En terrain minier : Mesures de diligence raisonnables pour garantir l'intégrité des attributions de licences dans les industries extractives / Cari L. Votava, Jeanne M. Hauch, Francesco Clementucci.

Format:

Book

Author/Creator:

Votava, Cari L., author.

Hauch, Jeanne M., author.

Clementucci, Francesco, author.

Series:

International Development in Practice Series

Le Dévelopment International en Pratique

Language:

French

Subjects (All):

Corruption.

Physical Description:

1 online resource (172 pages).

Edition:

1st ed.

Other Title:

En terrain minier

Place of Publication:

Washington, DC : World Bank, 2019.

Summary:

Cette publication identifie les bonnes pratiques visant à affecter des ressources limitées aux contrôles d'intégrité des soumissionnaires, dans la procédure d'octroi de licences extractives.

Contents:

Front Cover

Contents

Foreword

Preface

Acknowledgments

About the Authors

Abbreviations

Introduction

The Potential of Improved Integrity Screening

Overview

Notes

References

Chapter 1 Overview of Basic Licensing Concepts

Defining Critical Sectors

Overview of Integrity Checks

Politically Exposed Persons: A Crosscutting Issue

Licensing as a Gatekeeping Function

Integrity, Financial, and Technical Reviews

Licensing and Procurement

Chapter 2 Calibrating Risk

Targeting Resources: A Risk-Based Approach

Risk Profiling

Diagramming Integrity Checks

Chapter 3 Beneficial Ownership

Identifying Beneficial Owners

Verifying and Documenting Beneficial Ownership

Who Should Be Checked?

Public Disclosure of Beneficial Ownership Information

Chapter 4 Criminal and Legal Background

Verification of Criminal History

Verification of Civil or Administrative Sanctions

Cost-Effective Strategies for Background Checks

Following Up on Negative Information

Chapter 5 Conflicts of Interest

Defining Types of Conflicts of Interest

COIs in Integrity Screening

COIs: Officials with a Role in Licensing

Implementation of COI Policy

Strategies upon Detecting Potential Conflicts of Interest

Administrative and Legal Aspects of the COI System

Chapter 6 Policy and Legal Framework

Accountabilities and Safeguards

Information Sharing, Public Access, and Confidentiality

Politically Exposed Persons

Authorization, Certification, and Notification of Assessments

Administrative Appeal Procedures

Timing of Checks

Chapter 7 Implementing the Regulatory Process

Step 1: Intake and Review of Previous Applications.

Step 2: Initial Risk Assessment and Basic Due Diligence

Step 3: In-Depth Background Checks and Further Due Diligence

Step 4: Final Risk Assessment

Step 5: Conclusion and Notification

Sequencing of Integrity Checks

Analysis of Negative Information

Effective Implementation of the Integrity Screening System

Chapter 8 Documenting and Monitoring Effectiveness

Internal Documentation

Monitoring the Quality of Existing Licensees

Efficiency and Cost-Effective Integrity Checks

Monitoring Risk Assessment Decisions

Monitoring Regulatory Effectiveness

Chapter 9 Recommendations for an Improved System

Recommendations

Thematic Preview: An Effective Integrity System

Appendix A Resources for Learning about Beneficial Ownership

Appendix B Websites, by Country, Listing Debarred Companies

Appendix C Finding and Using a US Securities and Exchange Commission Form 10-K or 10-Q

Appendix D Industry-Specific Resources

Appendix E Identifying High-Risk Countries and Persons

Appendix F Additional Resources on Conflicts of Interest

Appendix G EITI Requirement 2.5 on Beneficial Ownership Disclosure

Appendix H String Searches

Appendix I UK Companies House for Information on Companies and Directors

Appendix J Business Registration Data

Glossary

Boxes

Box I.1 United Nations Convention against Corruption

Box I.2 Extractive Industries Transparency Initiative

Box I.3 Financial Action Task Force

Box 1.1 What factors make a sector "critical"?

Box 1.2 Vulnerability points in the extractive value chain

Box 2.1 Common licensing risk factors

Box 3.1 Red flags indicating concealed beneficial owners

Box 4.1 Resources on police clearance procedures

Box 4.2 Searchable regulatory filings, Australia.

Box 4.3 Practical tips for obtaining company information

Box 5.1 Actual, apparent, and potential conflicts of interest

Box 5.2 Types of conflicts of interest and responses: Three examples

Box 5.3 Conflict-of-interest (COI) disclosure form for public officials

Figures

Figure I.1 Defective licensing systems

Figure 1.1 Extractive value chain

Figure 1.2 Components of public procurement reviews

Figure 2.1 Integrity check flow chart

Figure 3.1 Corporate ownership chart

Figure 4.1 Social media to check

Figure 5.1 Relationships presenting conflicts of interest

Figure 7.1 Common red flags for during integrity checks

Figure 8.1 Flow chart: Regulatory effectiveness supports sector productivity

Tables

Table 1.1 Specific information reviewed under the three components of licensing evaluation

Table 2.1 Tiered risk-based system for calibrating the depth of background checks

Table 2.2 Heat map of risk levels by license applicant type

Table 3.1 Complex legal entities: Types of beneficial ownership proof and possible source documents to request

Table 3.2 Identifiers for natural and legal persons

Table 4.1 Keyword search term options

Table 4.2 Checklist for natural persons

Table 4.3 Checklist for legal persons

Table 5.1 Selected international and national initiatives for identifying beneficial ownership

Table 5.2 Conflict of interest (COI) prohibitions and enforcement mechanisms

Table 6.1 Effective versus ineffective legal frameworks for a licensing system

Table 6.2 EITI Requirements 2, 3, and 4

Table 7.1 Sequencing steps in integrity checks

Table 8.1 Rating quality indicators

Table 8.2 Assessing technical compliance and implementation effectiveness

Table 8.3 Methodology for monitoring and evaluation of legal framework and effectiveness of implementation.

Notes:

Description based on publisher supplied metadata and other sources.

Publisher Number:

10.1596/978-1-4648-1424-2