Collective Action
Publications
Research, evidence and analysis of Collective Action tools and approaches by the Basel Institute and others. If you would like to recommend a publication for inclusion in this database, please contact a member of our team.
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Guidelines European Commission, Directorate-General for Migration and Home Affairs Handbook of good practices in the fight against corruption Collective Action, Integrity Pacts The European Commission's Handbook of good practices in the fight against corruption maps a variety of anti-corruption practices in EU Member States that have proved to be useful in solving problems related to corruption, and which can inspire similar initiatives elsewhere. Key among these is Collective Action, which the Handbook explains and endorses in detail. It explains the key characteristics of Collective Action initiatives compared to accountability initiatives and lists several typologies and mechanisms. The handbook states that potential results of engaging in Collective Action are: - Increasing trust - Ensuring integrity as a social norm - Reducing control and sanctioning costs The Handbook is a collaborative effort between Ecorys and Local Research Correspondents on Corruption in each Member State. It was authored by Mike Beke, Oksana Huss, Brigitte Slot and Jan Wynarski for the European Commission, Directorate-General Migration and Home Affairs.
Guidelines African Development Bank Group, the Asian Development Bank, the European Bank for Reconstruction and Development, the European Investment Bank Group, the International Monetary Fund, the Inter-American Development Bank Group and the World Bank Group MDB General Principles for Business Integrity Programmes Collective Action Published by six major international financial institutions (IFIs), these General Principles provide non-exhaustive, non-binding guidance on business integrity programmes for businesses implementing IFI-funded projects. Business integrity programmes play an important part in IFIs’ efforts to fight fraud and corruption in the projects they support. Companies may also wish to refer to the General Principles as guidance for their programmes in other contexts. The document emphasises that it is a good business practice to have such a programme in place, and to implement the programme consistently and effectively as a standard approach to doing business. Notably, they recommend engagement in Collective Action to encourage other business entities to implement such integrity programmes.
Quick guide UN Global Compact Network Ukraine UNGC handbook - Fighting corruption: Collective Action. Collective Action This handbook, written in Ukrainian, serves as an introduction to the online training course for small and medium-sized enterprises (SMEs) on anti-corruption, which is currently being developed by the UN Global Compact Network Ukraine. The course aims to increase understanding of business transparency and how it can be improved through Collective Action. The ultimate goal is to enhance Ukraine's position in global indices.
Article Organization Science From Compliance to Progress: A Sensemaking Perspective on the Governance of Corruption Collective Action The authors of this academic paper discuss how attitudes to preventing and tackling corruption are different between cultures, and have also changed over time within them, focusing on the East (Asia) and the West (Western Europe & North America). This is particularly important for multi-national companies to consider when developing compliance programmes. They look at two challenges organisations face in implementing anti-corruption policies: policy-practice decoupling, which is the difference between what a formal policy says should happen and what actually happens, and means-end de-coupling, which is when the implementation of a policy does not lead to its envisaged goals. They argue that ever-evolving cultural beliefs, judgements and practices are key to determining how people interpret and act in the governance of corruption, but that "ongoing interactive communication" can help bring people together to close the de-coupling gaps. In other words, acting collectively - either within or between organisations - can be a key way for companies to effectively implement anti-corruption programmes.
Quick guide UN Global Compact Academy eLearning - Taking Collective Action for Anti-Corruption Collective Action Joining efforts through anti-corruption collective action initiatives is a powerful way to level the playing field through the creation of fair and honest market conditions for all. This course introduces a six-step approach to bring together companies, make a clear diagnosis of the local corruption landscape, identify and engage key actors and address challenges by mitigating potential business risks. The proposed methodology builds on the experience and insight gained from years of experience running anti-corruption collective action initiatives around the world with companies and stakeholders driving change together.
Report Organisation for Economic Co-operation and Development Catalysing Collective Action to combat corruption in infrastructure Collective Action Infrastructure is vital for supporting economic growth, enhancing prosperity and well-being. G7 nations and other partnerships have committed to quality and sustainable infrastructure investments based on high standards and shared values to mobilise public and private investment. Unfortunately, infrastructure remains highly exposed to corruption and other irregular practices, and lacks sufficient accountability. New and innovative approaches to tackle corruption are needed to address these challenges. This policy paper focuses on collective action and multi-stakeholder non-judicial grievance mechanisms to support early detection, prevention and reporting of corruption. It highlights three mechanisms, namely, the National Contact Point for Responsible Business Conduct, the High Level Reporting Mechanism, and the Integrity Pact, which are well-suited to addressing corruption risks across the infrastructure lifecycle. As countries increase infrastructure investment and look to attract private financing, there is an opportunity to harness multi-stakeholder solutions that address corruption, de risk projects and ensure finance meets its intended purpose.
Report Global Compact Network Brazil Best Practice Guide on Anti-Corruption in Agribusiness Collective Action Drawing upon good practices identified in anti-corruption Collective Action initiatives in Brazil, this Guide serves as a compass to guide agribusinesses and other sectors that are interested in promoting ethics and transparency in their daily business practices. This is the English version of "Guia de Boas Práticas Anticorrupção da Agroindústria".
Report Konstanz Institut für Corporate Governance Anti-korruptions-compliance und integrity management in hochrisikoländern - herausforderungen und lösungsansätze Collective Action "Anti-corruption compliance and integrity management in high-risk countries" presents the study results of the research project of the same name at the Konstanz Institute for Corporate Governance (KICG). The research project, funded by the KBA-NotaSys Integrity Fund, aimed to support in particular SMEs from Germany, Austria and Switzerland in their internationalisation projects in growth countries by analysing the challenges of compliance with rules and ethical behaviour in high-risk regions and developing solution strategies and management instruments. Based on the evaluation of international court cases of corporate corruption, a collection of generic case studies from compliance training courses, and 60 expert interviews, as well as a quantitative online survey of a total of 120 compliance officers in companies and from the consulting sector, the project identified, analysed and categorised compliance challenges in high-risk countries. The interviewees included high-ranking compliance managers of companies that had experience with FCPA proceedings, partners from the Big Four accounting firms and renowned legal representatives. In the expert interviews and the anonymous online study, they shared their experiences of dealing with challenging situations and grey-area decisions in high-risk regions. The publication contains anonymised interview quotes from the experts interviewed as part of the project. The descriptions are anecdotal - no real cases are described. However, they provide insights into the market environment as a whole. The report includes Collective Action as part of its Integrity Toolkit of solutions for corruption prevention and integrity management. The study report is available in German.
Guidelines B20 Indonesia 2022 Integrity and Compliance Task Force: Policy Paper Collective Action This Policy Paper was prepared by the B20 Indonesia Integrity and Compliance Task Force, in which the Basel Institute on Governance served as Network Partner and Co-Chair in 2022. In this document, B20 members call for stronger actions from the G20 in four key areas: (1) promote sustainable governance in business to support ESG initiatives; (2) foster Collective Action to alleviate integrity risks; (3) foster agility in counteracting measures to combat money laundering/terrorist financing risks; (4) strengthen governance to mitigate exacerbated cybercrime risks.
Policy brief Basel Institute on Governance Policy Brief 11: Fighting corruption in West African coastal states: how Collective Action can help Asset Recovery, Collective Action Africa is estimated to lose an unbelievable USD 88.6 billion (3.7% of Africa’s GDP) each year to illicit financial flows, of which corruption is a major component. Rooting out corruption is a collective effort, and the private sector has a major role to play in laying down the foundations for clean business environments and sustainable development. That is why anti-corruption Collective Action has got so much to offer Africa, and in particular West African coastal states keen to maximise their clear economic potential. As the spectrum of Collective Action initiatives is quite large, it allows for innovative measures where governments, companies and civil society organisations (CSOs) can join forces toward a common objective, despite their different perspectives. This collaborative approach therefore provides a fertile ground for constructive dialogue between like-minded stakeholders, as well as an opportunity to understand the private sector’s language and reality. CSOs have an important part to play in bringing Collective Action to the fight against corruption in West Africa. They must continue to initiate, facilitate and engage in Collective Action initiatives to help raise awareness and build bridges. Their presence can bring credibility, independent oversight and accountability to the initiatives. This Policy Brief is based on conversations held with CSOs based in Benin (Social Watch Benin), Ghana (Ghana Integrity Initiative), Ivory Coast (Ivorian Youth Leaders’ Network) and Togo (The Togolese National Agency for Consumers and the Environment). It aims to capture their experiences, challenges and outlook on what the future for Collective Action could hold in the region. Despite their different backgrounds, they are united on one point: fighting corruption collectively by raising the voice of the private sector is an important step to pave the way for sustainable economic growth. ### About this Policy Brief This publication is part of the Basel Institute on Governance Policy Brief series, ISSN 2624-9669, and supports the Basel Institute's work on anti-corruption Collective Action with funding from the Siemens Integrity Initiative. It is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Suggested citation: Young, Liza. 2022. “Fighting corruption in West African coastal states: how Collective Action can help.” Policy Brief 11, Basel Institute on Governance. Available at: baselgovernance.org/pb-11.
Policy brief Basel Institute on Governance Policy Brief 11: Lutte contre la corruption dans les États côtiers d’Afrique de l’Ouest : comment l’Action Collective peut aider Collective Action Chaque année, les flux financiers illicites, dont la corruption est une composante majeure, font perdre environ 88,6 milliards de dollars (3,7 % de son PIB) à l'Afrique. La lutte contre ce fléau est un effort collectif et le secteur privé a un rôle majeur à jouer dans la promotion d'un environnement économique prospère et d’un développement durable du continent. C'est pourquoi l'Action Collective contre la corruption a tant à offrir à l'Afrique, et en particulier aux États côtiers d'Afrique de l'Ouest désireux de maximiser leur potentiel économique. Le spectre des initiatives d'Action Collective étant assez large, il permet des mesures innovantes où gouvernements, entreprises et organisations de la société civile (OSC) unissent leurs forces, malgré des intérêts parfois divergents. Cette approche collaborative constitue à la fois un terrain fertile pour un dialogue constructif, et une occasion de mieux comprendre les réalités du secteur privé. Les OSC ont également un rôle important à jouer dans la promotion de l’Action Collective en Afrique de l'Ouest. Elles doivent continuer à initier, faciliter et s'engager dans des initiatives d'Action Collective pour aider à sensibiliser et construire des ponts entre différentes parties prenantes. Leur présence apporte souvent transparence et crédibilité aux initiatives. Les résultats présentés dans ce Policy Brief sont issus d’échanges avec des OSC basées au Bénin (Social Watch Bénin), au Ghana (Ghana Integrity Initiative), en Côte d'Ivoire (Le Réseau des jeunes leaders pour l’intégrité) et au Togo (L’Alliance nationale des consommateurs et de l’environnement). Il vise à relater les défis et les opportunités que représente l'Action Collective dans la région. Malgré les différents contextes dans lesquels elles opèrent, ces organisations sont unies sur un point : lutter collectivement contre la corruption en faisant entendre la voix du secteur privé – élément crucial pour une croissance économique durable. ### About this Policy Brief Cette publication fait partie de la série des *Policy Briefs* du Basel Institute on Governance, ISSN 2624-9669. Elle est publiée sous licence *Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International* (CC BY-NC-ND 4.0). Citation suggérée : Young, L. 2022. « Corruption dans les États côtiers d'Afrique de l'Ouest : comment l'Action Collective peut aider ». Policy Brief 11, *Basel Institute on Governance*. Disponible sur : baselgovernance.org/pb11. Le *Policy Brief* est publié par l'équipe Secteur privé du Basel Institute on Governance. Il s'inscrit dans le cadre des efforts continus de l'équipe pour développer et promouvoir l'Action Collective anti-corruption, avec le soutien de la Siemens Integrity Initiative.
Article TEID Ethics & Reputation Society InMagazine: Collective Action Conference and Mentoring Programme Collective Action This article by Scarlet Wannenwetsch appeared in the September issue of InMagazine, published by the TEID Ethics & Reputation Society. It covers the 4th International Collective Action Conference in Basel, Switzerland, and the Basel Institute's Mentoring Programme for civil society/non-profit organisations working together with the private sector to address corruption challenges.
Guidelines, Report International Law Association (French Branch) White Paper 3 - Fight against corruption Collective Action The International Law Association's White Paper on corruption covers the current global anti-corruption landscape, present challenges, and the way forward to combat this scourge. It endorses the role of anti-corruption Collective Action as a means to fight and prevent corruption, and advocates for an increased cooperation with the private sector in the repression of bribery. The High-Level Reporting Mechanism is also identified as a practical way to enhance transparency in public procurement. Basel Institute former President Mark Pieth along with Managing Director Gretta Fenner contributed to the discussions and reflections around this paper.
Case study, Guidelines Global Compact Network Colombia, Alliance for Integrity and UNODC Buenas Prácticas en Anticorrupción: Innovando en Integridad Empresarial en Colombia - Segunda Edición Collective Action This is the second edition of a publication, jointly published by the Global Compact Network Colombia, Alliance for Integrity and UNODC. It presents best practices that demonstrate the commitments of Colombian companies under the Global Compact to contribute to transparency and integrity in the country. The best practices are focused on different anti-corruption issues including reporting channels, culture of integrity, conflicts of interest and risk management. The success of the measures is designed to act as an example for other companies to join forces in attaining the Sustainable Development Goals and building a better country for all. The Basel Institute was pleased to contribute to the evaluation of the good practices as part of the jury.
Report Basel Institute on Governance 4th International Collective Action Conference: How to mainstream Collective Action to achieve a clean, fair and sustainable business environment for all Collective Action This short conference report explains and illustrates the main insights emerging from the 4th International Collective Action Conference and Awards, which the Basel Institute on Governance hosted on 30 June and 1 July 2022 in Basel, Switzerland. The conference offered a platform for participants to re-engage with one another in person, take stock of anti-corruption Collective Action efforts, and exchange on how the private sector, civil society and government can work together better to address shared issues of corruption through Collective Action. The report includes several infographics and graphic recordings illustrating Collective Action’s central role in corruption prevention and compliance and what different stakeholders bring to the table - from the perspective of governments, businesses and civil society/academia. It also features quotes and examples from among the 200+ participants, many of whom are at the leading edge of efforts to promote and operationalise anti-corruption Collective Action approaches and tools. ### Acknowledgements and open-access licence The Basel Institute on Governance, as the host of the International Collective Action Conference and Awards 2022, would like to give a special thanks to the Siemens Integrity Initiative for supporting and providing funding for this immensely valuable event. This short report was prepared by Lynn Pies, Communications and Events Intern, Collective Action at the Basel Institute on Governance, with support from colleagues in the Private Sector team. Photos are by David Borter, LEO MEDIA. The report is free to share under a Creative Commons (CC BY-NC-ND 4.0) licence. Please credit the Basel Institute on Governance and link to: collective-action.com.
Guidelines Basel Institute on Governance Engaging the private sector in Collective Action against corruption Collective Action, HLRM, Integrity Pacts This practical guide is designed to help governments, and in particular National Anti-Corruption Agencies, engage with the private sector more effectively to prevent corruption. It explains how governments can engage with the private sector to prevent corruption in three ways: - Collaborate and consult on corruption prevention activities in the private sector - by setting up events and platforms, providing advisory support and engaging the private sector in developing National Anti-Corruption Strategies. - Support and incentivise the private sector to engage in corruption prevention activities and initiatives - by creating tangible business benefits for companies investing in compliance, incentivising companies to externalise their compliance programmes, and supporting compliance certification. - Demonstrate leadership by becoming an active participant in Collective Action - by establishing Collective Action as the go-to approach for engaging with the private sector, by implementing integrity tools in public procurement, and by fostering compliance in state-owned enterprises. Each point is supported with examples of such actions around the world. Many of the examples were provided by a core group of members from the Network of Corruption Prevention Authorities (NCPA), who worked together with the Basel Institute on Governance to develop this guidance. The Basel Institute’s participation in developing these guidelines is funded by the Siemens Integrity Initiative. The guidance will be updated on a regular basis to continue the discussion around government and private-sector engagement on issues of corruption. This document is freely shareable under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Please credit the Basel Institute on Governance and Network of Corruption Prevention Authorities (NCPA).
Siemens AG Siemens Integrity Initiative Annual Report 2021 Collective Action This Siemens Integrity Initiative Annual Report 2021 gives an overview of Collective Action activities at Siemens. As of March 2, 2022, the Siemens Integrity Initiative has committed around USD 120 million to 85 projects in more than 50 countries. This report contains details of the Collective Action Initiatives selected in the Third Funding Round as well as the new Golden Stretch Round.
Case study, Report CIPE Europe & Eurasia and CIPE Center for Accountable Investment Doing Business With Integrity: Stories from SMEs in Europe and Eurasia Collective Action Business ethics, integrity, and compliance are often relatively new concepts for businesses in emerging markets, most of which are small and medium-sized enterprises (SMEs). To help SMEs realize the benefits of business integrity and offer practical suggestions to implement robust mechanisms for compliance and ethics, the Center for International Private Enterprise (CIPE) published the *Strengthening Ethical Conduct & Business Integrity: A Guide for Companies in Emerging Markets* in December 2020. The Guide offers practical recommendations to small business owners on how to apply existing anti-corruption compliance tools to their operations and growing needs for effective risk mitigation strategies and approaches. This new publication *Doing Business with Integrity: Stories from Small-and Medium-Sized Enterprises in Europe and Eurasia *seeks to supplement the Guide by providing specific, real-world examples of both business integrity challenges that companies face and approaches they use to overcome such challenges.
Case study Global Compact Network Brazil Guia de Boas Práticas Anticorrupção da Agroindústria Collective Action Drawing upon good practices identified in anti-corruption Collective Action initiatives in Brazil, this Guide serves as a compass to guide agribusinesses and other sectors that are interested in promoting ethics and transparency in their daily business practices.
Book Concurrences in collaboration with the International Chamber of Commerce Is Collective Action against corruption a competition risk for companies? - from Perspectives on Antitrust Compliance Collective Action This chapter (26) of Perspectives on Antitrust Compliance covers the scope and purpose of anti-corruption Collective Action and explains why Collective Action and peer collaboration are important in tackling corruption. It then gives practical advice on how to overcome concerns and avoid antitrust risks, including many examples from initiatives around the world. Edited by Anne Riley, Andreas Stephan and Anny Tubbs, the book as a whole focuses on debates surrounding the function and design of antitrust compliance programmes. Its starting point is that increasingly, antitrust compliance is seen by companies not as a standalone topic, but as part of a suite of compliance efforts needed by companies to ensure that they comply with societal and shareholder expectations.
Guidelines Transparency International Integrity pacts in the EU: Suitability, set up, and implementation Collective Action, Integrity Pacts Transparency International's practical guide to civic monitoring of public contracting projects emerges from the Integrity Pacts – Civil Control Mechanism for Safeguarding EU Funds project. Under this project, between 2015 and 2021, 15 civil society organisations monitored 46 public contracting procedures in the EU. The goal was to understand how to systematically embed integrity pacts into the monitoring of EU-funded contracts. This guidebook is designed to support advocates and implementers in advocating for, setting up and implementing integrity pacts. It covers three broad areas: - Achieving broader recognition and adoption across the EU - Designing fit-for-purpose integrity pacts - Ensuring effective monitoring
Guidelines Natural Resource Governance Institute Anticorruption Guidance for Partners of State-Owned Enterprises Collective Action Drawing on broad stakeholder consultations, corruption case analysis and reviews of existing best practices, this guidance proposes concrete measures that companies should adopt to reduce corruption risks in their work with state-owned enterprises (SOEs) in the oil, gas and mining industries. It also recommends measures SOEs can take to strengthen their anticorruption safeguards. The guidance for private-sector companies has five parts: - Conducting due diligence on SOEs - Avoiding high-risk agents - Responding to political exposure - Safeguarding payments - Protecting joint ventures from corruption The final section identifies corresponding recommendations for SOEs in each of these five areas. By adopting stronger safeguards against corruption, international companies and SOEs can avoid costly scandals that hamper their performance and damage their reputations. These reforms would also help protect the interests of resource-producing countries. Past cases clearly show the kinds of economic, social and political damage corruption can cause. The Natural Resource Governance Institute developed this industry-tailored guidance with a multi-stakeholder approach including affected companies, civil society and others. The Basel Institute was pleased to contribute to the process through its Collective Action team.
Article Basel Institute on Governance Papering over cracks or building stronger systems together? Financial crime in the context of covid-19 Asset Recovery, Collective Action, Green Corruption, Public Finance Management, Public Governance This article is the Basel Institute’s contribution to the Global Forum on Law, Justice and Development Review of Legal Experiences and Global Practices Relating to COVID-19, published in December 2021. The Global Forum is an initiative of The World Bank. The contribution was submitted in July 2020; the version below contains minor updates to hyperlinks. It explores how covid-19 has exposed cracks and flaws in the systems designed to protect communities from corruption and has accelerated existing trends in financial crime. The next systemic disruption may come from another pandemic, climate change or perhaps biological or cyber attacks. Whatever the future holds, it is clear that financial crime systems must become more resilient if they are to protect us. The article notes that the world has an opportunity to reflect meaningfully on the problems and build stronger, more efficient and effective systems against financial crime. It covers three areas: - Technology, and how technology upgrades in law enforcement and criminal justice proceedings are necessary but not sufficient - Streamlining and speeding up procedures in cases of financial crime, such as mutual legal assistance - Citizen engagement in the fight against financial crime, including mobilising citizens by using recovered proceeds of corruption and crime to fund essential healthcare services.
Guidelines CDC Group (British International Investment) Policy on Responsible Investing 2022 – CDC Group (British International Investment) Collective Action The Policy on Responsible Investing of British International Investment (CDC Group until April 2022) supports the impact investor's dual mandate to "deliver responsible and sustainable development impact and to make sustainable financial returns". It notably encourages the use of Collective Action as a way to go beyond compliance in tackling business integrity (BI) risks. Page 30 reads: *"Effective approaches to BI risk management should improve governance and transparency in decision-making, build trust with employees and business partners and deliver other benefits that enable sustainable growth. The most successful approaches are ones where employees can share concerns about BI free from retaliation and where companies are honest in acknowledging the risks they face, and seek to effect wider market change by tackling systemic BI risks like corruption through engagement in collective action initiatives."* The policy also emphasises the role of Collective Action approaches to address other global challenges beyond corruption, noting the *"role that companies can play in enabling collective and collaborative action to address climate change".* The policy comes into effect on 1 April 2022, when it replaces the CDC Group's previous Code of Responsible Investing. The CDC Group's rebranding as British International Investment takes place at the same time.
Policy brief Basel Institute on Governance Policy Brief 8: It takes a network to defeat a network – What Collective Action practitioners can learn from research into corrupt networks Collective Action, Public Governance This Policy Brief distils recommendations for Collective Action practitioners based on empirical insights on certain forms of corruption involving private-sector actors. Field research carried out in Tanzania and Uganda produced detailed case studies that show how informal networks link private and public sector actors to pursue common illicit goals, such as gaining an unfair business advantage, avoiding a sanction, decreasing taxes owed or jumping the queue at the point of delivery of public services. Corruption, most often bribery, is the currency that works to cement and nurture those networks. This Policy Brief is based on that research and a series of in-depth interviews with Collective Action practitioners working in Africa, Eastern Europe and Latin America. The goal is to extract insights from what we have learned about the networks that fuel corruption and discuss implications for anti-corruption Collective Action initiatives. ## About this Policy Brief This publication is part of the Basel Institute on Governance Policy Brief series, ISSN 2624-9669. It is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Suggested citation: Baez Camargo, C., Costa, Hans,V., J., Koechlin, L. and Wannenwetsch, S. (2021) *It takes a network to defeat a network: What Collective Action practitioners can learn from research into corrupt networks*. Policy Brief 8, Basel Institute on Governance. The research underpinning this Policy Brief was funded by the Global Integrity Anti-Corruption Evidence Programme, funded with UK Aid from the British people.
Report B20 Italy B20 Italy Integrity and Compliance Policy Paper 2021 Collective Action, Compliance This policy paper outlines three general recommendations for the G20 provided by the B20 Integrity and Compliance Taskforce under the B21 Italy 2021 process. The Basel Institute on Governance was proud to serve as Network Partner to the B20 Integrity and Compliance Taskforce through its Collective Action team. As well as wholeheartedly supporting the final Policy Paper, the Basel Institute is delighted that anti-corruption Collective Action is strongly endorsed throughout the recommendations, which cover: - Responsible conduct through the procurement cycle - Sustainable governance in business - Cooperative compliance models and rewarding systems - Beneficial ownership transparency
Guidelines Organisation for Economic Co-operation and Development (OECD) Recommendation of the Council for OECD Further Combating Bribery of Foreign Public Officials in International Business Transactions (2021 Anti-Bribery Recommendation) Collective Action The revised Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions ("2021 Anti-Bribery Recommendation") seeks to address challenges, good practices and cross-cutting issues that have emerged in the global anti-corruption landscape since 2009. It updates the 2009 revised Recommendation, which in turn updated the 1997 Revised Recommendation of the Council on Bribery in International Business Transactions. The 2021 Anti-Bribery Recommendation was adopted on 26 November 2021 on the proposal of the OECD's Working Group on Bribery in International Business Transactions. Among the new sections and recommended practices that have been added are three endorsements of anti-corruption Collective Action, including recommendations that member countries consider using Collective Action approaches to: - support awareness-raising in the private sector (IV.ii) - address the demand side of bribery (IX.iv) The document also recommends that business organisations and professional associations consider "promoting Collective Action" where appropriate, as part of providing advice on resisting exhortation and solicitation (B.4). Citation: OECD, *Recommendation of the Council for Further Combating Bribery of Foreign Public Officials in International Business Transactions*, OECD/LEGAL/0378.
Basel Institute on Governance United Nations Global Compact: Communication on Engagement 2021 Collective Action Our fourth Communication on Engagement to the United Nations Global Compact details our support over the last two years for the UN Global Compact and its results. Non-business participants, including the Basel Institute, submit the CoE every two years. Prepared by our Collective Action team, our 2021 submission is available on the UN Global Compact website here and copied below.
Report Institute of Employers (IOE), Business at OECD (BIAC), BusinessEurope Input for the Roadmap for the next decade - Building blocks for realizing UNGPs implementation toward 2030 Collective Action, Human rights The International Organisation of Employers (IOE), Business at OECD (BIAC) and BusinessEurope, their member federations and the tens of millions of companies they represent have been deeply engaged in the promotion and implementation of the UN Guiding Principles on Business and Human Rights. The tenth anniversary of the UN Guiding Principles this year is an important moment for stocktaking and re-focusing efforts to strengthening their uptake. The IOE, Business at OECD (BIAC) and BusinessEurope welcome the initiative to draft a roadmap for the better implementation of the UN Guiding Principles. The IOE has supported this project by the UN Working Group on Business and Human Rights through regional and global consultations, surveys, and research as well as the flagship report “#UNGPsPlus10- Achievements, challenges, and the way forward in the uptake and implementation of the UN Guiding Principles on Business and Human Rights”, which was launched in February 2021. Based on their strong business and human rights engagement, IOE, Business at OECD (BIAC) and BusinessEurope reiterate that the UN Guiding Principles as the authorative global framework on business and human rights, created clarity of the rules and responsibility of all actors and resulted in much more focused approach in the promotion of business and human rights by particularly companies, but also investors, and international organisations and States.
Report The B Team; World Economic Forum Partnering Against Corruption Initiative B20 Integrity and Compliance Task Force – Key Reflections and Suggestions from Members Collective Action This two-page compilation of suggestions and recommendations was prepared by a group of B20 Integrity & Compliance Task Force members in 2021. The document aims to support the incoming G20 and B20 presidencies with some ideas and suggestions. Some of these are specific to the B20 Integrity & Compliance Task Force, while others may be applicable to other B20 Taskforces or the B20 more widely. The ultimate aim of the members is to contribute to a G20 and B20 that will continue to achieve strong engagement, effective processes, policy advances and significant impact at both global and country levels.
Report International Organisation of Employers (IoE), Konrad Adenauer Stiftung (KAS) Key developments in mandatory human rights due diligence and supply chain law: Considerations for employers Collective Action, Human rights, Compliance Human rights are a key concern for business. As the global voice of business, IOE is deeply engaged in the business and human rights agenda and strongly supports the UN Guiding Principles on Business and Human Rights (UNGPs). The UNGPs were endorsed by the UN Human Rights Council in its resolution 17/4 of 16 June 20111. They set out the existing obligations of States to respect, protect and fulfil human rights and fundamental freedoms; the role of business enterprises to comply with all applicable laws and to respect human rights; and the need for rights and obligations to be matched to appropriate and effective remedies when breached.2 The corporate responsibility to respect human rights applies to all business enterprises, regardless of their size, sector, location, ownership, and structure. The past few years have seen the emergence of several legislative developments related to the business and human rights agenda; most recently, in summer 2021, the German and the Norwegian parliaments adopted a new law on corporate due diligence in the supply chains. An important focus in the discussions on business and human rights is on mandatory human rights due diligence. This paper aims to support the meaningful engagement of the business community in these discussions, by clarifying what the UNGPs say on due diligence; setting out the recent legislative and judicial developments; enumerating the expectations and recommendations of stakeholders and the UN; and highlighting the critical points for business to know and consider.
Annual report Basel Institute on Governance Annual Report 2020 Asset Recovery, Collective Action, Compliance, Green Corruption, Public Finance Management, Public Governance Our Annual Report celebrates the achievements of our teams and partners around the world that we are most proud of in 2020. It also reveals some of the challenges we had to overcome, together. There are many of both, and a lot more stories and highlights in between. Our various accomplishments in 2020 would not have been possible without the continuous support and efforts from our numerous partners and donors, here and abroad. This is a chance for us to thank them warmly and to demonstrate our collective impact on the fight against corruption around the world.
Report Global Coalition to Fight Financial Crime (GCFFC) Beneficial ownership transparency – a GCFCC position paper Anti-Money Laundering, Asset Recovery, Collective Action This position paper by the Global Coalition to Fight Financial Crime (GCFFC) outlines a set of features that GCFFC members recommend jurisdictions should include in beneficial ownership disclosure regimes. The GCFFC, as part of its objectives to promote more effective information sharing between public and private entities, and to propose mechanisms to identify emerging threats and best practice approaches to more robust controls against money laundering, believes that all actors fighting financial crime should have instant access to high quality, highly usable beneficial ownership data. The GCFFC comprises different actors engaged in fighting financial crime: law enforcement agencies, obliged legal entities, civil society organisations. This position paper was collaboratively developed through the collective expertise of GCFCC members and is based on the Open Ownership principles for effective disclosure.
Siemens AG Siemens Integrity Initiative Annual Report 2020 Collective Action This Siemens Integrity Initiative Annual Report 2020 gives an overview of Collective Action activities at Siemens. As of March 2, 2021, around USD 98,5 million has been committed to 77 projects in more than 40 countries under the Siemens Integrity Initiative First, Second and Third Funding Rounds. This report contains details of the Collective Action Initiatives selected in the Siemens Integrity Initiative Third Funding Round and looks forward to the final phase of the initiative, the Golden Stretch Round.
Report United Nations UNGASS 2021 Political Declaration Collective Action This is the draft Political Declaration of the 2021 Special Session of the United Nations General Assembly Against Corruption, titled *Our common commitment to effectively addressing challenges and implementing measures to prevent and combat corruption and strengthen international cooperation.* Of note is item 13 under Preventive measures, which endorses Collective Action with the public and private sectors in the fight against corruption: *We will take measures to prevent corruption involving the private sector and set and communicate high standards regarding anti-corruption policies. We will encourage ethical behaviour, anti-corruption and anti-bribery compliance efforts, integrity, accountability and transparency measures in all enterprises. We will support and promote initiatives to ensure that private sector entities are well equipped to conduct business with integrity and transparency, particularly in their relations with the public sector, and in fair competition, and will encourage the private sector to take collective action in this regard, including through the establishment of public-private partnerships in the prevention of and fight against corruption. We commit to enforcing proportionate and dissuasive civil, administrative or criminal penalties for failure to comply with such measures, as appropriate.*
Guidelines, Report United Nations Global Compact Uniting against Corruption: A Playbook on Anti-Corruption Collective Action Collective Action Uniting against Corruption: A Playbook on Anti-Corruption Collective Action was developed as part of the UN Global Compact multi-year project Scaling up Anti-Corruption Collective Action within Global Compact Local Networks. With the six-step approach and deep dives on key roles throughout the Collective Action process, the Playbook enables readers to make a clear diagnosis of their local corruption landscape, identify and engage stakeholders and apply the Collective Action methodology to address identified corruption challenges and mitigate potential business risks. Ultimately this Playbook aims to mainstream the understanding and uptake of Collective Action among Global Compact Local Networks, businesses and other relevant stakeholders.
Guidelines, Report Transparency International Make It Count: Understanding the current and emerging trends in measuring the effectiveness of corporate approaches to anti-corruption Collective Action, Compliance This report by Transparency International explores why and how a company ought to measure the effectiveness of its approach to anti-corruption. The report analyses what is understood by “measuring effectiveness”, highlights practical considerations, and provides examples of metrics that are proving useful for companies. The Basel Institute's Collective Action team was pleased to contribute its hands-on experience in measuring the effectiveness of anti-corruption approaches within companies. This includes recent projects such as the Guidance Note co-created by a group of health care companies under the initiative of Norges Bank Investment Management.
Guidelines, Report Transparency International Safeguarding EU-funded investments with Integrity Pacts: a decision-maker’s guide to collaborative public contracting Collective Action, Integrity Pacts This concise brief sets out key considerations for European authorities interested in implementing Integrity Pacts to reduce the likelihood of corruption and fraud in public contracting, as well as improve contracting outcomes and public trust. The sections cover: - Benefits of Integrity Pacts - What an Integrity Pact entails - Getting started with an Integrity Pact Many of the considerations can also be applied to non-EU contexts. This publication has been developed in the framework of the project Integrity Pacts – Civil Control Mechanism for Safeguarding EU Funds, Phase 2 funded by the European Commission.
Flyer Basel Institute on Governance Flyer: B20 Collective Action Hub Collective Action A short flyer about the B20 Collective Action Hub, a resource and knowledge centre on anti-corruption Collective Action hosted by the Basel Institute on Governance since 2013.
Working paper Basel Institute on Governance Working Paper 34: Local certification through Collective Action: an innovative approach to anti-corruption compliance and due diligence Collective Action, Compliance How can local certification of small and mid-sized enterprises (SMEs) help to alleviate anti-corruption due diligence for SMEs as well as multinational corporations (MNC) seeking to work with them. This Working Paper by the Basel Institute's Collective Action team attempts to answer that question based on discussions and analysis of current local certification initiatives in different countries and sectors. *Local certification* in this context means the assessment of a company’s anti-corruption compliance standards according to a method devised through a Collective Action and developed within a domestic (local) market. The local component also involves verification (certification) by a reputable organisation based in the same country as the entity that is being certified. The paper explores: - Due diligence dilemmas faced by both SMEs and MNCs. - How local certification can help SMEs develop and demonstrate robust anti-corruption compliance procedures. - How a trusted certification programme can help alleviate due diligence on third parties by MNCs, using a risk-based approach. - Wider benefits, including raising standards of compliance across the board. - How a Collective Action approach boosts the potential of local certification to achieve these wins. - Special considerations and six practical recommendations for practitioners seeking to raise levels of anti-corruption compliance through a local certification scheme. ### About this Working Paper This paper is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650. The paper was funded by the KBA-NotaSys Integrity Fund of Koenig & Bauer Banknote Solutions. It is part of the Basel Institute’s local certification project, which aims to support innovative approaches to anti-corruption compliance and due diligence through Collective Action. . The views and opinions expressed in this report are those of the authors and do not reflect the position of the KBA NotaSys Integrity Fund, Koenig & Bauer Banknote Solutions, any affiliates or any persons acting on their behalf. This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Citation: Hans, V., Wannenwetsch, S. and Aiolfi, G. (2020). *Local certification through Collective Action: an innovative approach to anti-corruption compliance and due diligence*. Working Paper 34, Basel Institute on Governance.
Article, Commissioned study, Report Basel Institute on Governance The G20’s responsiveness to B20 anti-corruption recommendations 2010–2017. Part I: Baseline report Collective Action, HLRM, Integrity Pacts, Compliance How effectively does the Business 20 (B20) process channel recommendations on anti-corruption from the business community up to the Group of Twenty (G20) leaders? Are there ways to increase the uptake of B20 recommendations by the G20 Anti-Corruption Working Group (ACWG) and in the final Communiqué at the G20 Summit? This paper helps to answer the questions by analysing the responsiveness of the G20 leaders to the B20’s recommendations on anti-corruption from 2010 to 2017. The analysis uses three previous attempts to measure the impact of the B20 process on G20 outcomes, by the German and Russian presidencies and by the International Chamber of Commerce (ICC). ### About this report This report was funded by the Siemens Integrity Initiative, which supports organisations in the fight against corruption and fraud through Collective Action, education and training. The views and opinions expressed in this report are those of the author and do not reflect the position of Siemens or the Siemens Integrity Initiative.
Report Corruption Watch, ODI and the National Business Initiative Transparency in Corporate Reporting: South Africa 2020 Collective Action, Compliance This report examines the corporate governance practices of 100 corporations operating in South Africa. Its methodology and findings highlight the importance of active engagement in Collective Action as part of anti-corruption compliance programmes and reporting. The press release summarises the recommendations as follows: The report concludes that the fight against corruption cannot be waged within individual corporations alone, but must extend across a broad scope of organisations, within and outside the business sector. What is required is an all-encompassing collective action by the corporate sector, as well as its interaction and co-operation with other elements of society similarly engaged in fighting corruption – what could be defined as an “all of society” approach. There is a case to be made for collaboration on anti-corruption programmes with a range of other stakeholders, including NGOs, civil society organisations, academic or media organisations, and the public sector. The assessment covers whether or not companies engage actively in Collective Action, calling it a "crucial element" in corruption prevention alongside transparency, training, risk assessments and control systems.
Guidelines Norges Bank Investment Management Measuring effectiveness of anti-corruption programmes: Indicators for company reporting Collective Action, Compliance This guidance note contains a set of indicators that companies may wish to consider when reporting on the effectiveness of their anti-corruption efforts to external stakeholders. Such disclosures could also be useful to build trust with external stakeholders, mitigate reputational risk and identify best practices. It is focused on the health sector, which is especially vulnerable to compliance risks because of the complexity of its value chain and the size of the financial flows in the sector. The guidance note responds to the publication by Norges Bank Investment Management of expectations of companies on anti-corruption, which emphasise that companies should disclose how they measure the effectiveness of their anticorruption programmes. These expectations are based on internationally recognised principles such as the UN Global Compact and the OECD Guidelines for Multinational Enterprises. Themes of the guidance note cover: - Culture - Risk management - Third parties - Compliance function - Oversight The Collective Action team at the Basel Institute on Governance, under a mandate from Norges Bank Investment Management, facilitated the development of these indicators with a group of health care companies that provided input in writing and verbally during February – September 2020. Participating companies are: Alexion Pharmaceuticals Inc, AstraZeneca Plc, Bristol Myers Squibb Co, Eli Lilly and Co, GlaxoSmithKline Plc, Merck KGaA, Novartis AG and Novo Nordisk A/S.
Guidelines Center for International Private Enterprise (CIPE) Strengthening ethical conduct and business integrity: a guide for companies in emerging markets Collective Action This practical guide by CIPE’s Anti-Corruption & Governance Center is aimed at helping companies in emerging markets to understand and apply the basic principles and practices of global compliance standards. It contains real-world examples and practical recommendations for business leaders on compliance and business integrity, including codes of conduct. Step 8 focuses on how companies can strengthen their integrity and compliance by engaging in Collective Action.
Report B20 Saudi Arabia B20 Saudi Arabia Integrity and Compliance Policy Paper 2020 Collective Action, Compliance This policy paper outlines three general recommendations for the G20 provided by the B20 Integrity and Compliance Taskforce under the B20 Saudi Arabia 2020 process. The Basel Institute on Governance was proud to serve as Knowledge Partner to the B20 Integrity and Compliance Taskforce through its Collective Action team. As well as wholeheartedly supporting the final Policy Paper, the Basel Institute is delighted that anti-corruption Collective Action is included as the first recommendation in order to pursue a culture of high integrity in the public and private sectors.
Report Global Compact Network Colombia, Alliance for Integrity and UNODC Publicación de buenas prácticas en anticorrupción en Colombia Collective Action This publication, jointly published by the Global Compact Network Colombia, Alliance for Integrity and UNODC, presents 11 best practices that demonstrate the commitments of Colombian companies under the Global Compact to contribute to transparency and integrity in the country. The best practices are focused on different anti-corruption issues including reporting channels, culture of integrity, conflicts of interest and risk management. The success of the measures is designed to act as an example for other companies to join forces in attaining the Sustainable Development Goals and building a better country for all. The publication is in Spanish, ISBN: 978-958-52379-1-9
Report OECD Anti-corruption Reforms in Eastern Europe and Central Asia: Progress and Challenges, 2016-2019 Collective Action, HLRM Corruption remains high in the region of Eastern Europe and Central Asia. Governments have undertaken many reforms to tackle corruption. However, empirical data and perception surveys show a poor enforcement track record and that countries have not fully aligned their laws with the international standards. This report takes stock of the actions that countries in the region took to address corruption since 2016. It identifies progress achieved as well as remaining challenges that require further action by countries. The report summarises outcomes of the fourth round of Istanbul Anti-Corruption Action Plan monitoring that covered nine countries in the region: Armenia, Azerbaijan, Georgia, Kazakhstan, Kyrgyzstan, Mongolia, Tajikistan, Ukraine and Uzbekistan. The Istanbul Anti-Corruption Action Plan is an initiative of the OECD Anti-Corruption Network for Eastern Europe and Central Asia (ACN). The report analyses three broad areas of anti-corruption work, including anti-corruption policies and institutions, criminalisation of corruption and law-enforcement, and measures to prevent corruption in public administration and in the private sector. Examples of good practice from the OECD and other countries and comparative cross-country data help to illustrate the analysis. The report also reviews the role that the OECD/ACN played in supporting anticorruption efforts in the region.
Commissioned study, Report OECD Tackling Bribe Solicitation Using the High-Level Reporting Mechanism for Preventing Bribery Collective Action, HLRM This study by the OECD focuses on the ingredients for a successful High-Level Reporting Mechanism (HLRM) to tackle bribery solicitation and other reports of unfair business practices in public tenders. It covers the methodology and scope of HLRMs, explores its use cases and looks at case studies in Colombia, Argentina, Ukraine and Peru. It then covers 9 key ingredients to the successful implementation of a HLRM.
Report World Bank Group Enhancing Government Effectiveness and Transparency - The Fight Against Corruption Collective Action This compendium of case studies and country examples by the World Bank is intended as a reference guide to practitioners and civil society organizations working to shape their country’s approach to anti-corruption. It builds on the existing body of literature, the experiences of World Bank staff around the globe, and the initiatives undertaken in international fora. The report contains several endorsements of Collective Action between businesses, governments and civil society as a necessary approach to tackle corruption. The report's introduction stresses the need to look at *"individual instances of corrupt behavior as part of a broader system. In places where corruption is systemic, it is argued, trying to alter the behavior of individuals is challenging and slow, and it is best approached as a collective action problem."* The message that problems of corruption are problems that require Collective Action is repeated several times in different contexts. Page 157, for example, draws lessons from case studies in public service provision, concluding that: *"When the reforms specifically target corruption in a sector, they seem to work when there is a strong pro-reform coalition between the anti-corruption champions in the government and businesses or citizens. In order for businesses and citizens to be able to become agents of change, their collective action problem must be solved. To this end, an international network or body may help galvanize the effort."* Chapter 2 deals with public infrastructure and includes a case study of the Construction Transparency Initiative (CoST) approach to accountability in infrastructure projects in Thailand, Ukraine and Honduras. This complements a recent interview with the Chairman of CoST Malawi by the Basel Institute's Collective Action team. Case study 13 covers Collective Action for Reforms in Nigerian ports, analysing an important project of the Maritime Anti-Corruption Network (MACN) in collaboration with the Nigerian Convention on Business Integrity. *Citation: Myers,C. Bernard; Bajpai,Rajni. 2020. Enhancing Government Effectiveness and Transparency: The Fight Against Corruption (English). Washington, D.C.: World Bank Group. http://documents.worldbank.org/curated/en/235541600116631094/Enhancing-…*
Report Basel Institute on Governance Collective Action ideas, insights and inspiration – 2020 Integrity Partner workshop series Collective Action This report contains ideas, insights and inspiration on four key topics in anti-corruption Collective Action: - Engaging: How to engage stakeholders in new or expanding Collective Action initiatives - Building: How to develop a strong and successful initiative that achieves its goals in integrity, anti-corruption and compliance - Sustaining: How to ensure a Collective Action initiative is set up to survive and thrive - Measuring: How to evaluate the impact and effectiveness of Collective Action The report and related online resource results from the 2020 Integrity Partners workshop series, hosted by the Basel Institute on Governance in August 2020 with the support of the Siemens Integrity Initiative.
Flyer Basel Institute on Governance Flyer: Synergies in Anti-Corruption & Human Rights Compliance Collective Action, Human rights, Compliance This one-page flyer invites compliance officers and other company representatives to join a series of private-sector roundtables on identifying synergies in anti-corruption and human rights compliance. Companies invest significant resources in anti-corruption and human rights compliance programmes, often developing them separately within an organisation. We believe there are synergies between these areas that will contribute to the effectiveness and cost efficiencies of both programmes. Is your company interested in joining a roundtable with other companies to explore this topic? Download the flyer to find out or visit our dedicated Human Rights web page.
Guidelines, Report Business at OECD (BIAC); International Organisation of Employers (IOE) Connecting the anti-corruption and human rights agendas: A guide for business and employers’ organisations Collective Action, Human rights, Compliance This guide is a living document that aims to provide companies with ideas on how synergies between the human rights and corruption agendas could potentially be linked. Specifically, it aims: - To compare and analyse the anti-corruption and human rights agendas to help businesses and business/employers’ organizations understand the synergies and differences in standards, policies and approaches. - To contribute to emerging policy discussions that seek to broaden and deepen company action on anti-corruption and human rights, recognizing that there are linkages between the two fields. - To support those working on corruption risk and those working on human rights risk in companies with practical tips, strategies and business experiences on how they can learn from each other and join forces where suitable by proposing a number of practical questions for self-assessment. - To provide users of this guide with an overview of the vast array of resources that exist in the fields of anti-corruption and human rights. -
Book Edward Elgar Publishing Anti-Corruption Compliance: A Guide for Small and Mid-Sized Organizations Collective Action, Compliance Written by our Head of Compliance and Collective Action Gemma Aiolfi, this indispensable book offers step-by-step guidance to small and mid-sized companies and non-profit organizations in managing corruption risks in overseas markets. It covers how and why to build a culture of integrity, develop a risk-based anti-corruption compliance programme, and engage with other industry players in collective action against shared corruption challenges. The focus on culture, compliance and collective action helps resource-stretched companies to build a strong foundation for a healthy and flourishing organization, as well as contribute towards raising standards of integrity across their industry. Key features include: - Guidance for creating and contributing to collective action - Quick definitions, tips and practical tools such as checklists - A hands-on approach with an emphasis on culture and leadership - Case studies and real-life examples of both corruption risks and the importance of a strong compliance culture *Anti-Corruption Compliance* will be an invaluable resource for senior managers of small and mid-sized organizations in minimizing exposure to corruption risks in international markets. It will also prove useful to corporate lawyers and others involved with compliance functions in larger companies, as well as to academics and students of corporate law with an interest in anti-corruption and compliance. ISBN: 978 1 78990 531 1
Report World Economic Forum Global Future Council on Transparency and Anti-Corruption Agenda for Business Integrity: Collective Action Collective Action This paper by the World Economic Forum's Global Future Council on Transparency and Anti-Corruption is part of the Council's *Agenda for Business Integrity*, a forward-looking framework for business integrity which supports and aligns with broader work to globally reset and embed a revised purpose of business based on a stakeholder economy. The paper focuses on Pillar 4: Support collective action to increase scale and impact. It explores the value, power, rationale and opportunities of Collective Action in the fight against corruption. It sets out four broad categories of Collective Action: - Anti-corruption declarations - Standard-setting initiatives - Capacity building initiatives - Integrity Pacts It also highlights standout examples of Collective Action against corruption, including the Maritime Anti-Corruption Network, Alliance for Integrity, Extractive Industries Transparency Initiative and High Level Reporting Mechanism. The paper notes a current Basel Institute-led project, supported by the Siemens Integrity Initiative, to position Collective Action as a global compliance "norm" and capitalise on synergies between anti-corruption and human rights compliance and risk management.
Siemens Integrity Initiative Annual Report 2019 Collective Action This Siemens Integrity Initiative Annual Report 2019 gives an overview of Collective Action activities at Siemens, including the 77 projects supported by the Siemens Integrity Initiative around the world. It contains details of the Collective Action Initiatives selected in the Siemens Integrity Initiative Third Funding Round.
Report UN Human Rights Council UNHRC Working Group Report: Connecting the business and human rights and the anti-corruption agendas Collective Action, Human rights *Report of the Working Group on the issue of human rights and transnational corporations and other business enterprises* This report was prepared pursuant to United Nations Human Rights Council resolutions 17/4 and 35/7. It was presented at the forty-fourth session of the Human Rights Council on 15 June–3 July 2020 during agenda item 3: Promotion and protection of all human rights, civil, political, economic, social and cultural rights, including the right to development. In the report, the Working Group examines how the business and human rights agenda, articulated in the Guiding Principles on Business and Human Rights, and anti-corruption efforts, are interconnected. It examines the good practices that States, businesses and civil society can undertake to address corruption when it has negative impacts on human rights in the context of business-related activity, with a view to preventing such negative impacts and to ensuring access to remedy. It also demonstrates how measures driving responsible business practices in relation to business and human rights and anti-corruption efforts, can reinforce each other to ensure coherent policy. Section VII focuses on Collective Action, stating that "Future collective action projects could include an integrated objective of preventing corruption and business-related human rights abuses." This is something the Basel Institute is working on through its project on synergies in human rights and anti-corruption compliance.
Annual report Basel Institute on Governance Annual Report 2019 Asset Recovery, Collective Action, Compliance, Green Corruption, Public Finance Management, Public Governance Our Annual Report 2019 highlights our achievements in the past year, but also looks forward to the future. It is a chance to reflect on how corruption and governance are changing around the world and how we are adapting to new challenges. It is also a chance to thank, once again, our partners and donors for their unwavering support. Here is the foreword by Managing Director Gretta Fenner and President of the Board Mark Pieth. ### Corruption and poor governance: enemies of the people As we write this note for our annual report, the world has become a different place. A global pandemic is spreading fast, globalisation has come to a virtual standstill, and almost everything we took for granted is no longer a given. We have been warned. Not specifically about covid-19, but about the risk of a global pandemic. Yet in many countries we see that structures are not in place and warnings have been ignored for too long. As we are still grappling to understand what is happening, one cannot help but ask, whether governance systems have failed us. When essential services are deprived of funding because it does not fit the political agenda of those in charge, this points to distorted governance systems that fail to set the right priorities for the public good. And can we really disregard the role corruption has played in fuelling this crisis? No, we cannot. It is clear that public officials have received grease payments to turn a blind eye to illegal trade in endangered species and disregard sub-standard hygiene in markets from where the virus has seemingly spread. Fighting corruption and strengthening governance may not be at the top of most officials’ priority lists right now as they are busy trying to control the spread of the virus and keep mortality levels low. But when we take a step back and have more space to reflect on underlying causes, we will have a terrible re-awakening to the realisation that corruption and bad governance are devastating our world and our lives. That’s why at the Basel Institute, we see our mission of combating corruption and strengthening governance not as a cause in itself. Instead, we see it as our contribution to sustainable development, equitable growth, stability, respect for human rights and peace. Our team has worked hard again in 2019 to make inroads toward these overarching global goals. We are proud of our achievements, and acutely aware how our work interplays with the work of many others, be it in anti-corruption and governance or in other fields. This includes health, where corruption and weak governance compromise the achievement of better development outcomes. Our partnerships with governments, the private sector, other international organisations and civil society are critical. The covid-19 crisis has shown us like nothing else that we need to come together to go forward. We hope that the work we describe in our annual report inspires you. By now, when we write this foreword, we know only too well what topic will dominate the year 2020. We sincerely hope to make a contribution to fighting the root causes of this pandemic, so that we may come out of this tragic crisis not only with losses, but also with a new understanding of our global responsibilities, individually and collectively.
Flyer Basel Institute on Governance Flyer: Anti-Corruption Collective Action Collective Action A short flyer about the Basel Institute's Collective Action work, aimed at bringing together businesses and other stakeholders to: - raise standards of integrity across industries worldwide; - develop best practice self-regulatory standards within specific sectors; - solve systemic issues related to bribery and corruption; - level the playing field between competitors. Find out more about the Collective Action team at the Basel Institute and browse the resources on the B20 Collective Action Hub.
Guidelines Moscow Directorate of Transport Services / Compliance-Elements Partnership Industry Program for Development of Anti-Corruption Compliance and Business Ethics in Moscow Transport Organizations Collective Action, Compliance The Industry Program for Development of Anti-Corruption Compliance and Business Ethics in Moscow Transport Organizations is a fundamental document according to which the anti-corruption policy of both the entire Moscow transport industry and of specific organizations within its structure is implemented. The objective of the Industry Program is to effectively organize management and operational activities to combat corruption in the Moscow Transport organizations (MTOs) and MTO business partners by implementing anti-corruption compliance and business ethics, including using state-of-the-art digital technologies.
Flyer Basel Institute on Governance Flyer: Anti-Corruption Collective Action Collective Action A short flyer about the Basel Institute's Collective Action work, aimed at bringing together businesses and other stakeholders to: - raise standards of integrity across industries worldwide; - develop best practice self-regulatory standards within specific sectors; - solve systemic issues related to bribery and corruption; - level the playing field between competitors. Find out more about the Collective Action team at the Basel Institute and browse the resources on the B20 Collective Action Hub.
Report Basel Institute on Governance Here today and gone tomorrow? Integrity and anti-corruption in the private sector post covid-19 Collective Action, Compliance Governments are already contemplating life after lockdown and are keen to permit as many businesses as possible to resume operations, ramp up global trade once more, and to galvanise their economies as best they can - even as forecasts about global recession get bleaker by the day. As economic activity resumes, what will be the effects of the pandemic on the health and well-being of corporate integrity standards and anti-corruption compliance? What support will companies need or want in the post-covid economic reality? In this special analysis, Gemma Aiolfi offers her reflections on compliance in the post-covid world.
Report Basel Institute on Governance Mainstreaming Collective Action: Establishing a baseline Collective Action, HLRM, Integrity Pacts This paper sets out why and how Collective Action needs to become a global "norm" in the fight against corruption and an integral part of mainstream anti-corruption efforts. The idea is to ensure that Collective Action is considered in companies' compliance programmes as a risk mitigation tool to analyse and address persistent problems of corruption. The pathway to achieving this is to embed Collective Action as recommendation in international, national and business-relevant standards. The report: - Describes anti-corruption Collective Action. - Sets out what “mainstreaming” and “creating norms” mean in this context. - Presents detailed analysis on the current state of endorsements of anti-corruption Collective Action by relevant bodies, including a selection of national anti-corruption strategies in various countries. - Gives a brief description of the strategy to expand the take-up of Collective Action in such documents and standards.
Quick guide Basel Institute on Governance Quick guide 16: Gold laundering Anti-Money Laundering, Collective Action, Compliance Mark Pieth, President of the Board of the Basel Institute on Governance and author of the book *Gold Laundering*, offers an insight into the risks of human rights and environmental harms in gold supply chains. Where are the risks and responsibilities? Collective Action with gold refiners, suppliers and other stakeholders, he concludes, can help to clean up the industry. *This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License. It is part of the Basel Institute on Governance Quick Guide series, ISSN 2673-5229.*
Commissioned study, Report Basel Institute on Governance Collective Action against illegal wildlife trade: Engaging freight forwarders and logistics providers Collective Action, Green Corruption This report emerges from the Basel Institute's Green Corruption programme, a multi-disciplinary engagement that targets environmental degradation through tested anti-corruption, asset recovery and governance methods. It was funded by PMI Impact as part of a wider project on intelligence-led on financial crime in illegal wildlife trade (IWT). The freight forwarding and logistics industry has been identified by IWT specialists and transport companies as being a crucial but not yet fully engaged sector when it comes to addressing IWT. This report sets the industry in its wider context and explores how it is affected by the risks around IWT. Understanding the industry, and how the illicit trade affects companies and their risk management, will help to build a strong business case for companies to catalyse their efforts to prevent and combat IWT both individually and through Collective Action. The ultimate aim of the report is to create a baseline for greater dialogue between counter-IWT practitioners and industry representatives, and to help practitioners identify pathways to strengthen the engagement of this vital sector in the fight against IWT. The report is based on publicly available information. Section 3 explores the industry and current trends affecting its vulnerability to abuse by wildlife traffickers. It looks at the specific services and actors involved in the cross-border transportation of goods, the main exposure to corruption and criminal acts, and the role of Customs. Section 4 gives a picture of the global market for logistics services, identifying relevant players and setting out how the industry is distributed regionally and globally. Section 5 discusses the main legal, financial and security risks for logistics providers related to IWT. It also offers five recommended risk mitigation measures for companies exposed to these risks. Section 6 offers potential pathways for practitioners seeking to engage the industry in these collective efforts, taking advantage of the momentum of existing private sector-focused IWT forums. It also digs deeper into the business case for logistics providers to engage in Collective Action to address IWT.
Report BSR Human Rights and Anti-Corruption: Making the link more explicit Collective Action, Human rights, Compliance *Written inputs to inform the Human Rights Council* This note provides written inputs on question 4 and question 5 of the call for inputs published by the United Nations Human Rights Council Working Group on Business and Human Rights. It relates to the February 2020 multi-stakeholder consultation on connecting the business and human rights and anti-corruption agendas. It was submitted to the Working Group by BSR, a global nonprofit organization that works with its network of more than 250 member companies to build a just and sustainable world.
Institute of Business Ethics PaC Anti-Bribery and Anti-Money Laundering Bibliography Collective Action, Compliance Co-developed by the Professionals against Corruption, this bibliography of resources provides professionals in the legal, accounting and property sectors with a repository of knowledge and guidance on issues of integrity, including money laundering and related issues. The bibliography combines academic articles and legislation with guidance from professional bodies, NGO publications, media coverage and case studies.
Working paper Basel Institute on Governance Working Paper 32: Private-sector engagement in the fight against illegal wildlife trade Collective Action, Green Corruption This working paper explores efforts by and with private-sector organisations to combat the multibillion-dollar illegal wildlife trade (IWT) and/or strengthen their resistance to IWT risks, with a focus on the East Africa – Southeast Asia trading chain. ### Executive summary There is widespread and growing awareness of the need for greater involvement of the private sector in efforts to prevent IWT. The transport and financial industries are the most clearly affected: the illegal products are usually trafficked via commercial land, sea and air transport services, and financial transactions take place via regulated financial services providers and the global banking system. For their part, companies are starting to perceive of IWT not just as a conservation issue, and therefore confined to corporate social responsibility departments, but in terms of the risks this illegal trade presents to their business. These risks are tightly intertwined with other risks, particularly corruption and security. Current multi-stakeholder initiatives aimed specifically at tackling industry-specific IWT risks show great promise to create a virtuous circle of engagement and action, but are still in their infant stages. Challenges include getting all relevant stakeholders around the table and building a strong business case for engagement that takes into account companies' specific risks and needs. At the moment, key industry sectors remain unrepresented and will therefore act as a weak link that wildlife traffickers can exploit. Companies' levels of engagement in multi-stakeholder initiatives vary wildly and most are still unclear as to which departments and job functions are the most relevant in this sphere. Action is often ad-hoc and driven by individual "champions", and funding is neither adequate nor sustainable. Lastly, there is clearly difficulty in moving from commitment to action, in other words for companies to not only sign commitments on paper but operationalise them. Clearer monitoring and evaluation mechanisms would help to increase accountability in this regard. A basic but major identified need is for more reliable, targeted and actionable information and intelligence on IWT, to enable companies to take informed internal measures, co-develop industry guidelines and effect real systems change. This can best be achieved through mechanisms that allow all stakeholders to pool information and resources in pursuit of their common goals. These challenges echo some of the challenges addressed over the years by Collective Action initiatives focused on tackling shared corruption challenges. This similarity, as well as the strong links between corruption and IWT, means that practitioners can benefit from lessons learned from anti-corruption Collective Action initiatives and do not need to reinvent the wheel. ### About this Working Paper This paper is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650.
Quick guide Basel Institute on Governance Quick Guide 13: Financial crime in illegal wildlife trade Asset Recovery, Collective Action, Green Corruption, Public Governance Every day, an unknown number of elephant tusks, rhino horn, pangolin scales and other wildlife products – alive and dead – cross the oceans in container ships and cargo flights for use in traditional medicine, crafts and the illegal pet trade. Rare trees are felled in ancient forests and shipped out under false certificates. They leave behind the butchered carcasses of the last remaining animals of many species, scarred and emptied landscapes, legal livelihoods undermined by corruption and criminal activity, and communities ravaged by organised crime networks. The Basel Institute is contributing to tackling illegal wildlife trade and its negative impacts on communities, economies and biodiversity from the angle of financial crime. This quick guide by our Managing Director Gretta Fenner gives an insight into our approach and how our various areas of expertise fit together to help solve this complex puzzle. ### About this Quick Guide This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License. It is part of the Basel Institute on Governance Quick Guide series, ISSN 2673-5229.
Guidelines G20 G20 Compendium of Good Practices for Promoting Integrity and Transparency in Infrastructure Development Collective Action, Integrity Pacts Quality infrastructure supports sustainable growth, improves well-being and generates jobs. Recognising this, quality infrastructure is both an explicit goal and enabler of the 2030 sustainable development agenda. However, solely focussing on increased financing is not sufficient. Better governance of infrastructure projects is key to increase both the volume and quality of infrastructure investments by addressing governance shortcomings that can cause delays, raise costs and debts for governments and private investors, hamper fair competition and undermine the quality of the infrastructure project ultimately undermining economic and social progress (OECD, 2017). Integrity and transparency are crucial for countering corruption effectively and the delivery of quality infrastructure. Consequently, this Compendium does not look at secondary consequences of corruption in infrastructure, but focuses on transparency and integrity in the infrastructure cycle.
Quick guide Basel Institute on Governance Quick Guide 3: Integrity and anti-corruption compliance for SMEs Collective Action, Compliance Gemma Aiolfi, Head of Compliance and Collective Action, explains that anti-corruption compliance doesn’t have to be complicated. Even small and mid-sized companies can easily build the basics of an effective anti-corruption compliance programme. Find out five simple things a business leader can do to raise integrity in an organisation. ### About this Quick Guide This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License. It is part of the Basel Institute on Governance Quick Guide series, ISSN 2673-5229.
Commissioned study, Report Development International e.V. / Konung International It Takes a Community: Collective Action Initiatives Confronting Corruption and Forced Labour Collective Action This report presents the findings of a study regarding the types of Collective Action Initiatives (CAIs) that have formed around anti-slavery and anti-corruption that operate in 15 particular countries, and further focuses on characteristics identified both in terms of what makes initiatives effective. The study was funded by the UK Department for International Development. ### Summary of findings The prevalence and growth of CAIs targeting corruption and modern-day slavery is apparent. This study identified 98 CAIs spread across 15 countries. Each of the featured countries is host to civil society organizations working on these issues, and while some host few collective action initiatives, others host many. While India unsurprisingly has the most CAIs with 13, smaller countries such as Nepal (8) and Ghana (10) also boast a relatively high number of initiatives. Our survey reveals a thriving network of anti-corruption CAIs (68 in total), with a growing number of CAIs focused on combating forced labour (30 in total). Some countries such as South Africa, India, and Nepal host a vibrant network of CAIs across both sectors, while other countries such as Nigeria and Mozambique display a much higher existence of anti-corruption CAIs. Forward action then should focus on continuing to align existing institutions with corporate entities in a manner which focuses on the success factors. One of the strongest factors, as indicated by multiple groups surveyed, begins with coalescing collective action around existing corporate compliance problem areas, sharing data, and establishing an agreed upon compliance framework from which to jumpstart advocacy initiatives. The list of NGO and NGO-governmental coalitions is often long, yet in many cases lacks support from the private sector. The prerequisite condition of institutional success and enduring nature of these initiatives is corporate buy-in and support.
Siemens Integrity Initiative Annual Report 2018 Collective Action This Siemens Integrity Initiative Annual Report 2018 gives an overview of Collective Action activities at Siemens in general as well as activities as part of the USD 100 million Siemens Integrity Initiative in particular. It contains details of the Collective Action Initiatives selected in the Siemens Integrity Initiative Second Funding Round: - Implementing integrity practices in GCC private and public businesses - Promoting Collective Action through UN Global Compact Local Networks project - Project for the UN Global Compact and PRME: Sensitizing Future Business Leaders: Developing Anti-Corruption Guidelines for Curriculum Change - Towards a culture of anti-corruption compliance in Argentina: reorientation of incentives through Collective Action - Enhancing Business Integrity in the MENA Region - Sustainable Procurement - Protecting the Green Sector Market from Corruption and Fraud - Anti-Corruption and Integrity in the Arab Countries (ACIAC) - Outreach and Communication Program for the United Nations Convention Against Corruption (UNCAC) - The 6 P's: Public-Private Partnership for Probity in Public Procurement - Collective Action for fighting corruption in Mozambique - Collective Action initiative for fighting corruption in Gauteng Province - Center of Excellence for Strengthening Transparency and Ethics in Business: Scaling Up the Collective Action agenda in India - Center for Business Ethics (CBE) - Promotion and Adoption of Responsible Business Practices in India - Conference Vetting System - Developing a corporate anti-corruption ecosystem in Egypt - Fair Player Club - Business Integrity in Morocco: Creating an alliance between private sector and government - OECD Russia Corporate Governance Roundtable - African Lawyers Initiative on compliance in business relations - MedKompas Poland II - Collective Action for Clean Business - Implementing and evaluating corporate integrity policies in the Spanish private sector: A holistic approach - Healthcare Integrity Action - Tax and Good Governance Project - Anti-Corruption and Integrity in the Arab Countries - Phase II - Iraq and Libya - Professorship on Collective Action, compliance and (private sector) anti-corruption & grants for IACA participants from Least Developed Countries and Emerging Markets - Strengthen compliance capacity building of all market participants in China
Newsletter International Centre for Collective Action Collective Action – round-up of the year Collective Action *Introduction by Gemma Aiolfi, Head of Collective Action, Compliance and Corporate Governance at the Basel Institute on Governance:* Things are looking positive for anti-corruption Collective Action in 2019. The High Level Reporting Mechanism's expansion in Colombia and Argentina demonstrates a growing commitment among some governments to working with the private sector to increase transparency and prevent corruption. At the other end of the scale, initiatives to support SMEs in doing business with integrity are also growing. Our recent mandate from the UK government to provide guidance to SMEs on anti-corruption Collective Action, compliance and bribery prevention is one example. Our inspiration remains your hard work and your brilliant initiatives around the world. We had the pleasure and privilege to hear about some of these at our Collective Action Conference in November in Basel. For a reminder of that event, do check out the videos below. They're short and fun and feature well-known figures in our field. Keep in touch and let us know what exciting things you're doing via Twitter (@fightbribery).
Report Basel Institute on Governance Collective Action Conference 2018: Evolution to Revolution – Conference Highlights Collective Action There was not quite a revolution in Basel on 14–15 November 2018, but there was plenty of lively discussion during the panel sessions and on the margins of the Basel Institute's 3rd International Collective Action Conference. Over 200 participants from 40 countries across five continents were present, including representatives from 95 businesses of all shapes and sizes, government and public sector officials, key members of international organisations and financial institutions, lawyers and law enforcement experts, academics and civil society activists. All came together to share their wide-ranging experience in using Collective Action to tackle corruption and prevent bribery. These conference highlights give a brief insight into the varied and interesting presentations and panels. If you have any comments or would like more information, please feel free to contact the Collective Action team.
Report, Working paper Basel Institute on Governance Working Paper 27: Anti-corruption Collective Action: Success factors, sustainability and strategies Collective Action Anti-corruption Collective Action Initiatives (CAIs) are structured efforts that bring together private sector actors with other stakeholders with the aim of preventing corruption and improving the business environment in a particular context. The landscape of CAIs is extremely diverse. Differences cut across the type and number of stakeholders involved. Initiatives can be sector-specific or cross-sectoral. They can be applied at the community, country, regional or global level. This paper is based on two recent workshops in which a wide variety of international Collective Action practitioners shared their experiences, success factors and strategies for overcoming common challenges. For more information about Collective Action, see the B20 Collective Action Hub. ### About this Working Paper This paper is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650.
Report Inter-American Development Bank Report of the Expert Advisory Group on Anti-Corruption, Transparency, and Integrity in Latin America and the Caribbean Collective Action, Public Governance Recent corruption scandals have shown the negative effects that corruption may have in countries around the world, including those of the Latin American and Caribbean region. The Inter-American Development Bank has therefore convened an independent group of experts composed by eight governance and anti-corruption scholars and practitioners to identify innovative and effective approaches to combat corruption in the region. Drawing on the members’ decades of experience, this report analyzes the key features of corruption in the region and proposes an ambitious agenda toward more systemic transformation. The report targets a series of measures aimed at strengthening the rule of law and public institutions, addressing state capture, and helping to meet citizens’ aspirations for sustainable and inclusive development. Hence, the report recommends a multi-layered approach that requires collective action by governments, the private sector, civil society, and international institutions to tackle the roots of corruption and capture through global, regional, and domestic initiatives.
Report Basel Institute on Governance Roundtable on the pilot High Level Reporting Mechanism in Argentina Collective Action, HLRM The Basel Institute on Governance and the Centre for Anti-Corruption Studies (CEA) of the University of San Andrés, Argentina convened a private-sector roundtable in Buenos Aires on 4 October 2018. The purpose was to hear feedback and exchange on the recent implementation of the pilot High Level Reporting Mechanism (HLRM), in the tender carried out by the Argentine National Roads Authority within the framework of the Secure Roads and Routes Network Project using the new Public-Private Participation (PPP) legal framework adopted by the Argentine Republic.
Article The Global Anticorruption Blog Integrity Pacts: A Contractual Approach to Facilitate Civic Monitoring of Public Procurement Collective Action, Integrity Pacts Public procurement is one of the highest risk areas for corruption. A public project contaminated with corruption is a recipe for disaster: ordinary citizens suffer from substandard facilities and services; competitive companies lose out when the bidding is rigged; and government money vanishes without making a difference. To rein in procurement corruption in, improving transparency and civic monitoring is vital. That’s why an “integrity pact” (IP)—a legally-binding contractual provision that commits all parties to comply with anticorruption best practices from the time the tender is designed to the completion of the project—can be such a useful tool....
Working paper Basel Institute on Governance Working Paper 25: High Level Reporting Mechanisms: A comparative analysis Collective Action, HLRM This report discusses the different contexts and processes through which a High Level Reporting Mechanism (HLRM) has been designed and implemented in Colombia, Ukraine, Panama and Argentina, as well as initial interest in the HLRM model in Peru. Its aim is to understand the specificities of each case and draw lessons applicable to future projects in other countries, whilst respecting the commitment to develop an HLRM that takes account of the specific country’s context. ### About this Working Paper This paper is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650.
Report MACN Nigeria Collective Action: MACN Impact Report Collective Action Nigeria is one of the most challenging countries to do business in as requests for cash and in-kind payments are very common. Many government agencies frequently make corrupt demands during port calls related to alleged irregularities of documentation (e.g. yellow fever certificates, crew contracts) or operations (e.g. ballast water discharge documentation, onboard practice in general). When practices are challenged, threats of heavy delays are common. One of the main challenges faced by shipping companies is the officials’ wide individual discretionary powers. This leads to unpredictable interpretation of laws, making it difficult to prepare for port calls and governmental actions.
Report Egyptian Junior Business Association Integrity Network Initiative Implementing Collective Action Initiatives against Corruption in the Middle East & Africa Collective Action Corruption is a multi-faceted problem, damaging societies and economies by reducing investment, reducing the quality of goods and services, increasing inequality, and preventing sustainable and fair development. But it also has damaging effects on business as it imposes added transaction costs, increases risk, makes business transactions less reliable and undermines fair competition and productivity. Specifically in the Middle East and Africa (MEA) region corruption has been repeatedly identified as a key obstacle to economic development, has eroded trust in institutions, and is considered a key impediment to doing business. It is not surprising then, that tackling corruption has been at the forefront of the debate for many years and on the agenda of many policy makers, researchers, civil society organizations, and private sector stakeholders in the region. Due to the complexity of the issue of corruption and due to its damaging effects on such a diverse set of stakeholders, Collective Action seems like a uniquely appropriate approach to meet this challenge, as it brings together likeminded stakeholders in an alliance that represents diverse interests and combines different capacities of involved stakeholders. Recent years have seen a multitude of Collective Action Initiatives (CAI) being established in the Middle East & Africa Region and there is still much that can be learned regarding its practical successes and failures, as well as its impact “on the ground”. To understand what makes Collective Action efforts succeed or fail in the region and to discuss ways to scale up and improve the long-term effectiveness of initiatives in the region, the Integrity Network Initiative invited regional practitioners and international experts to the workshop “Collective Action to Counter Corruption and Foster Integrity – Regional Clinic Middle East and Africa” on the 7th and 8th of February 2018 in Aswan, Egypt. This publication sketches out the main outcomes from the comprehensive discussions.
Report K4D Helpdesk Due diligence services provided by selected governments Collective Action This report, which was prepared for the Knowledge, Evidence and Learning for Development (K4D) Helpdesk service of the UK Department for International Development (DFID), answers the following questions: - What due diligence services do governments in the USA, Netherlands, Switzerland and Germany offer to companies? - How do they work? - What is the impact on enhancing business integrity? ### Overview This report explores the due diligence services provided to companies by governments in Germany, the Netherlands, Switzerland and the US. Of these countries, only the US government provides due diligence services. The US Department of Commerce, through its network of export advice centres, provides due diligence services in the form of international company profiles for some countries for a fee. The Netherlands and Germany provide online self-service tools to help businesses undertake due diligence risk assessments. The Swiss government provides general advice to businesses but this assessment was unable to find any evidence of services or online tools to help Swiss firms to undertake due diligence. All members of the Organisation of Economic Co-operation and Development (OECD) (including Germany, the Netherlands, Switzerland and the US) signed the OECD Anti-bribery Convention and are obliged to report on the progress that they have made in terms of implementing the OECD guidelines on bribery and corruption (Bühr & Seitz, 2015). The content of these reports indicates that implementation is gauged in terms of the number of prosecutions as well as legislative amendments which facilitate the enforcement of the laws which prohibit bribery. Although the reports include a description of government efforts to raise awareness of the perils of bribery and corruption among the business sector, it is evident that helping firms undertake due diligence is not a priority for implementation.
Article Currency News Integrity Pacts to Prevent Corruption in Banknote Procurement Collective Action, Integrity Pacts The Banknotes Ethics Initiative (BnEI) is an anti-corruption collective action initiative founded in 2013. It addresses the internal compliance standards of its members combined with a rigorous accreditation process administered by an external accreditation council. The objectives of BnEI are also supported by 38 central banks, and now, some five years after its inception, the BnEI is picking up on one of its driving themes – ensuring fair competition in the procurement of banknotes.
Siemens Integrity Initiative Annual Report 2017 Collective Action This Siemens Integrity Initiative Annual Report 2016 gives an overview of Collective Action activities at Siemens in general as well as activities as part of the USD 100 million Siemens Integrity Initiative in particular. It contains details of the Collective Action Initiatives selected in the Siemens Integrity Initiative Second Funding Round: - Implementing integrity practices in GCC private and public businesses - Promoting Collective Action through UN Global Compact Local Networks project - Project for the UN Global Compact and PRME: Sensitizing Future Business Leaders: Developing Anti-Corruption Guidelines for Curriculum Change - Towards a culture of anti-corruption compliance in Argentina: reorientation of incentives through Collective Action - Enhancing Business Integrity in the MENA Region - Sustainable Procurement - Protecting the Green Sector Market from Corruption and Fraud - Anti-Corruption and Integrity in the Arab Countries (ACIAC) - Outreach and Communication Program for the United Nations Convention Against Corruption (UNCAC) - The 6 P's: Public-Private Partnership for Probity in Public Procurement - Collective Action for fighting corruption in Mozambique - Collective Action initiative for fighting corruption in Gauteng Province - Center of Excellence for Strengthening Transparency and Ethics in Business: Scaling Up the Collective Action agenda in India - Center for Business Ethics (CBE) - Promotion and Adoption of Responsible Business Practices in India - Conference Vetting System - Developing a corporate anti-corruption ecosystem in Egypt - Fair Player Club - Business Integrity in Morocco: Creating an alliance between private sector and government - OECD Russia Corporate Governance Roundtable - African Lawyers Initiative on compliance in business relations - MedKompas Poland II - Collective Action for Clean Business - Implementing and evaluating corporate integrity policies in the Spanish private sector: A holistic approach - Healthcare Integrity Action - Tax and Good Governance Project - Anti-Corruption and Integrity in the Arab Countries - Phase II - Iraq and Libya - Professorship on Collective Action, compliance and (private sector) anti-corruption & grants for IACA participants from Least Developed Countries and Emerging Markets - Strengthen compliance capacity building of all market participants in China
Article Aluminium International Today Business-driven Integrity in the Metals Technology Sector Collective Action The Metals Technology Integrity Initiative was formed in early 2013 at a time when the companies were facing an increasingly competitive environment as a result of the decline of the traditional steel producing markets in Europe, and a shift towards emerging markets including the Far East and Indian sub-continent. These new markets presented companies with increased legal and compliance risks, in particular with regard to bribery at a time when law enforcement was on the increase against companies headquartered in OECD countries. For example, the ten highest settlements under the US anti-corruption law (the Foreign Corrupt Practices Act), were all negotiated between 2007 and 2011. This article appeared in Aluminium International Today, March/April 2018.
Guidelines UN Global Compact Promoting Anti-Corruption Collective Action through Global Compact Local Networks Collective Action This guide helps businesses to learn more about the UN Global Compact Collection Action Project in partnership with five Global Compact Local Networks in Brazil, Japan, Kenya, Nigeria and Egypt. It also aims to help improve anti-corruption practices within their individual organizations and to engage other businesses, governments and civil society in anti-corruption Collective Action.
Guidelines Model Monitoring Agreement and Integrity Pact for Infrastructure: An implementation guide for civil society organisations Collective Action, Integrity Pacts The Integrity Pact was first introduced in the 1990s and since then has been applied across the world. A revival in 2015, including the implementation of a pilot project across 11 countries in the European Union, enabled a further update of the approach and for further lessons to emerge. These lessons include a better understanding of where the Pact might be applied to best effect as well as lessons on the internal workings of the Integrity Pact. It was on this basis that this guide was developed. This guide is for civil society organisations (CSOs) interested in monitoring infrastructure projects. It describes how they can create an effective process to monitor publicly-financed infrastructure projects of public interest by adapting a Model Monitoring Agreement and Model Integrity Pact for Infrastructure (together known as “Model Agreements”).
Transparency International Collective Action on business integrity: a practitioner's guide for civil society organisations Collective Action Collective Action on business integrity involves different stakeholder groups including civil society, government and business coming together to effect change, to create a business environment where corruption is no longer accepted and integrity prevails among all actors. This guide is for CSOs, such as Transparency International chapters, that are considering embarking on collective action initiatives for business integrity in partnership with public and business sector organisations in their local, national and global contexts.
Guidelines Global Compact Network Brazil Integrity in the construction sector Collective Action This booklet was developed by Global Compact Network Brazil in partnership with Ethos Institute and companies of the construction sector. The purpose is to provide examples of emblematic cases of the main situations that may expose companies of the construction sector to solicitations of corruption, and therefore propose good preventive practices and responses to such scenarios. The intent is to have a learning tool that contributes to combat corruption, improve the business environment, and propose a new standard of conduct for all companies in the market, including public-private relations. The publication was inspired by the “RESIST – Resist, Extortion and Solicitation in International Transactions” publication and explores the main threats, risks and regulatory issues construction companies may encounter throughout their operations in Brazil. It comprises hypothetical scenarios, as proposed by participating construction companies, and solutions for how they are able to address/overcome them. In addition, the introduction of the learning tool included a public statement from participating construction companies, recognizing their errors and reinforcing their commitment to improving compliance standards collectively and within their respective organizations.
Article Springer Netherlands Maximizing stakeholder trust as a tool for controlling corruption Collective Action Corruption, particularly bribery of government officials, inflicts substantial damage on people, society, and the world, and warrants control. Collective efforts to control corruption tend to focus on rules and compliance with those rules. This paper suggests that collective action also consider the creation of strong ethical cultures in business firms. Implementation of such programs is impeded by the difficulty in prescribing a course of action and by the difficulty in measuring the strength of an ethical culture. This paper suggests the measurement and maximization of stakeholder trust as a proxy for measures of ethical culture. The qualities that engender stakeholder trust correspond with ethical behaviors. Stakeholder trust confers benefits on business firms, which will incentivize and justify its measurement. Implementation of a program focused on ethical culture would benefit from collective action both by normalizing behaviors and in the development of sophisticated measurement tools.
Commissioned study Leadership Academy for Development, Stanford University Thailand's Collective Action Coalition Against Corruption Collective Action This case focuses on a private sector initiative to fight deep-seated corruption in Thailand. The Collective Action Coalition Against Corruption (CAC) was founded by a charismatic business scion in late 2010, but an untimely heart attack a few months later left CAC reeling. A new leader named Bandid Nijathaworn was suddenly responsible for delivering the rapid growth and good-faith commitments that his predecessor had envisioned. At the center of this case, Dr. Bandid and his team considered raising standards, reorienting recruitment, and more, but they had to move quickly for the Collective Action Coalition to live up to its promise.
Book Oxford University Press Confronting Corruption Collective Action Corruption undermines nearly all key legal and developmental priorities today, including the effective functioning of democratic institutions and honest elections; environmental protection; human rights and human security; international development programs; and fair competition for global trade and investment. This book chronicles the global anticorruption steps taken since the movement advanced after the end of the Cold War. It provides a realistic assessment of the present state of affairs by critically evaluating what existing anticorruption programs and treaties have accomplished and documenting their shortcomings, while developing an action agenda for the next decade. The authors argue that reformative action is imperative, and the forces of globalization and digital communication will level the playing field and erode the secrecy corruption requires. They define corruption, document its effects, discuss the initiatives that changed public perception, analyze the lessons learned, and then evaluate how to move forward with existing initiatives charting a new path with new, differentiated strategies.
Commissioned study, Working paper Basel Institute on Governance Working Paper 23: New perspectives in e-government and the prevention of corruption Collective Action, Compliance, Public Governance Does e-government have an impact in reducing corruption? Do e-government solutions sufficiently take private sector perspectives into account to maximise its potential for addressing corruption risks? This paper addresses these and additional questions about the dynamic between governments and the private sector with respect to harnessing e-governance tools for corruption prevention. It is written primarily from a private sector perspective and for private sector actors who are interested in a more comprehensive understanding of the scope and examples of e-government solutions to improve their anti-corruption policies, but concludes with numerous recommendations for the private sector and governments alike. ### About this Working Paper This paper is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650. The Basel Institute on Government was granted funding by GlaxoSmithKline (GSK). The work was undertaken between September 2016 and May 2017.
Article World Customs Organization Sweeping Away Corruption Through Collective Action Collective Action By the very nature of their activities, Customs administrations are vulnerable to various sorts of corruption – from the payment of a bribe to large-scale fraud. Since the adoption of the Arusha Declaration in 1993, which was later revised in 2003, the World Customs Organization (WCO) has developed several tools to help its Members identify or monitor corruption risks, implement relevant measures, and develop anti-corruption strategies. Moreover, the WCO also carries out various types of missions at the request of its Members, such as: - integrity assessment missions; - missions to provide guidance on the introduction of performance measurement systems; - ad-hoc missions to provide support in revising a code of conduct, an integrity strategy, a training plan or the mapping of corruption risks. In the dossier section of this 83rd edition of the WCO News magazine, published in June 2017, we have chosen to focus on the use of Collective Action to fight corruption, an expression which arose out of a concern to find an innovative approach to address integrity-related issues.
Article International Bar Association The value and importance of Collective Action Collective Action, Compliance Collective Action is becoming increasingly popular as a tool to help solve some of the more difficult and systemic aspects of bribery. It also plays an important role for peer companies keen to ensure a level playing field when acquiring new business. Lawyers can help their clients to identify, join or initiate new forms of Collective Action because the opportunities and scope are so broad and flexible. There is the potential therefore to find something suitable for all companies wherever they operate in the world. This article was published in the IBA Anti-Corruption Committee Anti-Corruption Law and Practice Report 2017.
Siemens Integrity Initiative Annual Report 2016 Collective Action This Siemens Integrity Initiative Annual Report 2016 gives an overview of Collective Action activities at Siemens in general as well as activities as part of the USD 100 million Siemens Integrity Initiative in particular. It contains highlights of some Collective Action Initiatives selected in the Siemens Integrity Initiative First Funding Round, as well as descriptions of those selected in the Second Funding Round. ### First Funding Round highlights - Capacitating African business networks to implement global anti-corruption initiatives and good practices - International Anti-Corruption Academy (IACA) - Clean games inside and outside of the stadium (World Cup 2014, Olympics 2016) - Maala’s Corporate Social Responsibility Collective Voluntary Anti-Corruption Standard Program - Fighting Corruption and Fraud through Collective Action, Education and Training (Towards a Transparent Economy) ### Second Funding Round - Implementing integrity practices in GCC private and public businesses - Promoting Collective Action through UN Global Compact Local Networks project - Project for the UN Global Compact and PRME: Sensitizing Future Business Leaders: Developing Anti-Corruption Guidelines for Curriculum Change - Towards a culture of anti-corruption compliance in Argentina: reorientation of incentives through Collective Action - Enhancing Business Integrity in the MENA Region - Sustainable Procurement - Protecting the Green Sector Market from Corruption and Fraud - Anti-Corruption and Integrity in the Arab Countries (ACIAC) - Outreach and Communication Program for the United Nations Convention Against Corruption (UNCAC) - The 6 P's: Public-Private Partnership for Probity in Public Procurement - Collective Action for fighting corruption in Mozambique - Collective Action initiative for fighting corruption in Gauteng Province - Center of Excellence for Strengthening Transparency and Ethics in Business: Scaling Up the Collective Action agenda in India - Center for Business Ethics (CBE) - Promotion and Adoption of Responsible Business Practices in India - Conference Vetting System - Developing a corporate anti-corruption ecosystem in Egypt - Fair Player Club - Business Integrity in Morocco: Creating an alliance between private sector and government - OECD Russia Corporate Governance Roundtable - African Lawyers Initiative on compliance in business relations - MedKompas Poland II - Collective Action for Clean Business - Implementing and evaluating corporate integrity policies in the Spanish private sector: A holistic approach - Healthcare Integrity Action - Tax and Good Governance Project - Anti-Corruption and Integrity in the Arab Countries - Phase II - Iraq and Libya - Professorship on Collective Action, compliance and (private sector) anti-corruption & grants for IACA participants from Least Developed Countries and Emerging Markets - Strengthen compliance capacity building of all market participants in China
Report OECD On Combating Corruption and Fostering Integrity Collective Action The OECD Secretary-General convened a High-Level Advisory Group on Anti-Corruption and Integrity on the occasion of the OECD Integrity Forum in March 2015. The Group, which is composed of independent experts from a variety of professional backgrounds in the anti-corruption field, was tasked with helping the OECD identify ways to strengthen its work on combating corruption and fostering integrity in the public and private spheres through a consultative role to the Secretary-General. This document reproduces a report prepared by the High-Level Advisory Group, which delivers recommendations on ways; the OECD can strengthen its work on combating bribery and promoting integrity. The Secretary-General formally received this report and its recommendations on 16 March 2017, during the 2017 OECD Global Anti-Corruption and Integrity Forum.
Article OECD, Basel Institute on Governance The High Level Reporting Mechanism (HLRM) – A tool to help prevent bribery and related practices Collective Action, HLRM This brief overview of the High Level Reporting Mechanism explains what the HLRM is and how it is designed to address bribery solicitation, suspicious behaviour and other similar concerns in public tenders. It includes a list of benefits of the HLRM plus short case studies from Ukraine and Colombia.
Article, Report CDA Collaborative Learning Collective Action Against Corruption in the Criminal Justice System Collective Action The criminal justice system (CJS) is the ballast to a nation’s stability. By enforcing the rule of law, the police, courts and corrections provide citizens with security. However, when the system becomes so riddled with corruption, what was meant to be a protector becomes a predator. In many fragile states, the CJS is just that – another threat to the average citizen and a resource that the wealthy and powerful use to maintain their position. This distortion of the CJS’s purpose occurs through the systematic use of extortion/bribery, sexual favors, political interference and favoritism or, typically, some combination of all four.
This innovative practice brief describes an experimental effort to combat these forces within the CJS of Lubumbashi, Democratic Republic of the Congo. It describes the two-year effort, explains the processes used for learning, highlights key results and offers lessons learned, as well as ongoing challenges.- Guidelines B20 Promoting Integrity by Creating Opportunities for Responsible Businesses Collective Action, Compliance Drawn up by the B20 Cross-Thematic Group on Responsible Business Conduct & Anti-Corruption, this policy paper sets out the following recommendations:
Recommendation 1: Establish Beneficial Ownership Transparency – G20 members should increase their efforts to implement beneficial ownership transparency so that risks related to the ultimate owner(s) can be identified.
Recommendation 2: Recognize Compliance Efforts – G20 members should be supportive of a company’s proactive engagement by providing positive recognition of effective anti-corruption and compliance systems.
Recommendation 3: Enhance Responsible Business Conduct in Infrastructure Projects – G20 members should increase transparency and accountability at all stages of the project cycle in order to mitigate the risk of corruption and increase efficiency.
Of particular note is Policy Action 3.3 of Recommendation 3: Support Collective Action
G20 members should promote Collective Action, that are initiatives between different businesses, and between businesses and the public sector, which foster integrity (such as Integrity Pacts and High Level Reporting Mechanisms). G20 should initiate a study that explores joint ways of fighting corruption and misconduct in infrastructure projects.
The fight against corruption is one area that benefits significantly from coordinated efforts exercised as Collective Action. Companies, governments and institutions can come together to mitigate misconduct and combat corruption. B20 has been calling upon G20 members to encourage anti-corruption Collective Action since 2013. B20 facilitates Collective Action initiatives and knowledge-sharing through the B20 Collective Action Hub, which was mandated to the Basel Institute in close partnership with the UN Global Compact in New York in 2013. The platform offers tools and a forum for businesses to take concrete action to jointly step up against corruption and strengthen good business practice. It also pro- vides a space for business and governments to collaborate in this endeavor.
G20 members should support Integrity Pacts (IPs), High Level Reporting Mechanism and other forms of Collective Action (see Exhibit 21,22)70. IPs were developed by TI in 1994 as a tool for promoting integrity in public-sector contracts signaling that the bidder has been selected on the basis of fair criteria and that the execution of the contract is being monitored. They are short-term, project-specific formal agreements between a customer (usually a public entity) and a bidder (usually a company), in which the parties agree to adhere to fairness and transparency and confirm that they will abstain from bribery, collusion and other illicit practices throughout the duration of the contract. IPs include a monitoring system to ensure accountability and also provide for sanctions which may even lead to the exclusion of the company from further invitations to tender.