Resource Type: Case study


Prepared by the Business Council of Australia and Asia Society Australia Asia Taskforce, this discussion paper includes guidance specifically for Australian companies looking to operate in Asia. It incorporates a risk management framework and case studies, and explains strategies for managing bribery and corruption incidents. 

Geared towards the banking sector, this briefing paper offers guidance from global experts on how to develop effective grievance mechanisms. It proposes 10 straightforward recommendations, which can be applied to other sectors. This resource explains the United Nations Guiding Principles effectiveness criteria for grievance mechanisms and applies these to case studies. It offers justification for why SMEs in high risk jurisdictions and sectors would benefit from implementing an operational-level grievance mechanism.

This easy to read resource explains the importance of operational-level grievance mechanisms for businesses and offers good practice guidance on effective grievance management. While specific to the mining and metals sector, this guidance is applicable to other sectors. The use of case studies, a glossary and infographics makes this resource an excellent entry point to learning about effective operational-level grievance mechanisms.

This resource contains guidance to help Singapore businesses to develop and implement anti-corruption systems by following four key steps: ‘pledge’, ‘assess’, ‘control and communicate’ and ‘track’. The guidance also contains case studies, links to additional resources and sample versions of anti-corruption policies, codes of conduct, declaration forms for gifts and entertainment and conflicts of interest, and a risk assessment checklist.

The OECD Anti-Corruption and Integrity Hub aims to strengthen our collective impact by providing a point of reference to learn, connect, and act. Access current anti-corruption and integrity news, events and recordings of past webinars, case studies, and links to global networks and initiatives in which you can get involved.

Detect bribery and corruption by leveraging technology based strategies such as data analytics. This resource unpacks how a data analytics strategy can help ensure effective and efficient compliance programs by automating compliance testing and going beyond manual reviews. The guidance is supported by tips, practical advice and case studies.

This short, 15 minute learning module can be used by businesses to help develop employees’ awareness of the foreign bribery offence. The module provides information about Australia’s anti-bribery policy, relevant laws and how to report foreign bribery. It features video interviews with Australian Federal Police representatives, links to relevant agencies and a short quiz, and supports users with accessibility requirements.

Address corruption in public infrastructure projects by applying this framework. Learn how data analytics can be used to monitor corruption risk across the project cycle. This resource includes a case study on creating a corruption risk index during construction of an international airport in Mexico City.

A resource on the process to use when commissioning independent assurance of anti-bribery programs. Provides benchmarks in the form of control objectives for use in designing and evaluating programs in anticipation of independent assurance. Includes clear step-by-step instructions broken into five stages.

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As type Case study Web

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Practical guidance for developing anti-bribery programs that suit the size and structure of small and medium enterprises. Includes clear steps on how to develop and implement an anti-bribery program. It recognises the resource constraints of smaller businesses and provides clear examples of how to assess bribery issues. Learn about internal communication, controls and monitoring.

This resource offers a road map for better corporate practice on anti-corruption disclosures. It demonstrates the business case for advancing corporate governance and transparency. Direction is provided for disclosure across five high risk areas. It responds to some of the legal challenges that might inhibit a business from disclosing information.

A 30-minute training module that provides good practice anti-bribery training for companies facing requests for bribes. A useful benchmark to assess training programs against. Offers headline points on the potential damage of bribes and some prevention steps. The tool includes a trainer’s handbook with PowerPoint slides.   

A tool that can be used by the mining sector to identify and assess the underlying causes of corruption in mining sector approval processes. This third edition includes guidance on how to conduct a gender-sensitive corruption risk assessment. Specifically, the updated MACRA Tool helps identify the gendered impacts of corruption on women as well as the barriers that hinder women’s participation in decision-making and accountability efforts, particularly at a community level. 

A sector specific resource that provides a clear framework for understanding how corruption can get a foothold in mining approvals processes. It provides mining companies with a roadmap to understanding the vulnerabilities to corruption that exist in the mining approval regimes of jurisdictions across the world. It links to a detailed report with examples from 18 resource rich countries.

The United States (US) Securities Exchange Commission (SEC) is the regulator for companies that are listed in, or raise capital in, the US. It frequently brings enforcement action against companies for 'books and records' offences related to foreign bribery under the Foreign Corrupt Practices Act. This resource includes an annotated list of enforcement actions under this Act.

The United States (US) Department of Justice has an extensive track record of enforcing foreign bribery matters, including against companies that are not registered in the US. This site shows the Department of Justice's foreign bribery enforcement track record.

In January 2020, Airbus entered into a deferred prosecution agreement (DPA) which included a fine of €991m in the United Kingdom (UK), as part of a total €3.6bn settlement across France, the UK and the United States for five counts of failure to prevent bribery. The conduct took place across Sri Lanka, Malaysia, Indonesia, Taiwan and Ghana between 2011 and 2015.

In 2016, Rolls Royce agreed to pay a fine of over £500 million in a deferred prosecution agreement relating to bribery in China, India, Indonesia, Malaysia, Nigeria, Russia and Thailand. Rolls Royce received significant discounts in penalties for cooperating with the Serious Fraud Office in the investigation and implementing strong anti-bribery policies and procedures after the misconduct was uncovered.

In 2019 the Serious Fraud Office in the United Kingdom (UK) entered into a deferred prosecution agreement with a small UK resources sector company concerning bribery in South Korea. The company was required to disgorge its profits from the bribery but did not receive a penalty because of its small size and the fact that it had thoroughly investigated and self-reported the issues.

In 2015 Standard Bank PLC entered into a deferred prosecution agreement with the Serious Fraud Office in the United Kingdom to pay penalties of over US$25 million and US$7 million of compensation in connection with its role in an equity raising in Tanzania. The case highlights the risks of using agents to help win government contracts.

Companies that have paid bribes can try to undo some of the harm through reparations. Enforcement agencies might also compel reparations to be made. This article outlines some of the forms that reparations can take and provides case studies from past enforcement actions.

This case study of the AWB class action examines allegations that can be made when a company does not report suspected corruption. Bribery and corruption allegations can have serious consequences for companies, including fines, loss of business and reputation, loss of licenses and inability to recover payments. For listed companies, those potential consequences may be material enough to need to be reported to the ASX.

This resource unpacks the key role played by whistleblowers in identifying instances of foreign bribery. Approaches to encouraging whistleblowers to report suspected instances of bribery to law enforcement are explored, including ensuring effective legal protection from reprisals. Case studies of the various approaches are provided from around the world to offer practical examples of the recommendations in action.

Australian businesses operating overseas need to be aware of their obligations under Australian and foreign laws with respect to dealing with foreign public officials. Austrade has published an anti-bribery and corruption guide for Australian businesses operating overseas and information sheets that provide businesses with practical tips and risk assessment tools.

This information pack provides key information on the Commonwealth offence for bribing a foreign public official, examples of foreign bribery, steps for reporting suspected foreign bribery and a list of useful links for further information. The pack contains six fact sheets as well as a poster and brochure that are available to download.

The Australian Government is proposing reforms that will require companies to implement and maintain adequate procedures to prevent an associate (such as an employee, agent or subsidiary) from bribing foreign public officials. This draft principles-based guidance sets out the types of measures companies should consider implementing and includes case studies to demonstrate how these measures could be applied in practice.