2018年-世界发展银行全球_License_to_Drill___A_Manual_on_Integrity_Due_Diligence_for_Licensing_in_Extractive_Sectors_159页_2mb

License to Drill: A Manual on Integrity Due Diligence for Licensing in Extractive Sectors

Core Content

This manual, License to Drill, provides a comprehensive guide to improving integrity due diligence in the licensing process of extractive industries. It is designed to help officials and experts enhance the transparency and accountability of regulatory systems in these sectors, which are particularly vulnerable to corruption. The manual outlines a structured approach to identifying and mitigating risks associated with licensing decisions, emphasizing the importance of thorough background checks, conflict of interest management, and beneficial ownership disclosure.

Main Points

1. Integrity Due Diligence as a Gatekeeping Function

Licensing serves as a critical gatekeeping function in extractive sectors. Effective integrity screening is essential to prevent corrupt actors from obtaining licenses or concessions, which can lead to significant economic and social harm. The process involves:

• Beneficial ownership verification: Identifying the actual individuals or entities behind a company to prevent illicit activities.
• Criminal and legal background checks: Assessing the legal history of license applicants to detect potential risks.
• Conflict of interest (COI) assessments: Ensuring officials involved in licensing decisions are not in a position that could compromise their impartiality.

2. Risk-Based Approach

The manual advocates for a risk-based approach to licensing, where the depth of due diligence is calibrated according to the risk level of the applicant. This includes:

• Tiered risk profiling: Determining the appropriate level of scrutiny based on the applicant's risk profile.
• Common risk factors: These include lack of transparency, political connections, and criminal history.
• Heat map of risk levels: A visual tool to assess the risk of different types of license applicants.

3. Role of Beneficial Ownership

Beneficial ownership is a central concept in integrity screening. The manual outlines:

• Definition: A beneficial owner is the natural person or persons who ultimately own or control a legal entity or benefit from its assets.
• Verification and documentation: Steps to identify and confirm the identity of beneficial owners, including using public records and legal documents.
• Red flags: Indicators of concealed beneficial owners, such as complex legal structures or lack of transparency in ownership chains.

4. Conflict of Interest (COI)

COIs are a major concern in licensing processes, especially when officials are involved. The manual highlights:

• Types of COIs: Actual, apparent, and potential conflicts.
• Responses to COIs: Strategies for addressing identified conflicts, including disclosure and policy implementation.
• COI disclosure forms: Tools to ensure transparency in the role of public officials.

5. Policy and Legal Framework

A robust legal and institutional framework is crucial for effective integrity screening. Key aspects include:

• Accountability and safeguards: Ensuring that licensing systems are transparent and include mechanisms for oversight and enforcement.
• Public disclosure: Requiring the disclosure of beneficial ownership and PEP information to enhance transparency.
• EITI requirements: The Extractive Industries Transparency Initiative mandates the disclosure of beneficial ownership and PEP data, which this manual supports.

6. Implementation of Integrity Checks

The manual outlines a five-step process for implementing integrity due diligence:

1. Intake and review of previous applications
2. Initial risk assessment and basic due diligence
3. In-depth background checks and further due diligence
4. Final risk assessment
5. Conclusion and notification

It also emphasizes the importance of sequencing integrity checks to ensure they are conducted effectively and efficiently.

7. Documentation and Monitoring

Effective documentation and monitoring are essential for maintaining the integrity of the licensing system. The manual recommends:

• Internal documentation: Keeping detailed records of all checks and decisions.
• Monitoring effectiveness: Evaluating the performance of the licensing system to ensure it is achieving its goals.
• Rating quality indicators: Tools to assess the quality and effectiveness of the licensing process.

Key Information

• Corruption in extractive sectors is a major issue that can undermine economic development and lead to illicit financial flows.
• EITI Requirement 2.5 mandates the disclosure of beneficial ownership information, which is a cornerstone of this manual.
• Basel Core Principle 5 on "fit and proper" licensing is referenced as a global standard for assessing the suitability of license applicants.
• Integrity screening is not a complete solution for corruption, but it is a vital tool for reducing risks and improving transparency.
• Civil society and transparency play a crucial role in holding officials accountable and ensuring responsible management of extractive resources.

Appendices and Resources

The manual includes several appendices that provide additional resources and tools for implementing integrity due diligence:

• Appendix A: Resources for learning about beneficial ownership.
• Appendix B: Websites listing debarred companies by country.
• Appendix C: Guidance on using SEC forms like 10-K and 10-Q.
• Appendix D: Industry-specific resources for integrity checks.
• Appendix E: Methods for identifying high-risk countries and individuals.
• Appendix F: Additional resources on conflict of interest management.
• Appendix G: EITI Requirement 2.5 on beneficial ownership disclosure.
• Appendix H: Techniques for string searches in data collection.
• Appendix I: Use of UK Companies House for company and director information.
• Appendix J: Accessing business registration data.

Conclusion

License to Drill is a practical guide that supports the development of effective integrity due diligence systems in extractive industries. It emphasizes the importance of transparency, accountability, and sound regulatory practices in reducing corruption risks and improving the overall performance of these sectors. The manual is intended to be a flexible tool that can be adapted to different legal and regulatory environments, helping to create a more just and prosperous future for developing countries.