1、OFFICE OF ANTICORRUPTION AND INTEGRITY 2019 Annual Report OFFICE OF ANTICORRUPTION AND INTEGRITY 2019 Annual Report Creative Commons Attribution 3.0 IGO license (CC BY 3.0 IGO) 2020 Asian Development Bank 6 ADB Avenue, Mandaluyong City, 1550 Metro Manila, Philippines Tel +63 2 8632 4444; Fax +63 2 8

2、636 2444 www.adb.org Some rights reserved. Published in April 2020. ISBN 978-92-9262-164-3 (print); 978-92-9262-165-0 (electronic) ISSN 2226-7247 (print), 2226-7255 (electronic) Publication Stock Number: ARM200015-2 DOI: http:/dx.doi.org/10.22617/ARM200015-2 The views expressed in this publication a

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9、cept when otherwise stated. In this publication, “$” refers to United States dollars. Contents Preemployment Screening36 Know-Your-Customer Requests36 Other Integrity Risk Advisories36 Knowledge Sharing and Collaboration37 Knowledge Sharing Events37 Knowledge Products44 Promoting Cooperation with De

10、velopment Partners45 About the Office of Anticorruption and Integrity46 Appendix A. Examples of Complaints Closed in 201947 Appendix B. Examples of Investigations Concluded in 2019 51 Appendix C. Examples of Respectful Workplace Unit Cases in 2019 56 Appendix D. Highlights of Proactive Integrity Rev

11、iew Reports Completed in 2019 58 Abbreviations 1 2019 at a Glance2 Executive Summary7 Complaints and Investigations12 Complaints Assessment16 Investigations of Integrity Violations18 Remedial Actions21 Respectful Workplace25 Concerns Raised with the Respectful Workplace Unit 26 Advisories and Invest

12、igations27 Integrity Risk Management30 Proactive Integrity Reviews of Projects30 Integrity Risk Management Reviews of Projects34 Integrity Due Diligence35 Abbreviations ACWG G20 Anti-Corruption Working Group ADBAsian Development Bank AML/CFTanti-money laundering and combating the financing of terror

13、ism BPMSDBudget, Personnel, and Management Systems Department DMCdeveloping member country EOIexpression of interest GCFGreen Climate Fund IDDintegrity due diligence IOCIntegrity Oversight Committee MDBmultilateral development bank OAIOffice of Anticorruption and Integrity OPCOffice of Professional

14、Conduct PIRproactive integrity review RWURespectful Workplace Unit SACSanction Appeals Committee TAtechnical assistance 2019 at a Glance 3 Complaints and Investigations Complaints Opened 290 Others 40 Involving ADB projects 206 About ADB staff 44 Complaints Closed 219* Other actions taken 17 Did not

15、 meet assessment criteria 185 With remedial action 17 Sources of Complaints Others 17 ADB staff 82 External parties 191 290 Action TakenFirmsIndividuals Debarred 6962 Reprimanded 51 17 Cautioned 23 13 Cross debarred15320 Remedial Actions for External Parties *Includes complaints received in 2018. So

16、urce: ADB (OAI). 4 Respect at Work Matters *Includes complaints received prior to 2019. Investigations Opened 80* Others 10 Involving ADB projects 61 About ADB staff 9 *Includes investigations opened prior to 2019. Investigations Closed 110* Other actions taken 4 With remedial action 81 Disproven 5

17、Unsubstantiated 20 BPMSD = Budget, Personnel, and Management Systems Department. Investigations 45 36 closed 3 reports issued to BPMSD 9 remained open Advisories 110 99 closed 11 remained open Workplace Matters Reviewed 155* *Includes 54 matters from 2018. Source: ADB (OAI). Types of Matters Bullyin

18、g and harassment 68 17 4 4 38 24 Sexual harassment Other misconduct AdvisoriesInvestigations 5 Preemployment screenings Proactive Integrity Reviews Integrity Due Diligence Palau Source: ADB (OAI). Proactive integrity reviews conducted8 BILLION Value of projects covered$1.8 MILLION Value of contracts

19、 reviewed$422 Afghanistan Kazakhstan BhutanGeorgia Nepal Indonesia Myanmar Entities reviewed for integrity due diligence 954 573 6 Knowledge Sharing and Collaboration DMC = developing member country. Source: ADB (OAI). Learning Events Sessions for DMC partners and stakeholders 58 Sessions for ADB st

20、aff and consultants 38 Sessions for both ADB and DMC 2 8,706 Participants of Learning Events DMC partners and stakeholders 4,995 ADB staff and consultants 2,796 Both ADB and DMC 915 98 7 Executive Summary “Money lost to corruption is development denied to those who need it most. As a development ban

21、k, the moral imperative of addressing corruption is clear. ADB has taken on this challenge, and I believe we can be proud of our contributions.” President Takehiko Nakao* Asian Development Bank * President Nakao stepped down as President on 16 January 2020. 8 In 2019, the Office of Anticorruption an

22、d Integrity (OAI) of the Asian Development Bank (ADB) played a key role in supporting the implementation of Strategy 2030 and its Operational Plan for Priority 6: Strengthening Governance and Institutional Capacity, 20192024.1 OAIs contribution to Strategy 2030 and this operational priority focused

23、on promoting the corruption-free delivery of public services, the implementation of anticorruption measures, and strengthening anti-money laundering and tax integrity standards in ADBs developing member countries (DMCs). Improving Efficiency in Complaints Assessment and Investigations In 2019, OAI i

24、mproved its efficiency in complaints assessment and investigative processes and adopted a new case management system. Compared to 2018, OAI achieved a 16% increase in complaints assessed and closed (219 complaints) and a 93% increase 1 Strategy 2030 was approved in July 2018, while its 20192024 Oper

25、ation Plan for Priority 6: Strengthening Governance and Institutional Capacity was adopted in September 2019. in completed investigations of integrity violations (110 investigations). As in previous years, a significant number of complaints received were related to fraudulent practice (125 of 290 co

26、mplaints received or 43%). In 2019, ADB debarred 69 firms and 62 individuals for violating ADBs Anticorruption Policy (1998, as amended since). It temporarily suspended 20 firms and 5 individuals. Imposition of other remedial actions against firms and individuals, such as reprimands (68) and caution

27、s (36), more than doubled from 2018. ADB cross debarred 153 firms and 20 individuals. OAI completed seven investigations related to alleged integrity violations committed by ADB staff, which resulted in one case being referred to the Budget, Personnel, and Management Systems Department (BPMSD) for a

28、ppropriate disciplinary action. Six staff-related investigations closed with no disciplinary action. ADB reinstated 49 firms and 3 individuals in 2019 after meeting reinstatement conditions imposed by ADB at the time of debarment. 9 including written censure, demotion, salary reduction, and ineligib

29、ility for promotion for a certain period. Addressing Integrity Risks Assessing and managing integrity risks in ADB-related activities is essential to ensure that ADB resources are used for their intended purposes. In 2019, OAI conducted eight proactive integrity reviews (PIRs) across Asia and the Pa

30、cific, compared to six in 2018. The main findings included inadequate evaluation of bids and proposals; weak project financial management and contract oversight; and poor capacity of the project implementing agencies in procurement, contract supervision, and inspection of project assets. OAI reviewe

31、d 90 preapproval documents for new projects in 2019an increase of 45% from 2018to ensure that mitigation measures for risks identified in previous PIRs are appropriately addressed. ADB conducts integrity due diligence (IDD) on nongovernment counterparts or recipients of ADB financing, to assess any

32、previous involvement in integrity-related or money-laundering issues ADB also reinstated 141 firms and 31 individuals from debarments imposed by other multilateral development banks (MDBs) that are parties to the Agreement of Mutual Enforcement of Debarment Decisions. Maintaining a Respectful Workpl

33、ace The Respectful Workplace Unit (RWU) continued to play an important role in addressing concerns of bullying, harassment, and other misconduct in ADB, and raising awareness on issues relating to improper behavior in the workplace. In 2019, RWU received 107 visitors and opened 101 matters raised ag

34、ainst 128 subjects of interest. In 2019, RWU concluded 36 investigations into alleged misconduct, such as bullying and harassment, assault, abuse, unethical conduct, and sexual harassment. RWU referred three investigations with findings of misconduct to BPMSD, where one resulted in a temporary suspe

35、nsion of a staff, one resulted in a written censure, and one staff was allowed to resign without further action. BPMSD also imposed disciplinary measures in five investigations that RWU referred in 2018, 10 and recommend mitigation measures. In 2019, OAI conducted IDD on 954 entities and screened 57

36、3 applicants for ADB staff positions. As in previous years, OAI continued to advise ADB operations on compliance with the Anticorruption Policy in matters involving cofinancing, conflict of interest, contract variations for sanctioned entities, cross debarment, and anticorruption clauses in project

37、documents. OAI issued 869 advisoriesan increase of 21% from 2018. Producing Knowledge Products and Services To promote ADBs role as a knowledge partner and thought leader, OAI produced knowledge products and services on (i) fraud and corruption prevention and detection, (ii) IDD, (iii) professional

38、conduct, (iv) anti-money laundering and combating the financing of terrorism (AML/CFT), and (v) tax integrity. These products included awareness-raising brochures and videos, and services such as tailored learning sessions on ADB policies, practices, and international standards. OAI enhanced its kno

39、wledge sharing and communication using digital technology, social media, and other online channels to make the information useful and more accessible. OAI delivered 98 anticorruption sessions in 2019, reaching over 8,700 participants, the majority of whom were from government agencies, the private s

40、ector, civil society, and ADB staff. Participants assessed the sessions as relevant, useful, and effective in increasing their awareness on anticorruption measures, and on how to prevent integrity violations. Collaborating with Integrity Champions OAI celebrated International Anticorruption Day on 9

41、 December 2019 with ADB President Takehiko Nakao and guest speakers from Southeast Asias business community, who discussed the importance of engaging with the private sector in the fight against corruption. In the lead up to International Anticorruption Day, to raise ADB staff awareness on corruptio

42、n and integrity-related issues, OAI designed a gamified e-learning course, which was a first for ADB. Promoting Integrity with Development Partners In 2019, OAI continued its collaboration with development partners in promoting integrity and transparency in development projects. 11 Throughout 2019,

43、OAI contributed to the work of the G20 Anti-Corruption Working Group (ACWG) and shared best practices for the development of the G20s “Good Practices Guide on Promoting Integrity and Transparency in Infrastructure Development.” In April 2019, OAI hosted a private sector integrity meeting for 14 inte

44、rnational financial institutions to share best practices in addressing integrity issues in private sector operations. To support DMCs in their compliance with the AML/CFT requirements of the Financial Action Task Force, OAI provided capacity development support for domestic financial institutions in

45、 the Philippines, Viet Nam, and Mongolia in 2019. OAI also assisted government authorities in Armenia, Cambodia, Maldives, the Marshall Islands, the Federated States of Micronesia, Papua New Guinea, Samoa, and Thailand in promoting tax integrity through drafting tax laws, regulations, and other rele

46、vant policy documents. In December 2019, OAI, together with the Organisation for Economic Cooperation and Development, the United Nations Development Programme, and the Government of Viet Nam, held the 10th Regional Conference on Preventing and Combatting Corruption in Infrastructure Projects under

47、the Anticorruption Initiative for Asia and the Pacificthe largest anticorruption network in the region. Enhancing Risk Criteria and Mitigation Measures In 2020, OAI will continue to adopt efficiency measures to effectively address allegations of integrity violations and staff misconduct, and to prot

48、ect ADBs resources from misuse by ensuring that timely and appropriate remedial actions are imposed. OAI will use enhanced integrity risk-based criteria in selecting projects for PIRs. It will also expand its engagement with ADBs operational departments in sharing project integrity red flags, conduc

49、ting project integrity risk assessments, and developing appropriate anticorruption mitigation measures to address fraud and corruption issues in project design and implementation. Anticorruption knowledge-sharing and capacity development activities will continue to enhance ADB stakeholders awareness on anticorruption, AML/CFT measures, and tax integrity. 12 The Office of Anticorruption and Integrit