[{"data":1,"prerenderedAt":270},["ShallowReactive",2],{"news-are-companies-and-executives-responsible-for-human-rights-violations-abroad-122":3,"news-are-companies-and-executives-responsible-for-human-rights-violations-abroad-122-similar":29,"i-heroicons:arrow-left-20-solid":265},[4],{"id":5,"status":6,"date_created":7,"date_updated":8,"title":9,"type":10,"body":11,"date":12,"topic":13,"slug":14,"activity":15,"nid":17,"topics":18,"activities":19,"programme":20,"area":20,"websites":21,"language":20,"image":20,"translation_of":20,"countries":23,"tags":24,"authors":25,"images":26,"translations":27,"content":28},10024,"published","2022-05-26T22:58:23.000Z","2025-08-31T23:14:59.000Z","Are companies and executives responsible for human rights violations abroad?","","The latest FCPA Blog post written by our managing director, Gretta Fenner, is about the responsibility and possible criminal liability of companies and their officials relating to human right violations allegedly committed abroad.\n\nShould a CEO for example step down when a violation of financial or other conduct rules has occurred, which may even make the corporation complicit in terrorism financing or war crimes? Or should prosecution be a consequence of such transgression? \n\n[Read it on the FCPA Blog.](http:\u002F\u002Fwww.fcpablog.com\u002Fblog\u002F2017\u002F5\u002F8\u002Fgretta-fenner-are-companies-and-executives-responsible-for-h.html)","2017-05-08",[10],"are-companies-and-executives-responsible-for-human-rights-violations-abroad-122",[16],"Insights",122,[],[16],null,[22],"Main page",[],[],[],[],[],[],[30,57,84,124,148,177,199,221,243],{"id":31,"body":32,"status":6,"type":33,"date":34,"slug":35,"title":36,"image":37,"countries":38,"topic":39,"activity":41,"tags":42,"nid":43,"topics":44,"activities":45,"authors":46,"images":48,"websites":49,"area":20,"programme":20,"language":20,"translations":50,"translation_of":20,"user_created":51,"date_created":52,"user_updated":53,"date_updated":54,"content":55,"link":56},10436,"_This blog was originally published on the FCPA Blog, which was discontinued in February 2024._\n\nWhat is the responsibility and possible criminal liability of companies and their officials relating to human right violations allegedly committed abroad?\n\nShould a CEO for example step down when a violation of financial or other conduct rules has occurred, which may even make the corporation complicit in terrorism financing or war crimes? Or should prosecution be a consequence of such transgression?\n\nWhose conduct triggers a reaction by prosecution services: Acts by all persons associated with a company’s foreign subsidiaries, only subcontractors, also suppliers?\n\nIn several countries the controversial debate about corporation liability for violations of human rights abroad is fuelled either by legislative initiatives (e.g. the [Responsible Business Initiative](http:\u002F\u002Fkonzern-initiative.ch\u002F?lang=en)), or pending court decisions (as in the U.S.) or new laws (Australia).\n\nPublic concern about the accountability of corporations and their managers has given rise to such initiatives aimed at holding corporate actors accountable for certain rights violations of subsidiaries in their business activities.\n\nAt the international level, the UN Human Rights Council adopted the [Guiding Principles on Business and Human Rights](https:\u002F\u002Fwww.unglobalcompact.org\u002Flibrary\u002F2) (UNHRC 17\u002F4 of 16 June 2011, so-called Ruggie Principles).\n\n[The 2014\u002F95\u002FEU Accounting Directive](http:\u002F\u002Feur-lex.europa.eu\u002Flegal-content\u002FEN\u002FTXT\u002F?uri=CELEX%3A32014L0095) establishes reporting requirements on human rights compliance, with some members of the EU Parliament pushing for further reform with regard to criminal liability.\n\nThe Swiss [Responsible Business Initiative](http:\u002F\u002Fkonzern-initiative.ch\u002Finitiativtext\u002F?lang=en), signed by the end of 2016 by 120,000 Swiss citizens, launches a far-reaching attempt to implement the _Ruggie Principles_ into Swiss law, but clearly keeps criminal law out of the picture. Other countries consider criminal prosecution — and NGOs target such remedies.\n\nA global movement towards the expansion of corporate criminal liability law is thus not uni-directional. The challenge of making good in cases of human rights violations is of particular relevance for states that are hubs for multinational corporations operating in “high-risk” areas of commerce and jurisdictions.\n\nNew business and human rights frameworks present lawyers in practice with a new range of crucial questions, not only about where and when and for what type of wrongdoing a company or its managers may be brought to court, but also about a sustainable strategy to avoid human rights violations abroad. \n\nFor academics and activists, there are related concerns about the credibility of threats to charge entrepreneurs with overseas misconduct and the effectiveness of such reform in the light of the goals of the Ruggie Principles and the overall objectives of corporate law.\n\nIf you’re interested in further exploring this topic, join the International Association of Penal Law (IAPL) and the University of Basel for an international colloquium on _Prosecuting Companies for Human Rights Violations Abroad? The Jurisdictional Issues_ (June 2, 2017, Basel, Switzerland).\n\nSpeakers and panelists include:\n\n_Mark Pieth, University of Basel \u002F President Basel Institute on Governance, Switzerland_ \n\n_Radha Ivory, University of Queensland, Australia_\n\n_Sara Beale, Duke University, U.S.A._\n\n_Cedric Ryngaert, Utrecht University, Netherlands_\n\n_Kenneth Gallant, University of Arkansas at Little Rock, U.S.A._\n\n_Mirna Adjami_, Basel Institute on Governance\n\n_Felix Ehrat, Novartis, Switzerland_\n\n_Flavio Noto, Staatsanwaltschaft Basel-Stadt, Switzerland_\n\n_Urs Rybi, Public Eye Switzerland_\n\nFor more information or to register, please contact [Claudine.abt@unibas.ch](mailto:Claudine.abt@unibas.ch).","Blog","2017-03-18","fcpa-blog-are-companies-and-executives-responsible-for-human-rights-violations-abroad-2604","FCPA Blog: Are companies and executives responsible for human rights violations abroad?","https:\u002F\u002Fjam.baselgovernance.org\u002Fapi\u002Fassets\u002F15cbe156-29a7-4b3f-a0c1-5feeca52c234?width=1000&height=650&format=webp&quality=80",[],[40],"Human rights",[10],[],2604,[40],[],[47],1033,[],[22],[],"03bebfd8-0b40-4a2a-820d-b9d9c13b9de6","2024-03-19T11:01:58.000Z","b0662e2a-864d-4888-a1b7-4342b7570b30","2025-08-31T23:14:40.000Z",[],"\u002Fresources\u002Fnews\u002Ffcpa-blog-are-companies-and-executives-responsible-for-human-rights-violations-abroad-2604",{"id":58,"body":59,"status":6,"type":60,"date":61,"slug":62,"title":63,"image":64,"countries":65,"topic":66,"activity":68,"tags":70,"nid":71,"topics":72,"activities":74,"authors":75,"images":76,"websites":77,"area":20,"programme":20,"language":20,"translations":78,"translation_of":20,"user_created":51,"date_created":79,"user_updated":80,"date_updated":81,"content":82,"link":83},9899,"Basel Institute President Mark Pieth was interviewed by cash.ch journalist Daniel Hügli at the 2019 World Economic Forum in Davos. See the [original interview here](https:\u002F\u002Fwww.cash.ch\u002Fnews\u002Ftop-news\u002Fmark-pieth-bei-rohstoffanlagen-muss-man-ganz-genau-hinschauen-1268816).\n\nBelow is the (unofficial) English translation of his comments on commodity trading, gold supply chains and clean investments. \n\n\"You have to pay real close attention to commodity investments”\n---------------------------------------------------------------\n\n_Are investments in commodities immoral? Where does our gold come from? And why is commodity trading growing so strongly in Switzerland?_ \n\nCriminal Law Professor and corruption fighter Mark Pieth answers these questions and more in an interview with cash.ch at the World Economic Forum. \n\ncash: Mr. Pieth, don't you sometimes feel out of place at the WEF as a professor of criminal law and an anti-corruption activist? \n\nMark Pieth: When I first started coming here, more than 10 years ago, I felt like a clown. We, that is PACI (editor's note: Pieth is co-founder of the 'Partnering Against Corruption Initiative' of the WEF), have long been uncertain whether our activities are really relevant for the business world. Over time, however, we got the feeling that we had influence. This has to do with the fact that the penalties are now enormously high if you do something stupid, especially in the USA. But also with the fact that I have become an expert in arbitration cases. This is partly about insanely high sums.\n\ncash: According to the list of WEF participants, the top managers of all the major commodity companies in Switzerland are in Davos. But they're staying in the background. What are these people doing here?\n\nPieth: That’s easy to explain. Every boss of these commodity companies sits here in a hotel and has a different conversation every quarter of an hour. I used to do this myself at the oil companies. I just rattled them off. In the arms industry there was once a difficult case, namely British Aerospace with its case of corruption in Saudi Arabia. We made peace, so to speak, during this conversation. The deal was: I would become less 'sharp', and British Aerospace had to make sure that the UK got a new law. So on the one hand you catch these people in Davos in a more relaxed environment. On the other hand, people are clearly here to do business.\n\ncash: Glencore, Trafigura, Vitol and so on: Switzerland's six largest companies in terms of turnover are commodity companies, followed by Nestlé in seventh place. Why is this sector growing so strongly? \n\nPieth: This development was to be expected. Switzerland used to be a manufacturing centre as well as strong in the financial services sector. The machinery industry, for example, is now moving away. Switzerland is increasingly being pushed into specialist areas. Commodity trading is one of them.\n\ncash: What is the role of Switzerland’s well-known advantages as a business location? \n\nPieth: Not so long ago, some company executives told me they were in Switzerland just because of taxes. And the well-known commodities trader Marc Rich said bluntly: If you put me under the Money Laundering Act, I'm going. I know that because at the time I was sitting in a commission of the Department of Finance. But the companies have realised today that they have to do something. Recently, this has included going through a process of opening up – to some extent.\n\ncash: In its reports on raw materials and gold, the Federal Council focuses on self-regulation by the industry instead of new laws. Parliament also wants it that way. Does self-regulation work?\n\nPieth: I have concerns about that. I say this with my 25 years of experience in the fight against corruption and in the field of money laundering. Self-regulation is okay, but we must set clear guidelines, as the European Union has done for example \\[with the [Conflict Minerals Regulation](http:\u002F\u002Ftrade.ec.europa.eu\u002Fdoclib\u002Fdocs\u002F2017\u002Fmarch\u002Ftradoc_155423.pdf)\\]. It has declared the relatively soft OECD requirements \\[the [OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas](http:\u002F\u002Fwww.oecd.org\u002Fcorporate\u002Fmne\u002Fmining.htm)\\] binding.\n\ncash: This EU regulation comes into force in 2021. How do Swiss gold refiners, for example, behave when they have dealings with the EU? Then they have to apply EU rules. \n\nPieth: Switzerland imports about 70 percent of the world's gold production. In the [Gold Report](https:\u002F\u002Fwww.swissinfo.ch\u002Feng\u002Fbusiness\u002Fgold-report_switzerland-s-golden-opportunity-for-responsible-business\u002F44556442), the Swiss legal situation is equated with South Africa, the United Arab Emirates and India. But this is the 'dirty competition'. Switzerland is on a different level, especially with regard to human rights.\n\ncash: The main problem for Swiss gold refiners is the origin of their raw material. Do the companies make enough efforts? \n\nPieth: They’re trying hard – on paper. They don't really know where their gold comes from. They know the supplier, for example an export company from Peru, but not the whole supply chain behind it. I wanted to personally find out the origin of the gold last summer. That's a frightening story. \n\ncash: Tell us. \n\nPieth: A Swiss refinery obtains all its gold from the area around Lake Titicaca in Peru. I drove there and saw a slum with 60,000 miners and 4,000 forced prostitutes near the glacier at an altitude of 5,500 meters. All that gold mining there is illegal. The miners work for 28 days without pay in order to have access to the mine. Then they are allowed to mine gold for themselves for two or three days. That is the way the Incas did it in the old days. That way you can earn $400 or more a month. There are only 20 cops there. The reason there are so few is because they only make $200. The cops become miners as soon as they arrive.\n\ncash: That doesn't sound safe. How did you get access to this place? \n\nPieth: I asked a journalist from Lima to accompany me. She knows about gold and also knows miners personally. We were then passed from priest to priest, until we ended up talking to a well-known engineer of the mine. We went there with the protection of the Catholic Church.\n\ncash: Are investments in commodities immoral? \n\nPieth: I don't think so. There are big differences. The Norwegian sovereign wealth fund, which is fed by the country's oil revenues, pays close attention to its investments. But if you invest in the Congo, there is a relatively high risk that the investments will be linked to the civil war.\n\ncash: And from the private investor's point of view?  \n\nPieth: You really have to keep your eyes open. Investments in cocoa sound relatively harmless. But there is a fair amount of child labour in this sector. Coffee looks better. Organised crime in Colombia, for example, is not widespread in the coffee sector. In the case of cereals or rice, there is a risk that you might contribute to fuelling price increases. \n\ncash: Some companies, such as the Zürcher Kantonalbank, offer their customers 'Fair Gold' or 'Clean Gold'. Does it live up to its promise? \n\nPieth: I also visited such places in Peru, where gold is mined and processed under better conditions, during my trip last summer. Even with these certified products, there is no guarantee that mercury or cyanide will not be used during processing. These are highly toxic substances. But child labour is excluded and the workers are at least subject to labour laws.\n\ncash: We live in times characterised by less tolerance towards critics. Have you ever been put under pressure or attacked by more modern means, such as cyber attacks? \n\nPieth: When I was working at the OECD, I was relatively harsh with both countries and companies. I've been threatened with defamation several times. During my work at 'Oil for Food' in New York we changed the ceiling panels of our office every two weeks due to possible bugging and unscrewed the telephones. We also had a secret service come to give advice. Personally, I had to make sure that there was no risk of eavesdropping and that no one came into my office. So in the end, it happened that my office was not cleaned for over a year (laughs).\n\n_Mark Pieth (65) has been Professor of Criminal Law, Criminal Procedure and Criminology at the University of Basel and an Honorary Doctor of Sussex University in the UK since 1993. He is founder and President of the Basel Institute on Governance and was President of the OECD Working Group on Bribery in International Business Transactions from 1990 to 2013. From 2011 to 2013, Pieth also chaired FIFA's independent governance committee. He resigned from this post in protest._","News","2019-01-27","mark-pieth-on-commodity-trading-gold-and-investment-interview-with-cashch-563","Mark Pieth on commodity trading, gold and investment – interview with cash.ch","https:\u002F\u002Fjam.baselgovernance.org\u002Fapi\u002Fassets\u002F856bb88f-1c86-4bd7-b119-54422daa9fe7?width=1000&height=650&format=webp&quality=80",[],[67],"Asset Recovery",[16,69],"Presentations",[],563,[73],"Asset Recovery and Enforcement",[16,69],[],[],[22],[],"2022-05-26T22:57:17.000Z","3d9ff205-1640-4f34-b5b6-86977f51bbd6","2026-05-29T22:22:03.000Z",[],"\u002Fresources\u002Fnews\u002Fmark-pieth-on-commodity-trading-gold-and-investment-interview-with-cashch-563",{"id":85,"body":86,"status":6,"type":60,"date":87,"slug":88,"title":89,"image":90,"countries":91,"topic":92,"activity":94,"tags":97,"nid":114,"topics":115,"activities":116,"authors":117,"images":118,"websites":119,"area":20,"programme":20,"language":20,"translations":120,"translation_of":20,"user_created":51,"date_created":121,"user_updated":53,"date_updated":54,"content":122,"link":123},9621,"Companies dealing with metals and minerals cannot avoid corruption risks, which plague practically every extractive sector at every phase of development, every country and every stage of the supply chain. Both industrial and artisanal mining are vulnerable, though in different ways.\n\nThe risks are set to grow as demand balloons for metals such as cobalt and copper that are needed for the green energy transition. The impact of corruption on a producing country’s development is deep and systemic. And it opens the gates to a flood of other risks, from environmental degradation to human rights abuses and conflict financing. How to deal with it?\n\nThat was the question at the heart of a virtual discussion on transparency and accountability in mineral supply chains hosted by the [OECD](http:\u002F\u002Fwww.oecd.org\u002F) and [Green Corruption](https:\u002F\u002Fbaselgovernance.org\u002Fgreen-corruption) team of the Basel Institute on Governance on 23 February 2021. Attended by 120+ participants, the event brought together expert perspectives from standard-setters, NGOs and industry.\n\n### How companies can protect themselves and their supply chains\n\nSince its adoption in 2011, the [OECD _Due Diligence Guidance for Responsible Supply Chains of Minerals_](https:\u002F\u002Fwww.oecd.org\u002Fcorporate\u002Fmne\u002Fmining.htm) – now in its third edition – has been the gold standard in recommendations to identify and mitigate supply chain risks including corruption. Trade associations with serious responsible sourcing commitments have based their own standards on these guidelines. One example is the [responsible sourcing standard of the London Metal Exchange](https:\u002F\u002Fwww.lme.com\u002Fen-GB\u002FAbout\u002FResponsibility\u002FResponsible-sourcing), which consulted widely to adapt the OECD guidance to industry specificities, as well as to the growing legal requirements on anti-corruption and human rights due diligence.\n\nThe OECD’s forthcoming [FAQs](https:\u002F\u002Fbaselgovernance.org\u002Fnews\u002Fwelcoming-oecds-new-faqs-corruption-risks-mineral-supply-chains), which will be presented at the [Forum on Responsible Mineral Supply Chains](https:\u002F\u002Fmneguidelines.oecd.org\u002Fforum-responsible-mineral-supply-chains.htm) on April 26th, are designed to help companies use the OECD due diligence framework to address corruption risks. The publication covers 12 questions and answers on practical issues such as what to check for when conducting corruption risk assessments on high-risk suppliers and what to do if risks are identified at any point in the supply chain.\n\nPanellists converged around the idea that protecting against corruption risks needs proactive management. This may include:\n\n*   understanding vulnerabilities and identifying red flags with the help of NGOs, open-source information and OECD guidance (for example on [artisanal mining](https:\u002F\u002Fwww.oecd.org\u002Finvestment\u002FFAQ_Sourcing-Gold-from-ASM-Miners.pdf), [child labour](https:\u002F\u002Fmneguidelines.oecd.org\u002Fchild-labour-risks-in-the-minerals-supply-chain.htm) or [cobalt and copper sourcing in the DRC](https:\u002F\u002Fmneguidelines.oecd.org\u002Finterconnected-supply-chains-a-comprehensive-look-at-due-diligence-challenges-and-opportunities-sourcing-cobalt-and-copper-from-the-drc.htm));\n*   following the money, by conducting targeted financial audits and analysing payments to governments disclosed in [Extractive Industries Transparency Initiative](https:\u002F\u002Feiti.org\u002F) (EITI) reports;\n*   active reporting on corruption risks throughout the supply chain and not waiting for hard evidence or convictions before acting. The biggest corruption risk is before a conviction, not after, as the case of [Glencore and corruption risks in the Congo](https:\u002F\u002Fresourcematters.org\u002Fwp-content\u002Fuploads\u002F2019\u002F04\u002FResourceMatters-SeeNoEvil-CobaltCorruptionRisks-Apr-2019.pdf) illustrates;\n*   engaging with other companies and stakeholders through [Collective Action](https:\u002F\u002Fbaselgovernance.org\u002Fcollective-action), in order to achieve stronger leverage and solve shared corruption and due diligence challenges;\n*   the inclusion of specific [anti-corruption clauses](https:\u002F\u002Ficcwbo.org\u002Fpublication\u002Ficc-anti-corruption-clause\u002F) in contracts that may give buyers the right to audit revenue flows that raise concerns;\n*   systems to improve traceability and transparency, which may include [blockchain technologies](http:\u002F\u002Fmneguidelines.oecd.org\u002Fis-there-a-role-for-blockchain-in-responsible-supply-chains.htm) – although companies should keep in mind that there is no simple technological fix.\n\n### How countries can cooperate to improve standards in mining\n\nCorruption in mining has much in common with corruption in forestry and other natural resource sectors. Studies in Indonesia and elsewhere show the same old tricks: bribery, embezzlement, money laundering, tax fraud, undisclosed royalty payments and non-compliance with regulations.\n\nThere is widespread evidence of rampant petty corruption on the ground, in part due to the use of intermediaries and high levels of discretion of local officials, and of obscene grand corruption schemes between political and business elites – the [Gertler](https:\u002F\u002Fwww.nytimes.com\u002F2021\u002F02\u002F21\u002Fus\u002Fpolitics\u002Fdan-gertler-sanctions.html) and [Steinmetz](https:\u002F\u002Fwww.swissinfo.ch\u002Feng\u002Fswiss-court-hands-diamond-magnate-five-year-prison-sentence-\u002F46309514) cases being only the most high-profile.\n\nSuccessful investigations and prosecutions are few and far between (why, is something the Basel Institute is [working to better understand](https:\u002F\u002Fbaselgovernance.org\u002Fnews\u002Fanti-corruption-approaches-protect-biodiversity-launch-new-green-corruption-collaboration-tnrc)). Prevention is key, and this needs increased cooperation in particular:\n\n*   between the public and private sectors, especially in proactive information-sharing between companies and financial institutions with law enforcement;\n*   between countries, through a carrot-and-stick combination of international pressure, investment from countries that value transparency and accountability, and support for strengthening legal frameworks and capacity;\n*   between law enforcement agencies, as money laundering schemes cross many borders and green corruption investigations often arise from information transmitted spontaneously by foreign law enforcement counterparts;\n*   with local civil society representatives that dare to speak up against corruption in their country, because ultimately change to a deeply corrupt political context needs to come from within.\n\nA basic step to improve international cooperation and harmonisation of standards – and avoid the “race to the bottom” in environmental, human rights and anti-corruption issues – is to implement the OECD Due Diligence Guidance into national and regional policies, as China did in 2015. There are concerns that the European Union’s proposed update to the [2006 Batteries Directive](https:\u002F\u002Fec.europa.eu\u002Fcommission\u002Fpresscorner\u002Fdetail\u002Fen\u002Fip_20_2312) does not yet specifically include corruption risks highlighted in the Guidance – something which, as this panel discussion showed, is absolutely crucial to the integrity of mineral supply chains in all senses.\n\n### With thanks to our panel\n\n*   Louis Maréchal, Sector Lead, Minerals & Extractives, Centre for Responsible Business Conduct, OECD (moderator)\n*   Laode Syarif, Executive Director, Kemitraan and Former Vice Chairman, Corruption Eradication Commission of the Republic of Indonesia\n*   Elisabeth Caesens, Director, Resource Matters\n*   Hugo Brodie, Vice President - Sustainability, London Metal Exchange\n*   Luca Maiotti, Policy Analyst, Minerals Team, Centre for Responsible Business Conduct, OECD\n\nLearn more about the OECD-Basel Institute [Corrupting the environment series](https:\u002F\u002Fbaselgovernance.org\u002Fgreen-corruption\u002Fcorrupting-environment) and register now for upcoming events on [following the money](https:\u002F\u002Fbaselgovernance.zoom.us\u002Fwebinar\u002Fregister\u002FWN_Pa5XVdTNQ-2v15BhFlOChg) (17 March) and applying [behavioural insights](https:\u002F\u002Fbaselgovernance.zoom.us\u002Fwebinar\u002Fregister\u002FWN_UNofuB6jRI-VLe43E_IH1A) to fight green corruption (14 April).","2021-03-03","protecting-mineral-supply-chains-from-green-corruption-risks-1978","Protecting mineral supply chains from green corruption risks","https:\u002F\u002Fjam.baselgovernance.org\u002Fapi\u002Fassets\u002Fb67b0e87-6629-4f91-9ed9-4435fd1ba467?width=1000&height=650&format=webp&quality=80",[],[93],"Green Corruption",[95,69,96],"Events","Partnerships",[98,102,106,110],{"tags_id":99},{"id":100,"name":101},1303,"Environment",{"tags_id":103},{"id":104,"name":105},1236,"Compliance",{"tags_id":107},{"id":108,"name":109},830,"Business integrity",{"tags_id":111},{"id":112,"name":113},1380,"Sustainability",1978,[93],[95,69,96],[],[],[22],[],"2022-05-26T22:53:23.000Z",[],"\u002Fresources\u002Fnews\u002Fprotecting-mineral-supply-chains-from-green-corruption-risks-1978",{"id":125,"body":126,"status":6,"type":60,"date":127,"slug":128,"title":129,"image":130,"countries":131,"topic":132,"activity":135,"tags":137,"nid":138,"topics":139,"activities":140,"authors":141,"images":142,"websites":143,"area":20,"programme":20,"language":20,"translations":144,"translation_of":20,"user_created":51,"date_created":145,"user_updated":53,"date_updated":54,"content":146,"link":147},9582,"The Siemens Integrity Initiative is boosting the Basel Institute’s capacity to promote anti-corruption Collective Action with an additional USD 3.5 million in funding under its “Golden Stretch” round.\n\nThis funding complements an [existing USD 2.86 million project](https:\u002F\u002Fbaselgovernance.org\u002Fnews\u002Fbasel-institute-pursues-new-collective-action-project-renewed-funding-siemens-integrity) of our Collective Action team under the Siemens Integrity Initiative, with both projects due to end in 2024. We are delighted to be one of eight organisations to receive the additional funding, which will help us expand our support to more practitioners, governments and companies worldwide.\n\n### Why the Golden Stretch?\n\nCollective Action has emerged as a powerful way to bring together diverse stakeholders from the public and private sectors and civil society to ensure clean business and fair competition.\n\nAs a [recent study](https:\u002F\u002Fbaselgovernance.org\u002Fsites\u002Fdefault\u002Ffiles\u002F2021-03\u002Fmainstreaming_collective_action_-_executive_summary.pdf) by our Collective Action team shows, the concept is now endorsed by numerous governments, international organisations and standard-setters, as well as practised by businesses and civil society representatives worldwide who recognise the benefits of this collaborative approach to fighting corruption.\n\nThe successful expansion of Collective Action is in no small part down to the work of the [Siemens Integrity Initiative](https:\u002F\u002Fnew.siemens.com\u002Fglobal\u002Fen\u002Fcompany\u002Fsustainability\u002Fcompliance\u002Fcollective-action.html), which has supported 85 Collective Action projects across more than 50 countries with three funding rounds and the Golden Stretch Round since 2009. The total funding commitment has increased from $100 million to nearly $120 million.  \n\nThe Golden Stretch will help to ensure that the achievements are sustained and the concept of Collective Action continues to grow and spread.\n\n### A growing community\n\nThe Basel Institute, which was founded in 2003 partly with the [aim of promoting Collective Action](https:\u002F\u002Fbaselgovernance.org\u002Fcollective-action\u002Ffaqs-collective-action) against corruption, has been part of the Siemens Integrity Initiative community since the first funding round. Among many other achievements, the funding has enabled us to develop the [B20 Collective Action Hub](https:\u002F\u002Fbaselgovernance.org\u002Fb20-collective-action-hub), a global go-to centre for resources and guidance on anti-corruption Collective Action, as well as build a strong community of practitioners through a series of international [conferences](https:\u002F\u002Fbaselgovernance.org\u002Fb20-collective-action-hub\u002Fevents) and workshops.\n\nThe adoption by several governments of the [High Level Reporting Mechanism](https:\u002F\u002Fbaselgovernance.org\u002Fb20-collective-action-hub\u002Fhrlm), a novel clean procurement mechanism developed and jointly promoted by the Basel Institute and the OECD with Siemens Integrity Initiative support, is another key achievement under our collaboration so far.\n\nA current series of roundtables exploring [synergies in human rights and anti-corruption compliance](https:\u002F\u002Fbaselgovernance.org\u002Fb20-collective-action-hub\u002Fhuman-rights) is seeing widespread resonance in the private sector, demonstrating the power of Collective Action to drive responsible and sustainable business beyond anti-corruption.\n\n### What to look out for at the Basel Institute\n\nThe new project will leverage our broad experience to mentor and support current and upcoming Collective Action leaders, as well as showcase the wide applicability of Collective Action to anti-corruption and related sustainable development goals. The B20 Collective Action Hub will be enhanced with online courses and a virtual help desk.\n\nWe will also multiply our strategic efforts to [mainstream Collective Action](https:\u002F\u002Fbaselgovernance.org\u002Fpublications\u002Fmainstreaming-collective-action-establishing-baseline), helping to embed the practice as a global compliance norm. We have already made significant inroads in this strategy under the current Siemens Integrity Initiative project, with strong endorsements of [Collective Action issued by the B20](https:\u002F\u002Fbaselgovernance.org\u002Fnews\u002Fbasel-institute-support-b20-italy-integrity-and-compliance-task-force-network-partner) Saudi Arabia in 2020 and in the Political Declaration of the Special Session of the UN General Assembly against Corruption ([UNGASS 2021](https:\u002F\u002Fbaselgovernance.org\u002FUNGASS21)).\n\nLook out for announcements of our forthcoming conference in 2022 – and more – by following our Collective Action team on [Twitter (@FightBribery)](https:\u002F\u002Ftwitter.com\u002Ffightbribery) and [LinkedIn](https:\u002F\u002Fwww.linkedin.com\u002Fcompany\u002Fbasel-institute-collective-action).\n\n### Learn more\n\n*   See the official [press release issued by Siemens AG](https:\u002F\u002Fpress.siemens.com\u002Fglobal\u002Fen\u002Fpressrelease\u002Fsiemens-again-support-international-initiatives-fight-against-corruption) on 7 July 2021.\n*   Learn about our [Collective Action team](https:\u002F\u002Fbaselgovernance.org\u002Fcollective-action) and see answers to [frequently asked questions](https:\u002F\u002Fbaselgovernance.org\u002Fcollective-action\u002Ffaqs-collective-action) in Spanish, French and Portuguese.\n*   Browse the [B20 Collective Action Hub](https:\u002F\u002Fbaselgovernance.org\u002Fb20-collective-action-hub) for inspiration and evidence on anti-corruption Collective Action.","2021-07-07","siemens-integrity-initiative-funds-basel-institute-for-golden-stretch-in-promoting-anti-corruption-collective-action-2049","Siemens Integrity Initiative funds Basel Institute for “Golden Stretch” in promoting anti-corruption Collective Action","https:\u002F\u002Fjam.baselgovernance.org\u002Fapi\u002Fassets\u002Fa60ebd65-c3c1-47f6-8f43-a97a3690fbee?width=1000&height=650&format=webp&quality=80",[],[133,134],"Collective Action","Private Sector",[96,136],"Media releases",[],2049,[133,134],[96,136],[],[],[22,133],[],"2022-05-26T22:52:49.000Z",[],"\u002Fresources\u002Fnews\u002Fsiemens-integrity-initiative-funds-basel-institute-for-golden-stretch-in-promoting-anti-corruption-collective-action-2049",{"id":149,"body":150,"status":6,"type":60,"date":151,"slug":152,"title":153,"image":154,"countries":155,"topic":156,"activity":157,"tags":158,"nid":167,"topics":168,"activities":169,"authors":170,"images":171,"websites":172,"area":20,"programme":20,"language":20,"translations":173,"translation_of":20,"user_created":51,"date_created":174,"user_updated":53,"date_updated":54,"content":175,"link":176},10290,"_Publishing information on the real owners of companies, also known as beneficial owners, can help governments curb corruption and support a more transparent environment for business. A session at the [4th International Collective Action Conference](https:\u002F\u002Fcollective-action.com\u002Fget-involved\u002Fevents\u002Ficac-2022) in Basel discussed how the new ‘_[_Opening Extractives_](https:\u002F\u002Feiti.org\u002Fopening-extractives)_’ programme seeks to create new momentum for beneficial ownership transparency in a sector that has been prone to corruption risks. This guest blog by Mark Robinson, Executive Director of the Extractive Industries Transparency Initiative ([EITI](https:\u002F\u002Feiti.org\u002F)) explains the key takeaways with insights from the other panellists._\n\n### Why beneficial ownership transparency matters\n\nAs countries around the world face the dual challenges of climate change and the economic impact of the COVID-19 pandemic, sustainable governance of natural resources is becoming an [ever more critical issue](https:\u002F\u002Feiti.org\u002Farticles\u002Ftackling-corruption-through-actionable-data-company-ownership). Funds are urgently required to address healthcare, economic and social needs arising from the pandemic. In resource-rich countries, the extractive sector makes a key contribution to tax revenue.\n\nThere is a new wave of understanding of the importance of beneficial ownership transparency, including how government, industry and civil society organisations can support it. Anonymous companies remain a major obstacle in the fight against money laundering, corruption and tax evasion, which costs developing countries billions of dollars of lost revenue, in [addition to the severe social costs](https:\u002F\u002Fwww.imf.org\u002FPublications\u002Ffandd\u002Fissues\u002F2019\u002F09\u002Fthe-true-cost-of-global-corruption-mauro). Protecting the real owners of the companies, also known as beneficial owners, can deter investment and make it harder for governments to curb corruption.\n\nNo one makes the case for open registers more strongly than countries which are heavily exposed to mining, oil and gas revenues. This case, and the legal framework on which it relies, was clearly articulated at the International Collective Action Conference by Alhaji Garba Abubakar, Registrar-General at the Corporate Affairs Commission in Nigeria:\n\n> “Companies must know the real owners and beneficiaries of the companies with whom they are dealing to ensure compliance with the law.”\n> \n> – Alhaji Garba Abubakar, Registrar-General, Corporate Affairs Commission, Nigeria\n\n### How does beneficial ownership data combat corruption?\n\nAccess to quality beneficial ownership data strengthens accountability in several ways. It shines a light on potential areas for corruption, strengthens responsible investment and provides information for citizens to hold those who misuse anonymous companies to account.  \n\nBy reducing the scope for corruption, tax evasion and other financial crimes, information about the beneficial owners of companies supports the potential for increased government revenues from the extractives sector, as well as the chances that these revenues will be used for development, rather than the enrichment of the few. Making sure this essential data is available, however, can only be possible with support from all sectors.\n\nThis is the goal of our ambitious joint initiative, [Opening Extractives](https:\u002F\u002Fcollective-action.com\u002Fexplore\u002Finitiatives\u002F2103). Working with governments, industry and civil society, Opening Extractives is committed to pushing the agenda forward and moving from commitments to action on beneficial ownership transparency.\n\n> “Opacity about who owns companies is at the heart of wide-ranging weaknesses in the global financial system. It is a massive gap in our knowledge about the businesses that shape our lives. Without it, we will continue to tackle corruption, tax evasion and governance failures blindfolded and with our arms tied behind our backs.”\n> \n> – Thom Townsend, Executive Director, Open Ownership\n\n### A new programme, new momentum\n\n_Opening Extractives_ will build on progress made by governments, companies, civil society and other stakeholders to establish the legal reforms and technical systems required to make ownership data public and promote its use.\n\nFor the past year, EITI and [Open Ownership](https:\u002F\u002Fwww.openownership.org\u002Fen\u002F), who are jointly implementing the programme, have worked with local stakeholders to create a platform for government, civil society and industry to define their priorities to advance beneficial ownership transparency at the national level.\n\nArgentina, Armenia, Ghana, Indonesia, Liberia, Mexico, Mongolia, Nigeria, the Philippines, Senegal, and Zambia will draw on the programme to support their national efforts on beneficial ownership transparency, with launch events in eight of these countries to date.\n\nThe programme has also provided technical support on disclosure of beneficial ownership data for national governments and capacity building to increase its use. It works to ensure that knowledge and lessons are shared at regional levels, and that evidence and insights are communicated globally to scale impact.\n\nIn addition to fostering discussion and engagement, Opening Extractives has worked to understand the state of beneficial ownership reform through scoping studies that provide the foundation for technical assistance and capacity building.\n\n### What does Opening Extractives aim to achieve?\n\nThrough the initiative, we hope to achieve three outcomes by the end of 2025:\n\n*   Ensure government, industry, and civil society actors have greater access to comprehensive and reliable information on the ultimate owners of extractive industry companies. \n*   Enable government, industry, and civil society actors to more easily identify and address the risks related to hidden ownership.\n*   Advance beneficial ownership transparency in the extractive industries by communicating the impact and outcomes of the programme. \n\nThe programme is primarily supported by the [BHP Foundation](https:\u002F\u002Fwww.bhp.com\u002Fsustainability\u002Fcommunities\u002Fbhp-foundation) and is working with other donors to broaden its support base and its potential reach and impact.\n\n### A collective response to corruption\n\nThe role of beneficial ownership transparency is paramount to closing channels for corruption, enabling effective taxation and building fairer markets. By involving governments, companies and civil society, Opening Extractives capitalises on the success of EITI’s multistakeholder approach and provides an opportunity for quality beneficial ownership data to become accessible to citizens.\n\n> “Opening Extractives empowers citizens with information that helps them harness the transformative power of natural resource wealth for sustainable and inclusive human development. For beneficial ownership transparency to be successful working collectively across sectors is critical, which is why this initiative is so important.”\n> \n> – Claire Harbron, Chief Investment Officer, BHP Foundation","2022-07-20","opening-extractives-how-beneficial-ownership-transparency-in-extractive-sectors-helps-curb-corruption-2254","Opening Extractives: how beneficial ownership transparency in extractive sectors helps curb corruption","https:\u002F\u002Fjam.baselgovernance.org\u002Fapi\u002Fassets\u002Fc2d1c7b9-4134-4ad9-a1fe-9233f2cb2db5?width=1000&height=650&format=webp&quality=80",[],[133,134],[16],[159,163],{"tags_id":160},{"id":161,"name":162},818,"Anti-money laundering",{"tags_id":164},{"id":165,"name":166},804,"Natural resources",2254,[133,134],[16],[],[],[22,133],[],"2022-07-20T08:07:30.000Z",[],"\u002Fresources\u002Fnews\u002Fopening-extractives-how-beneficial-ownership-transparency-in-extractive-sectors-helps-curb-corruption-2254",{"id":178,"body":179,"status":6,"type":33,"date":180,"slug":181,"title":182,"image":183,"countries":184,"topic":185,"activity":186,"tags":187,"nid":188,"topics":189,"activities":190,"authors":191,"images":193,"websites":194,"area":20,"programme":20,"language":20,"translations":195,"translation_of":20,"user_created":51,"date_created":196,"user_updated":53,"date_updated":8,"content":197,"link":198},10053,"Active risk management and holistic approaches to preventing and mitigating threats and hazards have been identified as increasingly important to companies. This has come about not only as a response to regulatory developments, but also to satisfy stakeholder demands regarding the creation and preservation of value. [Sean Lyons](https:\u002F\u002Fwww.crcpress.com\u002Fauthors\u002Fi14908-sean-lyons) describes the various tensions between creating and maintaining value, and the demands of long-, medium- and short-term objectives and what drives them, in his recently published book _Corporate Defense and the Value Preservation Imperative_ ([CRC Press 2016](https:\u002F\u002Fwww.crcpress.com\u002FCorporate-Defense-and-the-Value-Preservation-Imperative-Bulletproof-Your\u002FLyons\u002Fp\u002Fbook\u002F9781498742283)).\n\nThe narrative focuses on internal functions that are traditionally regarded as responsible for the defense of the company, and the creation and preservation of value through increased alignment with the business objectives and genuine collaboration between the defense functions.\n\nLyons sets out his argument by looking at the issues from multiple angles, and through the lens of each of the traditional corporate defense functions. This leads to a matrix that is derived from strategic, tactical, operational and integrated approaches in combination with corporate defense related activities encompassed by governance, risk, compliance, intelligence, security, resilience, controls and assurance. In developing the proposition for a more integrated approach to corporate defense, Lyons describes an expansion of the traditional three lines of defense to five lines that includes the Executive Management and Board of Directors. The descriptions of how each line should fulfil its responsibilities and the observations on the oversight roles are not particularly new. The level of detail however, and logical development of what accountability means in practice, is clearly set out. The definition of roles forms the basis for the reasons why and how to develop a corporate defense mechanism and are further developed throughout the following chapters.\n\nThe author addresses the subject matter at a high level of abstraction with only a few examples found in the opening sections of the book that are almost all drawn from the financial industry during the crisis of 2007-2008, and which then peter out in the general sections. By focusing on the principles and theory of corporate defense, Lyons makes it sound almost easy to incentivise change within a company: Attitudes that currently begrudgingly tolerate corporate defense functions as costly but necessary evils, will be transformed into recognising the imperative for change. The success of collaboration through the matrix as the way to long-term value creation and a sustainable business model will thus be brought to life. If it only were so simple in reality. Anyone who has been tasked with developing defense strategies and implementing preventive measures in a company will attest to the difficulties of getting everyone on board and that it can be a long and complex process. And without the absolutely essential ‘tone from the top’ that has to emanate frequently and clearly from the board and executive management such change will not be possible, let alone sustainable. If the author had grappled with this reality in more detail it would have made his arguments even more compelling for developing alignment between operational management and defense functions.\n\nThe elusive notion of what constitutes ‘value’ is acknowledged as being a subjective issue that will depend on the stakeholder and their perspective. Thus the development of the imperative to create value in order to satisfy the various stakeholders with their competing and sometimes conflicting interests is not solved; the weight and priority to be ascribed to the various stakeholders is necessarily left to each company to determine and of course in a book that covers the topic for all industries, it could not be otherwise. Examples of companies that have successfully achieved or are at least well on the way along the five-step roadmap to cross-functional maturity would have enriched the high level text. For example, the author describes step three of this process as the enterprise-wide phase that involves tactically embedding the defense philosophy and standards into the culture of the enterprise. As those working in the corporate defense functions have to demonstrate the success and outputs of their preventive measures in order to martial their arguments for sticking with the program, and proving the success of a preventive measure is never conclusive, a few illustrations of how a company has tactically embedded a defense philosophy into the culture of the enterprise would have been enlightening.\n\nWhilst this reader would have preferred fewer sporting and martial arts analogies and editing of the repetitive sections, the comprehensive and logical sequencing and development of the arguments that culminate in the business case for the collaborative alignment of the defense program make this an essential read for anyone trying to implement a risk, compliance or any other defense program in a multinational company.\n\n_About the book author:_ _Sean Lyons_ _i__s internationally recognized as a corporate defense pioneer and thought leader. As the architect of the cross-functional discipline of corporate defense management (CDM) he is widely regarded as the foremost authority in this emerging field. With almost three decades of experience in corporate defense activities he is a firm advocate of the requirement for corporate defense to play a more prominent role in corporate strategy. For more information please visit: [https:\u002F\u002Fwww.crcpress.com\u002Fauthors\u002Fi14908-sean-lyons](https:\u002F\u002Fwww.crcpress.com\u002Fauthors\u002Fi14908-sean-lyons)_","2016-12-14","book-review-corporate-defense-and-the-value-preservation-imperative-257","Book review: Corporate Defense and the Value Preservation Imperative","\u002Fpics\u002Fimg-placeholder.png",[],[133,134],[16],[],257,[133,134],[16],[192],1299,[],[22,133],[],"2022-05-26T22:58:38.000Z",[],"\u002Fresources\u002Fnews\u002Fbook-review-corporate-defense-and-the-value-preservation-imperative-257",{"id":200,"body":201,"status":6,"type":33,"date":202,"slug":203,"title":204,"image":205,"countries":206,"topic":20,"activity":20,"tags":207,"nid":20,"topics":208,"activities":211,"authors":212,"images":213,"websites":214,"area":20,"programme":20,"language":20,"translations":215,"translation_of":20,"user_created":216,"date_created":217,"user_updated":53,"date_updated":218,"content":219,"link":220},10553,"*The following blog post is a guest contribution and reflects the views and opinions of the original author, which do not necessarily represent those of the Basel Institute. It is shared as-is for informational purposes only.*\n\n\u003Chr \u002F>\n\n*By **Pat Poitevin**, Co-Founder – Executive Director, Canadian Centre of Excellence for Anti-Corruption (CCEAC)\nMember, Collective Action Mentoring Programme*\n\nIn the global effort to tackle corruption, the concept of collective action has moved from theory to necessity. At the CCEAC, this principle is more than a model – it is the foundation of our approach to ethics, compliance and anti-corruption.\n\nSince joining the Basel Institute’s Collective Action Mentoring Programme, we have had the opportunity to share our work, learn from others and expand our reach. We have seen first-hand the value of connecting like-minded organisations, particularly NGOs and not-for-profits working in the prevention space, to share experiences, build capacity and tackle corruption collaboratively. As an early member of the programme, this blog offers our reflections on CCEAC’s evolution, successes, ongoing challenges and our call to keep pushing forward together.\n\n\n**Building a hub for anti-corruption collective action**\n\nCCEAC was launched with a clear purpose: to bring together public, private, academic and civil society actors to address corruption through a collaborative and multi-sectoral approach. We created an online platform and knowledge hub where professionals, students and organisations could access and contribute tools, strategies and best practices, building collective capacity in Canada and abroad.\n\nAlthough “anti-corruption” is in our name and remains a central focus, we have learned over years of field experience that to truly engage businesses and other key stakeholders, we must frame anti-corruption as part of a broader conversation around ethics, compliance and risk management. Companies are more receptive when we speak their language, emphasising how ethical business practices, responsible conduct and effective risk mitigation strategies can enhance their resilience, reputation and long-term success.\n\nUnderstanding the pain points and motivations of our audience, whether it is reducing legal exposure, protecting brand integrity or gaining access to new markets, has helped us better connect, engage and ultimately activate our stakeholders. By positioning anti-corruption as a strategic component of doing business responsibly, we have been more effective in encouraging companies, especially SMEs, to take action.\n\nOur CCEAC Toolbox is central to this mission. It is not just a repository – it is a growing, user-driven resource library built by contributors who have experienced the real-world challenges of ethics and compliance and want to share practical solutions. It is tailored to meet the needs of SMEs and under-resourced organisations and is grounded in a spirit of accessibility and collective contribution.\n\nWe have also developed the Global Anti-Corruption University Project (GAUP), which brings law and business students into real-world settings to co-develop ethics and compliance programmes with small and medium-sized enterprises. GAUP turns future leaders into agents of change and helps close the gap many SMEs face when trying to implement cost-effective, risk-based anti-corruption measures.\n\n\n**International reach through shared values**\n\nCCEAC’s collective action model has reached beyond Canada thanks to partnerships that align with our values. We have worked with universities and stakeholders in Ecuador, Colombia and Indonesia to adapt the model locally, always emphasising collaboration, shared ownership and the importance of building solutions that fit cultural, legal and business contexts.\n\nA key enabler of this global engagement has been our long-standing partnership with Canada’s Trade Commissioner Service (TCS) under Global Affairs Canada. This relationship has proven invaluable, providing targeted funding to support training initiatives and regional expansion, but more importantly, connecting us with Canadian companies operating abroad.\n\nThrough TCS, we have trained and advised Canadian businesses on corruption risks in specific markets, while also encouraging trade commissioners themselves to become more engaged on anti-corruption issues. This dual impact, on both the business community and Canada’s trade representatives, has helped extend the mission and visibility of CCEAC far beyond our own borders.\n\nBut even with these successes, we continue to face a critical challenge: long-term sustainability.\n\n\n**The funding paradox: innovation without stability**\n\nLike many NGOs and NFPs in the Collective Action Mentoring Programme, CCEAC relies on a mix of project-based grants, in-kind support and volunteer contributions. While this model has enabled us to deliver impactful results on a very limited budget, it comes at a cost.\n\nProject-based funding often only covers the essentials – keeping the platform running, responding to requests, delivering promised outputs. But it rarely allows for strategic planning, innovation or platform upgrades. There is little room to explore new tools, test new ideas or invest in deeper engagement with our contributors and users.\n\nDespite these limitations, we have managed to innovate, largely through creative partnerships. Our collaboration with a local technical college has enabled us to tap into student talent for web and AI development projects, helping us build digital tools that support ethics and compliance benchmarking, risk assessment and user-driven dashboards. This model has not only benefited us, it has provided students with real-world experience and a tangible impact.\n\nStill, the lack of core, flexible funding means we are often working at capacity without the ability to scale or secure the future of our programmes.\n\n\n**Lessons from the mentoring programme: more than exchange**\n\nBeing part of the Collective Action Mentoring Programme has been a turning point. The programme created space for honest conversations, shared learning and mutual encouragement. We have learned from the diversity of approaches taken by others and we have gained insight into where we can improve.\n\nOne of the most important lessons, though, has been the need to share not just tools but strategies for funding and sustainability. Too many promising initiatives face burnout or stall because the business model does not keep up with the mission. In our discussions with other members, we see a clear need to co-create a roadmap for sustainable funding including new mechanisms, public-private partnerships and shared fundraising strategies that reflect the long-term nature of capacity-building work.\n\n\n**A call to keep building together**\n\nAs we prepare to meet in Basel and reflect on three years of mentoring, we at CCEAC are optimistic but also realistic. We know that meaningful change takes time, trust and shared effort. We also know that those working in this field often carry the weight of doing more with less, innovating without the safety net of reliable funding and fighting for attention in crowded public agendas.\n\nThis is why we are putting forward this call to action:\n\n1. To fellow programme members:\nLet us keep exchanging ideas, but let us also start exchanging strategies for financial resilience. How are we diversifying revenue? What models have worked and which have not? How can we support each other’s funding proposals or co-design shared initiatives?\n\n2. To donors and public sector allies:\nRecognise the full value of collective action. Beyond deliverables, invest in the infrastructure, platforms and people who keep this work alive. Core funding matters – it is what allows innovation to happen and impact to scale.\n\n3. To companies and compliance leaders:\nIf you have built strong anti-corruption programmes, consider sharing them. Your tools, training materials and policies can help raise the bar for SMEs. Mentorship and open access to your resources are powerful forms of collective action.\n\n4. To academics and students:\nPartner with us. Whether through GAUP, applied research or co-developing content for our toolbox, your ideas and energy are vital. Help us shape what comes next.\n\n\n**Final reflections**\n\nCollective action works best when it is active, inclusive and focused on impact. CCEAC has grown from a Canadian initiative to an international model because we have listened, partnered and stayed rooted in the belief that doing the right thing should be easier, not harder.\n\nWe still have work to do, but we are in good company. The mentoring programme has given us more than guidance – it has given us a community and, with that, a renewed commitment to help each other grow, sustain and succeed.\n\nWe look forward to connecting in Basel and continuing the conversation about how we can fund, grow and sustain collective action into the future.\n\nGet involved with CCEAC:\n🌐 www.cceac.ca\n📧 info@cceac.ca\n📢 Want to contribute to the Toolbox or support our work? Let us connect.\nOr reach out to Pat at pat.poitevin@cceac.ca","2025-05-15","effectively-leveraging-collective-action-sharing-the-journey-challenges-and-a-call-to-action-from-the-canadian-centre-of-excellence-for-anti-corruption","Effectively leveraging collective action: sharing the journey, challenges and a call to action from the Canadian Centre of Excellence for Anti-Corruption","https:\u002F\u002Fjam.baselgovernance.org\u002Fapi\u002Fassets\u002F3aeee180-868c-43cc-979b-ced9399b977b?width=1000&height=650&format=webp&quality=80",[],[],[209,210,40,133],"HLRM","Integrity Pacts",[],[],[],[22,133],[],"de81a3eb-02df-461e-a0e0-e5db7e35c0fc","2025-05-15T13:58:23.000Z","2025-08-31T23:15:27.000Z",[],"\u002Fresources\u002Fnews\u002Feffectively-leveraging-collective-action-sharing-the-journey-challenges-and-a-call-to-action-from-the-canadian-centre-of-excellence-for-anti-corruption",{"id":222,"body":223,"status":6,"type":33,"date":224,"slug":225,"title":226,"image":183,"countries":227,"topic":229,"activity":230,"tags":231,"nid":232,"topics":233,"activities":234,"authors":235,"images":236,"websites":237,"area":20,"programme":20,"language":20,"translations":238,"translation_of":20,"user_created":51,"date_created":239,"user_updated":80,"date_updated":240,"content":241,"link":242},10133,"In Québec, construction is a major industry, with investments in 2014 of nearly $48 billion (CAN$), or 13% of the province’s GDP.  Québec construction association (Association de la construction du Québec or ACQ) represents more than 60% of the province’s builders. But Canada’s second largest province has been through a major crisis of confidence after investigative journalists uncovered  corruption and collusion in public construction contracts.  This led authorities to launch a public Inquiry in 2011.\n\nThe Commission of Inquiry on the Awarding and Management of Public Contracts in the Construction Industry, also known as the Charbonneau Commission, uncovered various collusion and corruption schemes, whose main consequences were distorting the free market and open competition, increasing costs, and impacting public finances – to say nothing of the reputations of those who were directly or even indirectly involved.\n\nThese manoeuvres also cost the industry very dearly in terms of the reputation and respect of tens of thousands of contractors and workers who saw their reputations tarnished and their pride undermined by unscrupulous individuals. These people have also been the target of anger, indignation, exasperation, cynicism and contempt from a growing number of citizens.\n\nFor the ACQ, clearly, there needs to be recognition that due to the nature of the crisis, no legislative, regulatory or structural change can forever eradicate the potential for collusion and corruption, nor can such measures rebuild integrity, a _sine qua non_ condition of citizens’ trust in institutions.\n\nInspired by this pragmatic message, the ACQ created an integrity program, which is the outcome of a rigorous, in-depth process and that led its president, Ms Manon Bertrand, to conclude: “While we are all responsible for our actions, the industry must be proactive in order to project an image that truly reflects its values and its essential contribution to Québec society. In practice, all stakeholders need to equip themselves with appropriate tools for best using their judgment and assuming the obligations incumbent upon them with full transparency.”\n\nACQ made a commitment to change\n-------------------------------\n\nSince 2010, the ACQ has committed to finding solutions to help the industry. As such, it tasked the Centre interuniversitaire de recherche en analyse des organisations (Centre for Interuniversity Research and Analysis of Organizations — [CIRANO](http:\u002F\u002Fwww.cirano.qc.ca\u002Fen) with a research assignment that identified various methods for detecting and preventing collusion in public markets.\n\nRight away, the tool proved to be of interest, but for the ACQ, we needed to take it further. As such, in January 2013, the ACQ tasked CIRANO with a second mandate: to suggest solutions that will help honest entrepreneurs to demonstrate their integrity.\n\nOne year later, CIRANO submitted its report ([executive summary](https:\u002F\u002Fwww.acq.org\u002Ffiles\u002Fpdf\u002Fservices\u002Fintegrite\u002Fen\u002FCiranoIntegrityinQuebecsConstuctionIndustry.pdf)), in which it recommended the creation of a collective action model to fight industry corruption. The approach it proposed is inspired by a guide developed by the World Bank Institute, which in turn showcases a model put into place by the Bavarian Building Industry Federation in Germany (Bauindustrie Bayern, [EMB Werte management](https:\u002F\u002Fwww.bauindustrie-bayern.de\u002Fthemen\u002Femb-wertemanagement\u002Femb-wertemanagement-bau-ev\u002F)).\n\nThis proposal led to an effective partnership, which enabled the ACQ to implement: an integrity program tailored to the realities of Québec’s construction industry; a professional assistance service for companies; easy-to-use tools tailored to the industry; an independent certification process.\n\nThe steps of the ACQ integrity program\n--------------------------------------\n\nThe ACQ integrity program is a unique model in Québec that combines tangible business management tools with training on ethics-related decision-making. To ensure that the integrity program is tailored to Québec realities, pilot projects were carried out with six companies of different sizes and types of expertise. The analysis carried out by the CIRANO team, completed in February 2015, indicates that this experimental phase helped “strengthen the integrity program’s credibility.” The program’s main steps are:\n\n*   Commitment from management\n*   Appoint program managers (integrity agent)\n*   Carry out the initial diagnosis\n*   Determine values\n*   Develop a charter of values and a code of conduct\n*   Define the risk\n*   Create simple yet rigorous process\n*   Train high risk people\n*   Inform and raise awareness among all employees\n*   Certification on audit and renewal\n\nSince more than 80% of construction companies comprise five or fewer employees, many of them do not have the time, materials or resources to put such a system into place. For this reason, the ACQ’s assistance service is a crucial element in implementing the program. ACQ professionals have created an “Integrity Kit,” a turnkey product, Templates to personalise for each of the suggested documents,\n\nIn the spring of 2014, six ACQ member companies – varying in size from 5 to 500 employees – agreed to take part in pilot projects. Participants of the pilot projects had the opportunity to share a brief summary of their experience in these videos. Here is one of these testimonials (French audio with English subtitles).\n\n*   [ACQ Integrity Program - Why](https:\u002F\u002Fwww.youtube.com\u002Fwatch?v=R-FGdM7tfDw)\n*   [ACQ Integrity Program - How](https:\u002F\u002Fwww.youtube.com\u002Fwatch?v=8CQZ_mLwco8)\n*   [ACQ Integrity Program - Lessons Learned](https:\u002F\u002Fwww.youtube.com\u002Fwatch?v=5-a1rKD2xUw)\n\nThe certification process\n-------------------------\n\nThe certification program is currently being developed. The ACQ favours the creation of an independent, not-for-profit organisation tasked with auditing, checking and certifying the businesses that take part in the program.\n\nThese experiences seem to prove that a crisis such as the one our industry is currently undergoing is, to be sure, a significant problem with clearly felt consequences; but, at the same time, it has served to challenge the lax approach and social disengagement that had too long guided certain business practices.\n\nWhile contractors must win back lost trust by implementing healthy governance practices, this culture change must be driven by effective methods that rely on principles of sustainable development in order to foster companies’ economic longevity.\n\nTo accomplish this, all stakeholders must contribute, so that the new rules of the game truly fit with the construction industry’s values and needs. Still in its infancy, this collective action will grow quickly, guided by those who choose to get involved in the project rather than stand on the sidelines.\n\nThe ACQ now wants to ensure engagement by clients in both the public and private sectors. There remains much to accomplish, and new partnerships are key. Clients need to have a voice in this process, among others by getting involved in managing the independent organization that will lead, audit, certify and re-evaluate the set of processes that entrepreneurs must follow. Let’s learn from our experiences, and let’s all put our shoulders to the wheel to help the Québec construction industry – a key pillar of our economy – in its recovery.\n\nACQ’s team has been at been at work mobilising stakeholders and the certification project is getting more support each day.  Since the official a launch of the program in June 2015 and the publication of a [white paper](https:\u002F\u002Fwww.acq.org\u002Ffiles\u002Fpdf\u002Fservices\u002Fintegrite\u002Fen\u002FWhitePaper_Integrity.pdf), many more construction companies have since started to implement the integrity program.\n\nThe Charbonneau Commission will publish its recommendations after 3 years of inquiry on November 30th at the latest.  We yet have to find out if the Commission will recognise the effort made by the ACQ. Whatever the outcome, ACQ plans to follow through with the projects.\n\nFind out more about the [Québec construction association integrity initiative](https:\u002F\u002Fwww.acq.org\u002Fenglish\u002F).\n\n_[www.twitter.com\u002Facqprovinciale](https:\u002F\u002Ftwitter.com\u002Facqprovinciale)_","2015-10-19","quebec-construction-association039s-integrity-program-a-tool-for-re-establishing-trust-through-collective-action-269","Quebec Construction Association's Integrity Program: a tool for re-establishing trust through Collective Action",[228],7683,[133,134],[16],[],269,[133,134],[16],[],[],[22,133],[],"2022-05-26T22:59:05.000Z","2026-04-15T22:28:49.000Z",[],"\u002Fresources\u002Fnews\u002Fquebec-construction-association039s-integrity-program-a-tool-for-re-establishing-trust-through-collective-action-269",{"id":244,"body":245,"status":6,"type":60,"date":246,"slug":247,"title":248,"image":183,"countries":249,"topic":250,"activity":251,"tags":253,"nid":254,"topics":255,"activities":256,"authors":257,"images":258,"websites":259,"area":20,"programme":20,"language":20,"translations":260,"translation_of":20,"user_created":51,"date_created":261,"user_updated":80,"date_updated":262,"content":263,"link":264},9542,"Environmental crime is lucrative, with its profits easily realised via financial crime and corruption. What is being done to trace illicit financial flows that facilitate environmental crime? And what about the illegally obtained profits derived from it?\n\nOn Friday 17 December, the Basel Institute's [Green Corruption](https:\u002F\u002Fbaselgovernance.org\u002Fgreen-corruption) team organised a special event at the 9th Conference of the States Parties to the UN Convention Against Corruption (CoSP 9) to discuss this crucial barrier to attaining the Sustainable Development Goals (SDGs).\n\nPanelists from government and civil society explored current efforts and remaining gaps in following the money to attack environmental crime. The discussion covered perspectives from national law enforcement and from conservation.\n\n### Video and key takeaways\n\n*   Watch the full video of the CoSP 9 side event: [Environmental corruption as a roadblock to reaching the SDGs](https:\u002F\u002Fwww.youtube.com\u002Fwatch?v=lZ01LMLvPUI)\n*   [Listen to the audio file](https:\u002F\u002Fbaselgovernance.org\u002Fsites\u002Fdefault\u002Ffiles\u002F2021-12\u002Faudio%20starting%20from%20gretta.mp3)\n\nThe panellists explored how our understanding of corruption’s impact on the environment and biodiversity is broadening. This is partly thanks to greater dialogue between anti-corruption practitioners and those working in conservation and natural resource management – conversations that need to continue.\n\nTackling green corruption is not only about strengthening enforcement against environmental crime fuelled by bribes and collusion. It can involve strengthening accountability and participation in decision-making, for example, so that communities benefit equitably from the sustainable exploitation of natural resources and their conservation.\n\nIt’s also about addressing larger systemic issues, like poor beneficial ownership transparency of companies that exploit natural resources, and how illicit financial flows linked to environmental crime and corruption are able to enter the international financial system. \n\nPublic-private collusion is rampant in natural resource management. How can governments implement radical and effective environmental protection when their ministers and high-ranking officials run the companies that exploit natural resources?\n\nGrand corruption underlies much industrial-scale environmental degradation, such as the granting of permits to exploit protected land and forests. Bribes can be paid by multinational companies through small suppliers based overseas. This turns such cases into transnational affairs that are almost impossible for investigators to follow without fast and proactive international cooperation.\n\nEnvironmental crime and related corruption not only damage the environment and biodiversity. They also tangibly reduce government revenues that could be collected from, for example, sustainable and legal natural resource exploitation (fishing, logging, mining…) and fees for the safe disposal of hazardous waste. This harms citizens directly, as does the destruction of the natural resources on which they rely for food and livelihoods. It is not a trade-off between the environment and economic development, as some think: economies suffer long-lasting effects from environmental degradation. \n\nYet trade-offs and choices are inevitable. In this, leadership and political will are sorely needed. Leaders may be under pressure from powerful interests, but they need to live up to their commitments to citizens – and citizens need to play their part in holding leaders to account. \n\nCorruption – like climate change – is a complex, transnational issue that risks destroying our very existence. Both need to be elevated to the very top of the agenda. \n\nGreen corruption demands a multifaceted, multi-stakeholder and transnational response, making use of all available tools:\n\n*   “Follow the money” approaches to investigate environmental crime and corruption and recover illicit assets; this is still uncommon among environmental agencies, and needs not only capacity building but adjustments to institutional setups.\n*   Inter-agency collaboration between government agencies responsible for environmental matters, law enforcement, corruption prevention, tax, customs, and others; joint taskforces help pool resources and responsibilities and ensure a harmonised response. \n*   International cooperation is key to tackle crimes that cross borders, especially in tracing illicit financial flows and recovering illicit assets generated by environmental crime and corruption.\n*   Corruption prevention approaches, such as corruption risk assessments and strengthening internal controls, have huge potential to be built into natural resource and conservation programming yet are currently rarely applied.\n*   [Collective Action](https:\u002F\u002Fbaselgovernance.org\u002Fcollective-action) can help to mobilise the private sector to raise standards of governance in natural resource sectors, bring the incentives of public and private-sector actors into alignment with the needs of citizens.  \n\n### Speaker line-up and registration\n\nGretta Fenner, Managing Director of the Basel Institute on Governance, will moderate the discussion between panellists from different parts of the world:\n\n*   Elizabeth Hart, Chief of Party, Targeting Natural Resource Corruption project, WWF USA\n*   Laode Syarif, Executive Director, Kemitraan and Former Commissioner, Corruption Eradication Commission of the Republic of Indonesia\n*   Juhani Grossmann, Team Leader, Green Corruption programme, Basel Institute on Governance\n*   Agnes Nabwire, Assistant Commissioner, Tax Investigations, Uganda Revenue Authority\n\n### Why is the topic important for UNCAC?\n\nCorruption directly threatens the achievement of SDG 16.4 (reduce illicit financial flows) and SDG 16.5 (reduce corruption and bribery). It affects the poorest most strongly, undermining 1.4 (no poverty). Corruption, money laundering and related financial crimes and governance failures also impact environment-related SDGs by:\n\n*   enabling criminals to fund operations and also hide, launder and enjoy the profits of their crimes;\n*   undermining law enforcement efforts against environmental crimes, and the sustainable governance of natural resources;\n*   mutating low-scale poaching, artisanal mining and subsistence logging into global criminal enterprises with industrial-scale detrimental impacts on the environment; \n*   perverting regulations put in place to preserve the environment;\n*   weakening and diverting government policies developed to ensure environmental rehabilitation and equitable access to natural resources;\n*   allowing the operation of illegal mines, the trafficking of toxic waste and ozone-depleting substances, illegal and unsustainable trading in flora and fauna, and other environmentally destructive activities.\n\nThe panel highlighted the important role corruption plays in facilitating environmental crime and the tools that the UNCAC provides to address this challenge. The panellists outlined the varying approaches of their home States in addressing environmental corruption, and identify remaining gaps.\n\nThe discussion explored promising anti-corruption tools for an environmental context and draw insights and lessons learned from transnational environmental corruption cases and related international cooperation.\n\n*   See all [CoSP 9 special events organised or supported by the Basel Institute on Governance](https:\u002F\u002Fbaselgovernance.org\u002Fcosp-9-special-events).\n*   See the [programme of all CoSP special events](https:\u002F\u002Fwww.unodc.org\u002Funodc\u002Fen\u002Fcorruption\u002FCOSP\u002Fsession9--special-events\u002F13-Dec-2021.html) on the UNODC website.","2021-12-03","environmental-corruption-as-a-roadblock-to-reaching-the-sdgs-virtual-cosp-side-event-on-17-december-2144","Environmental corruption as a roadblock to reaching the SDGs: virtual CoSP side event on 17 December",[],[67,93],[95,69,96,252],"International cooperation",[],2144,[73,93],[95,69,96,252],[],[],[22],[],"2022-05-26T22:52:14.000Z","2026-05-29T22:21:41.000Z",[],"\u002Fresources\u002Fnews\u002Fenvironmental-corruption-as-a-roadblock-to-reaching-the-sdgs-virtual-cosp-side-event-on-17-december-2144",{"left":266,"top":266,"width":267,"height":267,"rotate":266,"vFlip":268,"hFlip":268,"body":269},0,20,false,"\u003Cpath fill=\"currentColor\" fill-rule=\"evenodd\" d=\"M17 10a.75.75 0 0 1-.75.75H5.612l4.158 3.96a.75.75 0 1 1-1.04 1.08l-5.5-5.25a.75.75 0 0 1 0-1.08l5.5-5.25a.75.75 0 1 1 1.04 1.08L5.612 9.25H16.25A.75.75 0 0 1 17 10\" clip-rule=\"evenodd\"\u002F>",1780676431947]