Rigid audit process

Some initiatives, such as the Banknote Ethics Initiative (BnEI), have a rigid audit process for companies, which have to comply with a strict set of principles and provide evidence. The BnEI therefore works with commercial auditors.

Individual certification

Other certification programmes, such as the Ethically Aware Supplier Induction (EASI) programme of The Ethics Institute in South Africa, do not certify the company and its actions but the individuals and their awareness and knowledge of compliance issues. In the case of EASI, this is done in conjunction with a local business school.

Initial support

Some initiatives received initial support in setting up governance structures from donors and international partners.

Involving business community

Practitioners agree that involving the business community right from the start helps to shape standards and processes that are relevant and business-friendly. Some are led by associations of business and industry with an existing corporate membership base, while others proactively seek private-sector input through focus groups and surveys.

Focus on independence

In contexts of widespread mistrust of government, some Collective Action initiatives may need to stress their independence from political actors in order to gain the trust of the private sector. Similarly, the Russian Compliance Alliance provides an anonymous online compliance self-assessment tool for companies that do not wish to provide their identifying details.

Most programmes charge fees for membership, training and/or the certification process itself. The fees vary depending on the country, industry and type/level of certification.

Many initiatives combine free and fee-paying services, for example, free basic training and information but a fee for the audit and certification process.

In-kind contributions from corporate members, such as hosting meetings or helping with communications, can help keep operating costs low and get more members actively involved.

Setting up and implementing a certification programme from scratch can be very expensive, especially if few companies take it up after it’s launched. For new initiatives, practitioners advise waiting until the Collective Action has momentum and added value of certification is clear before investing.

Having a diverse range of income sources helps build financial resilience. Examples are membership fees, sponsorship, donors and services such as training.

Despite this, practitioners warn that the covid-19 pandemic and economic squeeze is making it more difficult for companies to pay for “non-essential” items such as local certifications or membership of a Collective Action initiative. Some have applied for temporary funding to help them survive this difficult period.

International standards

Practitioners generally draw on international standards, tailored to their contexts. Examples of common global standards for compliance programmes are:

• OECD: Good Practice Guidance on Internal Controls, Ethics, and Compliance (2010)
• UNODC: An Anti-Corruption Ethics and Compliance Programme for Business: A Practical Guide (2013)
• International Chamber of Commerce (ICC) Antitrust Compliance Toolkit (2013)
• ISO 37001: Anti-bribery management systems
• US Foreign Corrupt Practices Act and Resource Guide
• UK Bribery Act 2010 and related Guidance to help commercial organisations prevent bribery
• Transparency International: Global Anti-Bribery Guidance

National laws and guidance

National laws and guidance, relating to not just corruption but areas such as tax and labour, may also be relevant to include. For example, the French Anti-Corruption Agency (AFA) has released guidance on the national Sapin II anti-corruption law, including the September 2020 guidance on gifts and entertainment policies.

Voluntary standards

Some industry sectors have their own voluntary standards for anti-corruption and other governance or sustainability issues.

Sharing resources

In a private-sector led Collective Action, companies may be willing to share their due diligence checklists and use these to develop a standard that all companies can use.

Organical development

Standards can develop organically and evolve in response to member feedback as well as political and legislative changes. Practitioners stress that this is a benefit of a Collective Action approach: members can help evolve the principles as the initiative matures.

Company size

Certification standards can be different for companies of different sizes to take into account their varied capacities and resources. For example, the Thai Collective Action Against Corruption has a 71-item standard for large companies and a 17-item checklist for SMEs.

Self-assessment

For many initiatives, the standards and checklists function as a practical tool for companies to assess their own performance and fix their compliance gaps. Almost all Collective Action initiatives offer support in this, including by providing free information or templates, or encouraging mutual support among the members themselves.

Deadlines

For some, the clock starts ticking when a new member signs up and commits to achieving a certain set of standards. Deadlines range from around 2 to 18 months.

Regular checks

As individuals and companies change, certifications need regular checks to stay valid. The usual timeline is 2–3 years, although some initiatives insist that companies undergo checks or refreshers more frequently.

Yearly action

Several Collective Action initiatives with a certification component require companies to submit a voluntary yearly action and report on progress against it.