNNUO}YY90 4.7 Recordkeeping: Appropriate records must be maintained regarding all aspects covered by the Program, including when any payment is made for the matters or items listed in 4.3 through 4.6 above. U_OX[^[TĉRvT*NebۏLS_0WU_ Sb9hnc N,{4.3ag,{4.6ag@bRNybyvۏL/eNvNUO>ky0 Fraudulent, Collusive and Coercive Practices: Particular safeguards, practices and procedures should be adopted to detect and prevent not only corruption, but also fraudulent, collusive and coercive practices. :kȋ02NT:_L:N^ǑSyr[vOce0elT z^ SsT2P%NS:kȋ02NT:_L:N0 5. POLICIES RE:BUSINESS PARTNERS: Use party s best efforts to encourage all business partners with which the party has a significant business relationship or over which it has influence to adopt an equivalent commitment to prevent, detect, investigate and remediate Misconduct (and, in the case of business partners which are controlled affiliates, joint ventures, unincorporated associations or similar entities ,to the extent possible obligate them to so adopt ).This includes agents,advisers,consultants,representatives,distributors,contractors,subcontractors suppliers, joint venture partners, and other third parties. 5. [NRO4Ov?eV{[NNNlQSX[(W͑NRT| blQSYeNq_TvNRO4O ^=\g'YRRRvQZPQ[I{b N20Ss0gTeQe NS_L:NYgNRO4O/fScvR/e:gg0TDON0^lQS>yVb{|ky/f[O4OTlcOv'irb gRvS_TckS_vbl N>ky/eN nS/fTlv0 Monitoring/Oversight: Monitor the execution of all contracts to which the party is a party in order to ensure, as far as is reasonable, that there is no Misconduct in their execution. The party should also monitor the programs and performance of business partners as part of its regular review of its relationships with them. vKm/vcw@b glQS\O:NvQ-NNevT T vQe\LǏ zGW^S0Rvcw N=\S0W\g~e\LǏ z-Nv NS_L:N0\O:N[NRO4OsQ|[ghgvNR lQS Te^[NRO4OvTĉRTe\~`QۏLvcw0 6. INTERNAL CONTROLS: 6. Q萧c6R Financial: Establish and maintain an effective system of internal controls comprising financial and organizational checks and balances over the party s financial, accounting and recordkeeping practices, and other business processes. The party should subject the internal controls systems, in particular the accounting and recordkeeping practices, to regular, independent, internal and external audits to provide an objective assurance on their design, implementation and effectiveness and to bring to light any transactions which contravene the Program. "R6R^^zv^~b gHevQcSO| Ǐ"RT~~~g6Ra:g6R [lQSv"R0O0&NSvQ[NR;mRۏL6R~0lQSvQcSO| $\vQ/fOT& ^[gcSrzvQ萌TY萡[ :NQcSO|v0gbLTHegcO[‰O v^c2NUONTĉRvb扄vL:N0 Contractual Obligations: Employment and business partner contracts should include express contractual obligations, remedies and/or penalties in relation to Misconduct (including in the case of business partners, a plan to exit from the arrangement, such as a contractual right of termination, in the event that the business partner engages in Misconduct). T TINRǖcOT TTNRO4OOS-N^fnx~[sQN NS_L:NvT TINR0eQeT/b`Zce(WNRO4OOS-N ^[NRO4Ov NS_L:N6RQR OY~bkOSvQY~Cg)R 0 Decision-Making Process: Establish a decision-making process whereby the decision process and seniority of the decision-maker is appropriate for the value of the transaction and the perceived risk of each type of Misconduct. QV{ z^^zQV{ z^ OQV{Ǐ zTQV{NvDSNNRv͑'`TTy NS_L:NvwΘiv[y0 7.TRAINING & COMMUNICATION: Take reasonable ,practical steps to periodically communicate its Program ,and provide and document effective training in the Program tailored to relevant needs, circumstances, roles and responsibilities ,to all levels of the party (especially those involved in  high risk activities)and, where appropriate ,to business partners. Party management also should make statements in its annual reports or otherwise publicly disclose or disseminate knowledge about its Program. 7WNNAmǑSR[Ttvek [g[ OTĉR Te9hnc N TvBl0`Q0LMOTL# :NlQST~LXT$\vQ/fNNؚΘi;mRvLXT cO gHeWv^NNU_ S_e_NS:NNRO4OcOW0lQS{tB\{(Wt^^bJT-N[TĉRۏLf blQ_b2/[ OTĉRvvsQwƋ0 8. INCENTIVES: 8oR:g6R 8.1 Positive: Promote the Program throughout the party by adopting appropriate incentives to encourage and provide positive support for the observance of the program at all levels of the party. VYRce[NlQST~u[TĉRvL:N ^ǏS_voR:g6RNNRTygvbc OTĉR(WlQSQ_NhQbc^0 Disciplinary Measures: Take appropriate disciplinary measures (including termination) with all persons involved in Misconduct or other Program violations, at all levels of the party including officers and directors. `bce[N g NS_L:Nb gvQ[ݏSTĉRL:Nv*NN Sbؚ~[XTTcNI{T~NXT ^~NS_`bSb~bkRRT T 0 9. REPORTING: bJT6R^ Duty to report: Communicate to all personnel that they have a duty to report promptly any concerns they may have concerning the Program, whether relating to their own actions or the acts others. NbINR^JTwhQSOLXT YGNUONTĉRvsQv e/f,gNL:N؏/fNNL:N GW gINRzsS Nb0 Advice: Adopt effective measures and mechanisms for providing guidance and advice to management ,staff andwhere appropriate business partners on complying with the party s Program, including when they need urgent advice on difficult situations in foreign jurisdictions. c[^ǑS gHevceT:g6R :N{tB\0LXTNS(WS_`Q NSb NRO4OcOsQNu[lQSTĉRvc[^ SbS_vQ(WYV{:SG0RVe :NvQcO'}%`^0 Whistleblowing/Hotlines: Provide channels for communication (including confidential channels) by, and protection of, persons not willing to violate the Program under instruction or pressure from hierarchical superiors, as well as for persons willing to report breaches of the Program occurring within the party. The party should take appropriate remedial action based on such reporting. h>N/p~[NS0R N~c:ybSRtS N?aݏSTĉRv*NN b gah>NlQSQݏĉL:Nv*NN ^:NvQcOl nSSby[ nS SOb0lQS{9hnch>NQ[ǑSS_veQece0 Periodic Certification: All relevant personnel with decision-making authority or in a position to influence business results should periodically (at least annually )certify, in writing ,that they have reviewed the party s code of conduct, have complied with the program, and have communicated to the designated corporate officer responsible for integrity compliance matters any information they may have relating to a possible violation of the Program by other corporate personnel or business partner. 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