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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Report Published 11/2024 Basel Institute on Governance Putting business integrity on the global agenda: Report from the 5th International Collective Action Conference Collective Action, Private Sector The 5th International Collective Action Conference represented another significant milestone in the development of responsible and ethical business practices through anti-corruption Collective Action. The conference, hosted by the Basel Institute with the support of the Siemens Integrity Initiative, took place on 24 and 25 June 2024 in Basel, Switzerland. This short conference report presents main insights, quotes as well as infographics and graphic recordings from the two-day event, which welcomed around 200 people from around the world and across all sectors. A key theme of this year’s conference was the importance of building local, regional and international communities of practice. These communities bring together different constellations of people and organisations interested in the Collective Action approach to improve skills, develop joint solutions and advance knowledge about how to make initiatives effective in different contexts. Five panel discussions, three interactive breakout sessions and multiple networking opportunities, including an exhibition, offered many occasions for sharing experiences and best practices in anti-corruption Collective Action and breaking down silos. ### About this report and acknowledgements The Basel Institute on Governance thanks the Siemens Integrity Initiative for supporting and providing funding for the conference’s 5th edition, as well as all speakers and breakout session facilitating organisations. The full list of presenters and sessions can be found on conference pages of the B20 Collective Action Hub. Graphic recording illustrations: Tetyana Kalyuzhna, Basel Institute on Governance. Photo and video credit: David Borter, LEO MEDIA GmbH / BBM PRODUCTIONS AG. The report is free to share or republish under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International licence (CC BY-NC-ND 4.0). Please credit the Basel Institute on Governance and link to: https://collective-action.com.
Policy brief Published 10/2024 B20 Brazil 2024 Integrity and Compliance Task Force: Policy Paper test Collective Action This Policy Paper was prepared by the B20 Brazil Integrity and Compliance Task Force. In this document, B20 members call for stronger actions from the G20 in 3 key areas: *- Recommendation 1: **Encourage the implementation of integrity and anti-corruption measures to enhance responsible and sustainable governance in business.* *- Recommendation 2: Stimulate Collective Action, engaging the Public Sector and value chains to uphold integrity.* *- Recommendation 3: **Promote ethical leadership to foster inclusive growth.*
Report Published 09/2024 Identifying successful Collective Action approaches against kleptocracy Collective Action This USAID-funded CEPPS/IRI/CIPE report outlines contemporary Collective Action approaches against kleptocracy. The research rests on key interviews and expert analysis and features 7 country-specific case studies: Armenia, Guatemala, Malaysia, Moldova, Romania, Thailand, and Ukraine. The aim of this report is to provide a framework for successful Collective Action approaches against kleptocracy across different country contexts. The report includes key takeaways and recommendations for anti-corruption practitioners, keen policymakers, civil society reformers, the business community, and engaged citizens to seize windows of opportunity for collective change.
Working paper Published 09/2024 Basel Institute on Governance (Forthcoming) Working Paper 53: Good governance and the just transition: Implications for renewable energy companies Collective Action, Green Corruption, Private Sector There is broad agreement that ensuring a just energy transition is key for achieving the trust and support from citizens needed to succeed with the green transition and the COP28 goal of tripling renewable energy capacity by 2030. This forthcoming paper discusses the concept of a just transition, with a particular focus on the importance of achieving a transition that benefits both local communities and society at large. It examines the governance and corruption challenges that could jeopardise this goal and discusses how industry associations and companies in the renewable energy sector could step up its efforts to address these challenges to realise the ambition of a just transition. The paper draws on lessons from the experience of tackling governance and corruption risks in the extractive sector and sets out proposals on how to accelerate collective action in the renewable energy sector. ### About this report This is a guest Working Paper of the Basel Institute on Governance, ISSN: 2624-9650. You may share or republish the report under a Creative Commons CC BY-NC-ND 4.0 licence. The contents are the sole responsibility of the authors and do not necessarily reflect the official position of the Basel Institute on Governance, University of Basel or funding organisations. Suggested citation: de Vibe, Maja, and Mark Robinson. 2024. ‘Good governance and the just transition: Implications for renewable energy companies.’ Working Paper 53, Basel Institute on Governance. Available at: baselgovernance.org/publications/wp-53.
Report Published 07/2024 IFAC, ICAEW, Basel Institute on Governance Integrated Mindset in Practice: Professional Accountants in Business and Anti-Corruption Compliance Collective Action, Private Sector This joint report from the International Federation of Accountants (IFAC), the Institute of Chartered Accountants in England and Wales (ICAEW) and the Basel Institute on Governance explores the concept of the "integrated mindset" – i.e. considering financial and sustainability-related information about a company holistically and in an integrated way. The "integrated mindset" is an approach within companies and by company leadership that considers financial and sustainability-related information about the company as a whole, in an integrated way. This integrated approach to financial and sustainability-related information empowers better-informed decisions that deliver long-term value creation. This delivers financial returns to investors while taking account of value to customers, employees, suppliers, and societal interests. An integrated mindset extends to all environmental, social, and governance (ESG) issues. This report will help companies — in particular, their professional accountants in business — apply an integrated mindset to anti-corruption oversight and compliance programs, a crucial component of the governance “G” in ESG. Moreover, it highlights that a commitment to an ethical culture is fundamental to an integrated mindset. Corruption evolves and changes constantly, creating risks that go beyond what companies can address internally, such as distorting competition and creating an uneven playing field between competitors. Working toward developing more integrated industry approaches that lift the standards of business integrity at the sectoral or country level through Collective Action can be an effective way for companies to work toward future-proofing their compliance programs. “whole of business” approach to anti-corruption compliance.
Case study Published 06/2024 The socioeconomic costs of maritime corruption in Nigeria Collective Action The study's purpose is to understand the impact of maritime corruption on low—and middle-income countries. The objectives are twofold: first, to estimate the cost of maritime corruption to the industry, and second, to estimate the cost of maritime corruption to society. Given the wide range of MACN’s activities, Nigeria is selected as the first-case country.
Report Published 04/2024 Collective Action in an Era of Crises Collective Action This report reflects on the International Corruption Hunters Alliance (ICHA) 2023 Forum. The World Bank Group’s fifth edition of the International Corruption Hunters Alliance convened more than 350 participants from over 80 countries, on June 14–16, 2023, in Abidjan, Côte d’Ivoire, that involved direct exchanges between practitioners to learn from one another and build stronger links in support of anti-corruption Collective Action efforts, particularly with and among West and Central African countries.
Report Published 04/2024 Resource Guide on State Measures for Strengthening Business Integrity Collective Action The publication “A Resource Guide on State Measures for Strengthening Business Integrity” was jointly developed by the Organisation for Economic Co-operation and Development (OECD), the United Nations Office on Drugs and Crime (UNODC) and the United Nations Global Compact (UN Global Compact) based on a publication developed by UNODC in 2013 and has been launched at the 2024 OECD Global Anti-Corruption & Integrity Forum. The Guide has been prepared in furtherance of the resolution 10/12, entitled “Providing incentives for the private sector to adopt integrity measures to prevent and combat corruption”, which was adopted by the Conference of the States Parties to the United Nations Convention against Corruption at its tenth session in December 2023. The updated Guide highlights: - The new anti-corruption landscape where a collaborative approach across the private and public sectors and other relevant stakeholders is progressively becoming the new norm for developing business integrity policies. - Latest international standards, including the United Nations Convention against Corruption (UNCAC), the Convention on Combating Bribery of Foreign Public Officials in International Business Transactions (OECD Anti-Bribery Convention) and its related instrument the 2021 OECD Anti-bribery Recommendation, which encourages governments to provide incentives for corporate anti-corruption compliance – both in the context of law enforcement and public advantages, to provide both ‘carrots’ and ‘sticks’ in combatting corruption. - How governments are increasingly using incentives as a powerful tool to foster effective anti-corruption compliance, rewarding businesses for complying with anti-corruption standards and for voluntarily adopting ethical practices that go beyond the minimum legal requirements. Promoting business integrity requires finding the right mix of sanctions and incentives, as sanctions alone do not result in best outcomes for reducing corruption in the private sector. - The importance for governments to invest the required resources and build the expertise to carry out the necessary evaluations of corporate anti-corruption programmes. The Guide also attempts to steer States and the private sector away from common pitfalls: 1. There is no one-size fits all solution that applies across countries. With case studies from different countries, the guide illustrates various approaches for seeking the right balance between sanctions and incentives in different contexts. 2. Incentives should not be seen as a magic tool. When incentives are not adequately applied, they distort the level playing field. When governments do not have the capacities to assess whether corporate anti-corruption compliance measures have teeth, they reward companies that are unworthy of it.
Report Published 03/2024 Investing With Integrity II: How Corruption Undermines Environmental And Social Outcomes Collective Action This is a guide for impact investors on how corruption can undermine environmental and social outcomes, and about how coordinating due diligence across business integrity and environmental and social workstreams can help identify these links. This guidance puts business integrity at the heart of impact investing.
Report Published 02/2024 Key takeaways from the 2023 Asia-Pacific Anti-Corruption Collective Action Forum Collective Action This document summarises insights from the first-ever Asia-Pacific Anti-Corruption Collection Action Forum. The Forum offered an immersive Collective Action experience that allowed participants to learn about regional best practices, share and exchange common experiences and, most importantly, work together to identify opportunities for collaboration in the fight against corruption moving forward. The Forum was organised by the Basel Institute on Governance with the support of the Anti-Corruption Initiative for Asia and the Pacific, jointly managed by the Organisation for Economic Cooperation and Development (OECD) and the Asian Development Bank (ADB).
Policy brief Published 01/2024 Basel Institute on Governance Policy Brief 13: Catalysing the private sector for disaster response and resilience – Case study of the Philippine Disaster Resilience Foundation Collective Action Extreme weather events, earthquakes, volcanic eruptions and epidemics cause the loss of countless lives and bring disruption to many countries. Governments and humanitarian aid agencies are expected to be at the forefront of preparing for and responding to such disasters. However, occasionally the scale and impact of some natural disasters are so large that additional resources beyond what governments can provide become necessary. In such cases, efforts may be perceived as insufficient and slow. Resources and efforts need to be augmented in order to provide relief and support to those who need it most. Could the private sector take a more leading role in pre- and post-disaster efforts? How could a structured, long-term engagement reduce the inevitable integrity risks in high-stress disaster situations involving numerous government, business and international actors? This Policy Brief looks at how the Philippines Disaster Resilience Foundation (PDRF) has emerged as a leading private-sector coordinator for disaster risk reduction and management. It illustrates the important role that the private sector can play in responding to – and building resilience to – natural disasters and other humanitarian emergencies. It also showcases how vital it is for good governance, integrity and transparent collaboration to be at the heart of those efforts. ### About this Policy Brief This publication is part of the Basel Institute on Governance Policy Brief series, ISSN 2624-9669 and relates to our work to promote anti-corruption Collective Action with the private sector. You may freely share or republish it under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Suggested citation: Luz, Bill, and Vanessa Hans. 'Catalysing the private sector for disaster response and resilience: Case study of the Philippine Disaster Resilience Foundation.’ Policy Brief 13, Basel Institute on Governance, https://baselgovernance.org/publications/pb-13.
Report Published 01/2024 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 2024. 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 Published 01/2024 Key takeaways from the 2023 Southern Africa Anti-Corruption Collective Action Forum Collective Action This document summarises insights from the first-ever Southern Africa Anti-Corruption Collection Action Forum. The Forum offered an immersive Collective Action experience that allowed participants to learn about regional best practices, share and exchange common experiences and, most importantly, work together to identify opportunities for collaboration in the fight against corruption moving forward. The Forum was organised in collaboration with our local partners, the Ethics Institute and the Southern African Anti-Corruption Network (SAACoN), and with the support of the Siemens Integrity Initiative.
Guidelines, Report Published 01/2024 Basel Institute on Governance Good practices for facilitators of anti-corruption Collective Action Collective Action, Private Sector This document summarises insights from a peer learning workshop in Basel, Switzerland in December 2023. The workshop explored best practices in anti-corruption Collective Action initiatives. The report covers: - The role of the facilitator in Collective Action initiatives. - The different roles that representatives from the private sector, public sector, civil society and academia play. - The process of establishing a Collective Action initiative and securing funding for it. - Ways to monitor progress and evaluate impact. It ends by emphasising the importance of continuing to learn from one another and to share information, including by contributing to the B20 Collective Action Hub. The peer-learning workshop and the preparation of this short report were funded by the Siemens Integrity Initiative.
Working paper Published 11/2023 Basel Institute on Governance Working Paper 48: A collaborative approach to improve business integrity in ASEAN: Case studies of anticorruption Collective Action in the region Collective Action, Private Sector This working paper provides an overview and analysis of anti-corruption Collective Action case studies in the ASEAN region. It builds on the 2014 paper: *Collective Action against Corruption: Business and Anti-Corruption Initiatives in ASEAN*, which was published by the ASEAN CSR Network and the Asian Institute of Management. This 2023 paper reviews the initiatives featured in the 2014 paper and highlights new initiatives that have emerged in the region since then. It covers: - Indonesia: Indonesia Business Links - Malaysia: Corporate Integrity System Malaysia - Philippines: Integrity Initiative and project SHINE - Thailand: Collective Action Against Corruption - Thailand: Anti-Corruption Organization of Thailand - Vietnam: Vietnam Chamber of Commerce & Industry and its Office for Business The analysis identifies several success factors, while noting that Collective Action is a flexible approach that can and must be tailored to different contexts. ### About this Working Paper The authors would like to thank the Asian Institute of Management and the representatives of the initiatives featured in this paper for their time and contributions. This paper is made possible through the support of the Siemens Integrity Initiative. The publication is part of the Basel Institute on Governance Working Paper Series, ISSN: 2624-9650. You may share or republish the Working Paper under a Creative Commons Attribution NonCommercial-NoDerivatives 4.0 International License (CC BY-NC-ND 4.0). Suggested citation: Binder, Lucie, Vanessa Hans, and Anna Stransky. 2023. ‘A collaborative approach to improve business integrity in ASEAN: Case studies of anti-corruption Collective Action in the region.’ Working Paper 48, Basel Institute on Governance. Available at: https://baselgovernance.org/publications/wp48.
Guidelines Published 10/2023 Developing Anti-Corruption Programmes in State-Owned Entreprises: Manual for compliance officers in Croatia and Serbia Collective Action This manual has been developed to help compliance officers in Croatian and Serbian State-Owned Enterprises (SOEs) to introduce or strengthen their company’s anti-corruption programmes. It is designed as a practical, easy-to-reference tool offering a variety of practices that an SOE could consider implementing, such as Collective Action, which can be a highly effective way for SOEs to fight corruption and foster integrity.
Guidelines Published 10/2023 The Compliance Without Borders Handbook Collective Action Corruption in state-owned enterprises has a unique ability to undermine governments, markets and citizens’ well-being. While international standards promote integrity in the state-owned sector, their implementation remains a challenge. This handbook describes an innovative peer-learning programme – Compliance Without Borders – and its contributions to strengthening anti-corruption compliance in state-owned enterprises. It explains the benefits of galvanising the private sector to work with their state-owned counterparts in preventing corruption and levelling the playing field. By detailing how this new pair are successfully collaborating through Collective Action, the handbook also encourages others to join in leading by example.
Report Published 09/2023 United Nations Global Compact: Communication on Engagement 2023 Collective Action, Private Sector Our fifth 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 2023 submission is available on the UN Global Compact website and by following the link below.
Guidelines Published 07/2023 Alliance for Integrity Fostering Integrity in Global Supply Chain Collective Action, Private Sector This comprehensive guide helps companies address the challenges posed by new legislation and increasing public expectations regarding global supply chain responsibilities. It offers practical insights to efficiently restructure existing approaches and build on risk management processes, emphasizing integrity, environmental protection, and human rights. By adopting the strategies outlined in this guide, companies can enhance their supply chain practices and promote responsible conduct within their organizations and among their global suppliers.
Guidelines Published 07/2023 Basel Institute on Governance Action Collective - Coopérer avec le Secteur Privé: Guide Pratique pour les Agences Nationales de Lutte Contre la Corruption Collective Action, Private Sector Ce guide a pour but de mettre en valeur et d’explorer les approches innovantes que les gouvernements africains ont développées pour s’attaquer à la corruption de manière plus efficace et durable. Ce guide a été conçu afin d’aider les institutions gouvernementales, en particulier les agences nationales de lutte contre la corruption, à coopérer plus efficacement avec le secteur privé pour prévenir la corruption.
Working paper Published 06/2023 Basel Institute on Governance Working Paper 46: Incrementando el impacto de los Pactos de Integridad en la contratación pública: un análisis desde la experiencia en España Collective Action, Private Sector Este documento de trabajo analiza cuatro Pactos de Integridad en España implementados entre abril de 2017 y enero de 2019. Basándose en el análisis, ofrece recomendaciones específicas para medir y mejorar el impacto de los Pactos de Integridad, especialmente para lograr cambios a largo plazo. *** Enhancing the impact of Integrity Pacts in public procurement: an analysis from Spain‘s experience This Working Paper analyses four Integrity Pacts in Spain implemented between April 2017 and January 2019. Based on the analysis, it offers specific recommendations to measure and enhance the impact of Integrity Pacts, especially in achieving long-term change. ### Sobre este Documento de Trabajo Este trabajo forma parte de una serie de documentos de trabajo del Basel Institute on Governance, ISSN: 2624-9650. Puede ser libremente compartido bajo una licencia Creative Commons: CC BY-NC-ND 4.0. Citation: Arribas Reyes, Esteban. 2023. ‘Incrementando el impacto de los Pactos de Integridad en la contratación pública: un análisis desde la experiencia en España.’ Working Paper 46, Basel Institute on Governance. Disponible en: https://baselgovernance.org/publications/wp46
Guidelines Published 06/2023 OECD OECD Toolkit for raising awareness and preventing corruption in SMEs Collective Action This Toolkit evaluates foreign bribery and corruption risks for small and medium enterprises (SMEs), and offers an awareness-raising toolkit on the importance of adopting anti-corruption measures. Based on data collected through research, interviews with SMEs, business organisations and legal professionals in countries Party to the OECD Anti-Bribery Convention and others, the toolkit presents initiatives that will enable governments, business organisations and large companies to better support SMEs in preventing and fighting foreign bribery and corruption. The Toolkit points to multi-stakeholder collaboration and Collective Action as essential tools to effectively raise awareness and assist businesses, in particular SMEs, in preventing and combating corruption. Successful initiatives around the world have demonstrated that collaborative multi-stakeholder approaches allow for tailor-made, sector-specific awareness raising strategies. Furthermore, by spreading the costs of implementing anti-corruption measures across multiple stakeholders, they avoid overburdening SMEs.
Annual report Published 06/2023 Siemens AG Siemens Integrity Initiative Annual Report 2022 Collective Action This Siemens Integrity Initiative Annual Report 2022 gives an overview of the most recent accomplishments of the Integrity Initiative. It provides a summary of project activities and outcomes in Section C based on information provided by the Integrity Partners as of March 2, 2023.
Guidelines Published 06/2023 OECD Guidelines for Multinational Enterprises on Responsible Business Conduct Collective Action The OECD Guidelines for Multinational Enterprises on Responsible Business Conduct are recommendations addressed by governments to multinational enterprises. They aim to encourage positive contributions enterprises can make to economic, environmental and social progress, and to minimise adverse impacts on matters covered by the Guidelines that may be associated with an enterprise’s operations, products and services. The Guidelines cover all key areas of business responsibility, including human rights, labour rights, environment, bribery, consumer interests, disclosure, science and technology, competition, and taxation. The 2023 edition of the Guidelines provides updated recommendations for responsible business conduct across key areas, such as climate change, biodiversity, technology, business integrity and supply chain due diligence, as well as updated implementation procedures for the National Contact Points for Responsible Business Conduct. The 2023 edition also includes a prominent endorsement of anti-corruption Collective Action in Chapter VII on Combating Bribery and Other Forms of Corruption: *“Collective action and meaningful engagement with local and international civil society organisations, business, professional associations, and international organisations also may help enterprises to better design and implement effective enterprise anti-corruption policies and mitigate corruption risks one enterprise cannot mitigate individually.”*
Case study Published 06/2023 Alliance for Integrity Corruption and Infrastructure: Preliminary Study on Corruption Risks in Infrastructure Sector Collective Action This preliminary study on corruption risks in infrastructure sector provides an overview of the current legal framework and corruption risks in the infrastructure sector in Indonesia, and offers recommendations for addressing these risks, with a focus on Collective Action as a potential solution. Indeed, in Indonesia, where infrastructure development has been prioritised, there is a pressing need to address corruption risks to ensure that infrastructure projects contribute to the country's sustainable economic and social development. The Alliance for Integrity recognises the critical importance of tackling corruption in this sector and works to promote Collective Action approaches that bring together stakeholders to combat corruption.
Guidelines Published 06/2023 Wolfsberg Group Wolfsberg Anti-Bribery and Corruption Compliance Programme Guidance Collective Action This publication from the Wolfsberg Group is designed to provide guidance to the financial services industry on how to develop, implement, and maintain an effective Anti-Bribery & Corruption (ABC) Compliance Programme, and should be read in conjunction with applicable legislation, regulation, and guidance issued by authorities in the jurisdictions in which a financial institution conducts business. The overall objective of the Guidance is to promote a culture of ethical business practices and compliance with ABC legal and regulatory requirements.
Guidelines, Report Published 05/2023 Basel Institute on Governance Engaging the private sector in Collective Action against corruption: A practical guide for anti-corruption agencies in Africa Collective Action, HLRM, Integrity Pacts This guidance seeks to capture and explore the innovative approaches that African governments have developed to address the demand and supply sides of corruption more effectively and sustainably. It is designed to help government institutions, in particular national anti-corruption agencies, engage with the private sector more effectively to prevent corruption. The document highlights good practices identified through interviews, desk research and a 2021 Southern African Development Community (SADC) training on “Emerging anti-corruption issues and private-sector engagement for SADC anti-corruption agencies”. Africa offers many examples of innovative, unique and context-sensitive approaches to engage the private sector in anti-corruption efforts. Ghana’s National Anti-Corruption Action Plan, for instance, offers an award scheme and is looking into providing tax benefits to companies that enforce anti-corruption measures and demonstrate leadership in the fight against corruption. Other agencies and governments in the region, such as Morocco, are currently discussing implementing a reward system for compliant companies that can be considered when companies bid for public tenders. These examples demonstrate how African governments proactively seek to tackle corruption and collaborate with the private sector. From the initiatives captured, three common strategic approaches can be identified to underpin effective and impactful engagement: - Raising awareness, guiding and working with the private sector to more effectively address corruption risks. - Identifying and providing incentives to companies investing in their compliance programmes. - Demonstrating leadership by actively participating in Collective Action and public-private partnerships. This document is a follow-up of a practical global guide published in July 2022 and was produced with the support of the Siemens Integrity Initiative. It is freely shareable under a Creative Commons CC BY-NC-ND 4.0 licence. Please credit the Basel Institute on Governance.
Article Published 05/2023 California Management Review The B20 Integrity and Compliance Recommendations: An International Framework for Action Collective Action This article was published by Gemma Aiolfi and Scarlet Wannenwetsch of the Basel Institute on Governance together with Daniel Malan of Trinity Business School and Klaus Moosmayer of Novartis for California Management Review. The authors argue that businesses seeking to integrate compliance and integrity at the core of their business model would do well to look at the Business 20's recommendations. The authors explain how the recommendations of the B20 Integrity and Compliance Taskforce can act as a framework for action by businesses seeking to strengthen the G in ESG. Among the Taskforce's recommendations: fostering Collective Action by actively collaborating with like-minded businesses and other stakeholders, including governments, and by investigating new models of public-private partnerships. The Basel Institute on Governance has supported the B20 process for years, including this year's B20 India as a Network and Knowledge Partner of the ESG Business Action Council.
Guidelines Published 02/2023 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 Published 02/2023 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 Published 02/2023 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 Published 01/2023 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 Published 01/2023 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 Published 12/2022 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 Published 11/2022 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 Published 11/2022 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 Published 11/2022 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 Published 11/2022 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 Published 11/2022 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 Published 09/2022 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 Published 09/2022 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 Published 08/2022 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 Published 08/2022 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 Published 06/2022 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).
Published 06/2022 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 Published 04/2022 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 Published 04/2022 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 Published 03/2022 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 Published 02/2022 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 Published 01/2022 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 Published 12/2021 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 Published 12/2021 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 Published 12/2021 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 Published 12/2021 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 Published 11/2021 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.
Published 09/2021 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 Published 09/2021 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 Published 09/2021 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 Published 08/2021 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 Published 08/2021 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.
Published 06/2021 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 Published 06/2021 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 Published 06/2021 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 Published 05/2021 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 Published 04/2021 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 Published 02/2021 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 Published 01/2021 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 Published 12/2020 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 Published 12/2020 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 Published 11/2020 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 Published 11/2020 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 Published 10/2020 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 Published 10/2020 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 Published 09/2020 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 Published 09/2020 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 Published 09/2020 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 Published 09/2020 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 Published 09/2020 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 Published 09/2020 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 Published 08/2020 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 Published 08/2020 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.
Published 07/2020 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 Published 06/2020 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 Published 05/2020 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 Published 05/2020 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 Published 05/2020 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 Published 05/2020 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 Published 04/2020 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 Published 03/2020 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 Published 03/2020 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 Published 03/2020 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 Published 02/2020 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.
Published 01/2020 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 Published 12/2019 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 Published 11/2019 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 Published 06/2019 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 Published 05/2019 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 Published 04/2019 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.
Published 03/2019 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 Published 12/2018 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).

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How targeting maritime corruption can save and generate millions annually

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