AFRICAN DEVELOPMENT BANK
SANCTIONS APPEALS BOARD STATUTE
There is hereby established a Sanctions Appeals Board of the African Development Bank (the “Bank”), the African Development (the “Fund”) and the Nigeria Trust Fund (“NTF”) (together with the Bank hereinafter referred to collectively as the “African Development Bank Group”), to be known as the African Development Bank Group Sanctions Appeals Board (“BSAB”).
1. For the purpose of this Statute, the following definitions will apply:
(a) “Respondent” has the meaning set out in the relevant Sanctions Procedures, as defined below;
(b) “Sanctions Procedures” means the Sanctions Procedures, as applicable and as may be amended from time to time, of the Bank which is subject to the Bank’s Procurement, Consultant and Anti-Corruption Guidelines.
The Sanctions Board shall review and take final decisions in sanctions cases and perform such other detailed functions and responsibilities as set forth in the Sanctions Procedures.
In the event of a dispute as to whether the Sanctions Appeals Board has competence over a particular matter, the Sanctions Appeals Board shall decide whether it has the authority to handle such matter under this Statute.
1. The Sanctions Appeals Board shall be composed of six (6) members. The members shall be governed by the Code of Conduct attached hereto, as may be amended from time to time.
2. Four (4) external members of the Sanctions Appeals Board (two (2) substantive and two (2) alternate) shall be appointed by the Board of Directors of the Bank upon recommendation by the President of the Bank after appropriate consultation. These candidates must not have previously held or currently hold any appointment as staff or consultant of the Bank, and shall be familiar with procurement matters, law, dispute resolution mechanisms, or operations of development institutions.
3. Two (2) internal members of the Sanctions Appeals Board (one substantive and one alternate) shall be appointed by the President from among senior Bank staff with knowledge of Bank procurement and/or operational processes.
4. The members of the Sanctions Appeals Board shall be appointed for a period of three (3) years, renewable once depending on the performance. Of the four (4) external members initially appointed, the terms of one (1) member, shall expire at the end of two (2) years.
5. The term of each member’s appointment shall commence as stipulated in the member’s letter of appointment. A member appointed to replace another whose term of office has not expired shall hold office for the remainder of the predecessor’s term.
6. Notwithstanding the term limit set forth above, the members of the Sanctions Appeals Board shall hold office until their replacement or earlier resignation or removal.
1. The Sanctions Appeals Board Chair shall be selected by the Board of Directors, on recommendation by the President after appropriate consultation, from among the external members appointed under Article V, Section 2. The person selected shall serve as Sanctions Board Chair for not more than a single three-year term.
2. The Sanctions Appeals Board Chair shall direct the work of the Sanctions Appeals Board; shall represent the Sanctions Appeals Board in all administrative matters; and shall preside at all sessions of the Sanctions Appeals Board.
3. If unable to act, the Sanctions Board Chair shall designate an acting Sanctions Appeals Board Chair from among the other external members.
4. A Secretary shall be appointed from among the staff of the Bank to assist the Sanctions Appeals Board.
1. A quorum of three (3) members shall suffice to constitute the full Sanctions Appeals Board provided two (2) of them are external members and one is internal.
2. A plenary session may be convened by the Sanctions Appeals Board Chair when, in the opinion of the Sanctions Appeals Board Chair, the complexity of a case requires such a session or when it is necessary to deal with a question related to the operation of the Sanctions Appeals Board, including its competence under Article IV, or any other matter warranting consideration by the full Sanctions Appeals Board.
3. Notice of the convening of a plenary session shall be given to the members of the Sanctions Board at least thirty (30) days in advance of the date of the opening of such a session.
4. No case shall be heard by the Sanctions Appeals Board except under the chairmanship of the Sanctions Appeals Board Chair or an acting Chair.
1. To deal with a particular case or cases, the Sanctions Appeals Board Chair may decide at any time that the Sanctions Appeals Board shall form a Panel comprising two (2) members of the Sanctions Board from outside the African Development Bank Group and one (1) Bank staff member. Attendance of all three Panel members is required to constitute a quorum.
2. The Sanctions Appeals Board Chair and the Secretary to the Sanctions Appeals Board shall determine the dates of sessions of the Sanctions Appeals Board.
The expenses of the Sanctions Appeals Board shall be borne by the African Development Bank Group. Sanctions Appeals Board members from outside the African Development Bank Group shall receive such compensation as deemed appropriate by the African Development Bank Group.
In all matters not addressed in this Statute, the Code of Conduct or the Sanctions Procedures or any formal guidelines issued by the Bank in respect of sanctions proceedings, the Sanctions Appeals Board shall follow the instructions of the Sanctions Appeals Board Chair for the operation of the Sanctions Appeals Board.
1. The Sanctions Appeals Board shall hold sessions on dates to be fixed in accordance with Articles VII and VIII.
2. The Sanctions Appeals Board shall hold its sessions at the Bank Headquarters, unless it considers that the efficient conduct of the proceedings warrants holding sessions elsewhere.
3. Sanctions Appeals Board procedure is confidential and not open to the public.
1. The Sanctions Appeals Board shall take all decisions by a majority of the members present. In the event of a tie, the Sanctions Appeals Board Chair shall have the deciding vote.
2. Decisions of a Panel shall be taken by a majority of two (2) members and shall be deemed to constitute a decision of the Sanctions Appeals Board.
Decisions shall be final and without appeal. Each decision shall include a brief statement of the reasons on which it is based.
1. The Sanctions Appeals Board members or alternates appointed pursuant to Article 5, Section 2 may only be removed by Board of Directors upon recommendation by the President in the event of (i) incapacity, (2) material violation of the Code of Conduct, or (3) conduct unbecoming a Sanctions Appeals Board member.
2. The President, or the Sanctions Appeals Board Chair or another member of the Sanctions Appeals Board by written request to the President, shall have the right to initiate a proposal for removal.
3. The concerned Sanctions Appeals Board member shall be notified of the alleged grounds for the proposed removal and be afforded a reasonable opportunity to respond to the allegation(s). If there appear to be sufficient grounds for removal, the President shall refer the matter to the Board of Directors for decision.
4. The Sanctions Appeals Board members appointed pursuant to Article 5, Section 3 serve at the pleasure of the President and may be removed for cause after a reasonable opportunity to be heard.
“Only” in “ may only be removed”
This Statute may be amended from time to time.
CODE OF CONDUCT FOR MEMBERS OF THE SANCTIONS APPEALS BOARD
This Code of Conduct applies to all members, including alternates, both from the staff of the African Development Bank Group and from outside the African Development Bank Group.
1. Fairness, Independence and Impartiality. Each member of the Sanctions Appeals Board shall consider each case fairly, impartially and with due diligence, in accordance with the Sanctions Board Statute, the Sanctions Procedures and any other applicable rules and guidance established by the African Development Bank Group.
2. In considering cases, each member of the Sanctions Appeals Board shall act independently and shall not answer to or take instructions from Bank management, members of the Board of Executive Directors, member governments, Respondents or any other entity.
3. Each member of the Sanctions Appeals Board shall, in the discharge of his or her functions, be guided solely by the merits of the case without regard to any other considerations, including prospects for re-appointment to the Sanctions Appeals Board or employment elsewhere in the Bank.
4. No member of the Sanctions Appeals Board shall seek or accept any gift or compensation of any kind for the discharge of his or her functions except as provided in his or her letter of appointment.
5. Diligence. Each member of the Sanctions Appeals Board shall act diligently and expeditiously in the performance of their duties and deliver their decisions without undue delay.
6. Conduct during Proceedings. Each member of the Sanctions Appeals Board shall act in accordance with commonly accepted decorum, and remain patient and courteous towards all participants. They shall avoid conduct or comments which are racist, sexist or otherwise degrading. The Chair shall, to the extent possible, ensure that any person participating in sanctions proceedings conducts themselves in like manner.
7. Conflict of Interest. Prior to appointment and throughout his or her service, each member of the Sanctions Appeals Board shall have the obligation to promptly disclose to the Chair of the Sanctions Appeals Board and Bank Management, any circumstance which may give rise to reasonable doubts as to his or her impartiality or independence, including (but not limited to) all past and present professional, business, personal and other relationships with, or any financial or other interest in, any of the parties to the proceedings or affiliated parties, personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding. In making such disclosure, the member should take care not to reveal facts that may prejudice the consideration of a pending case; if meaningful disclosure is not possible without revealing such facts, the Chair may recuse himself from the case in question.
8. Members of the Sanctions Appeals Board shall recuse themselves from any case in which they have an actual conflict of interest either by notice to the Chair or at the request of the Chair prior to the commencement of proceedings or, if the conflict comes to light only during the proceedings, immediately upon it coming to light. Members shall seek written guidance from the Chair of the Sanctions Appeals Board for any matter in which they have an apparent or potential conflict of interest. The Chair will apprise Bank Management periodically as to the resolution of these actual, apparent and potential conflicts of interest.
9. Members of the Sanctions Appeals Board shall recuse themselves from participation in a sanctions proceeding involving a project, loan or any other transaction wherein they have, directly or significantly, participated, whether in their current position, a prior assignment or previous employment.
10. Notwithstanding the foregoing, a member may decline to disclose circumstances to the extent that such disclosure is prohibited by legally binding confidentiality restrictions, provided that they recuse themselves from any case in which they have an actual, apparent or potential conflict of interest arising from such circumstances.
11. Post-Service Activities. A member of the Sanctions Appeals Board shall not, for two (2) years after the end of the member’s term, accept any kind of employment, consultancy or interest in any firm that has been a respondent in a sanctions proceeding in which the member has participated.
12. For a period of three years after the expiration or termination of the term of a member of the Sanctions Appeals Board, such member shall be disqualified to appear as an attorney, agent or representative of any respondent in a sanctions proceeding before the Sanctions Appeals Board.
13. External members shall not accept employment with the African Development Bank Group or provide the Bank Group with services in connection with any Project, transaction or initiative on behalf of the Bank Group for a period of two (2) years following the end of such member’s term.
14. Confidentiality. A member shall be required to observe the confidentiality and sensitivity of information to which he/she will have access as a member of the Sanctions Appeals Board, and shall not use or disclose to any third party any information obtained as a result of membership in the Sanctions Appeals Board, including through participation in a sanctions proceeding.
15. All members of the Sanctions Appeals Board shall respect and maintain the confidentiality of sanctions proceedings.
16. Mandate of the African Development Bank Group. The Sanctions Appeals Board’s independence notwithstanding, a Sanctions Appeals Board member should act at all times in a manner consistent with the African Development Bank Group’s mandate as set forth in its Articles of Agreement, with particular regard to the duty of the Bank to ensure that its financing is used for purposes intended.
17. Non-interference. During a proceeding in which the members of the Sanctions Appeals Board sit in a Panel of less than three members, any member who is not participating in that Panel shall not interfere with or seek to influence the work or decision of the members of the Panel.
18. Ex Parte Communications. Members of the Sanctions Appeals Board shall not engage in ex parte communications with the Integrity and Anti-corruption Department (PIAC) or the Respondent regarding the merits of a sanctions proceeding.
19. Conduct Unbecoming. Members of the Sanctions Appeals Board shall conduct themselves in a manner befitting their status, whether in the course of their duties or otherwise. They will exercise their freedom of expression and association in a manner compatible with such status and does not affect or appear to affect their independence or impartiality. They shall not comment on pending cases and shall avoid expressing views which may undermine the standing or integrity of the African Development Bank Group, the Sanctions Appeals Board or the sanctions process.
Each member of the Sanctions Appeals Board shall agree to be bound by this Code of Conduct, as it may be amended from time to time, at the time of his or her appointment or re-appointment. Any material violation of this Code of Conduct is grounds for removal from the Sanctions Appeals Board, as set out in the Sanctions Appeals Board Statute. The Chair of the Sanctions Appeals Board shall report any violation of this Code that comes to his or her attention to Bank Management.