Fighting Corruption Collectively: How Successful are Sector-Specific Coordinated Governance Initiatives in Curbing Corruption?

232 Pages·2017·4.641 MB·English

by  Berta van Schoor (auth.)

Wirtschaftsethik in der globalisierten Welt
Berta van Schoor
Fighting Corruption
Collectively
How Successful are Sector-Specific
Coordinated Governance Initiatives
in Curbing Corruption?
Wirtschaftsethik in der globalisierten Welt
Herausgegeben von
Ch. Lütge, München, Deutschland
Die Ordnungsethik analysiert die normativen Grundlagen moderner Gesellschaften ein-
schließlich ihrer ökonomischen Aspekte und macht sie für die praktische Gestaltung
zugänglich. Dies umfasst sowohl systematische als auch historische Perspektiven der
Wirtschaftsethik sowie verwandter Gebiete der Philosophie, Ökonomik, Geistes- und
Sozialwissenschaften.
Herausgegeben von
Prof. Dr. Christoph Lütge
Technische Universität München
Deutschland
Weitere Bände in dieser Reihe http://www.springer.com/series/13464
Berta van Schoor
Fighting Corruption
Collectively
How Successful are Sector-Specific
Coordinated Governance Initiatives
in Curbing Corruption?
Berta van Schoor
München, Germany
Dissertation an der TU München
Wirtschaftsethik in der globalisierten Welt
ISBN 978-3-658-17837-6 ISBN 978-3-658-17838-3 (eBook)
DOI 10.1007/978-3-658-17838-3
Library of Congress Control Number: 2017939930
Springer VS
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Table of contents
List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX
List of Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XI
List of Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XIII
Danksagung . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XV
Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XVII
1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
2 THEORETICAL BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
SELF-INTEREST AS A MEANS OF PREVENTING CORRUPTION
2.1 Corruption as a Societal Challenge in the 21st Century . . . . . . . . . . . . . . 11
2.1.1 Delimiting Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.1.2 Defi ning Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.1.3 Categorizing Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
2.1.4 Conceptualizing Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.1.5 Assessing Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.2 Coordinated Governance Initiatives as a New Approach
for Curbing Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
2.2.1 International Anti-Corruption Efforts in Historical Perspective . . . 36
2.2.2 Overcoming the Governance Gap . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.2.3 Governance Structure and Overview of Coordinated Governance
Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
V
VI Table of contents
2.2.4 Potential Success Factors of Coordinated Governance Initiatives . . 64
2.2.5 Empirical Basis for the Assessment of Anti-Corruption Initiatives 70
2.3 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
3 METHODOLOGICAL APPROACH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.1 Problem Statement and Research Aims . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.2 Research Paradigm and Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
3.3 Research Design: Multiple-Case Study Design . . . . . . . . . . . . . . . . . . . . 84
3.4 Purposive Sampling: Case Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
3.5 Data Collection: Interviews and Documents . . . . . . . . . . . . . . . . . . . . . . . 89
3.6 Data Analysis: Template Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
3.7 Limitations of the Multiple-Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . 97
4 MULTIPLE-CASE STUDY ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
4.1 EMB Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
4.1.1 Profi le, Origin, and Sector Characteristics . . . . . . . . . . . . . . . . . . . . 100
4.1.2 Organizational Set-up and Operational Procedures . . . . . . . . . . . . . 104
4.1.3 Success Factors – General View . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
4.1.4 Embeddedness in an Established Institutional Framework . . . . . . . 110
4.1.5 Highly Committed Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
4.1.6 Lean Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
4.1.7 Repeated External Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
4.1.8 Competitive Advantages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
4.2 EITI Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
4.2.1 Profi le, Origin, and Sector Characteristics . . . . . . . . . . . . . . . . . . . . 117
4.2.2 Organizational Set-up and Operational Procedures . . . . . . . . . . . . . 122
4.2.3 Success Factors – General View . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
4.2.4 Supportive Institutional Framework . . . . . . . . . . . . . . . . . . . . . . . . . 130
4.2.5 Representation of Diverse Interests . . . . . . . . . . . . . . . . . . . . . . . . . 132
4.2.6 Narrow Scope of Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
4.2.7 Flexible Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
4.2.8 Ability to Enforce Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
4.2.9 Country-Ownership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
4.3 MACN Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
4.3.1 Profi le, Origin, and Sector Characteristics . . . . . . . . . . . . . . . . . . . . 139
4.3.2 Organizational Set-up and Operational Procedures . . . . . . . . . . . . . 142
4.3.3 Success Factors – General View . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
4.3.4 Awareness-Raising within the Maritime Sector . . . . . . . . . . . . . . . 148
4.3.5 Knowledge and Experience Sharing Among Participants . . . . . . . . 148
4.3.6 Self-Assessment and Reporting Requirements . . . . . . . . . . . . . . . . 150
4.3.7 Creation of Tangible Benefi ts through Local Collective Actions. . . 151
4.3.8 Visibility towards and Recognition by External Stakeholders . . . . . 152
Table of contents VII
5 CROSS-CASE ANALYSIS AND DISCUSSION . . . . . . . . . . . . . . . . . . . . 155
5.1 Initiatives’ Company Composition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156
5.2 Situations of Crisis and External Threats as Initiating Factors . . . . . . . . . 160
5.3 Existence of a Supportive Institutional Framework . . . . . . . . . . . . . . . . . 163
5.4 Continuing Commitment of Participants . . . . . . . . . . . . . . . . . . . . . . . . . 165
5.5 Complexity-Dependent Governance Structures and Procedures . . . . . . . 170
5.6 Enforcement Mechanisms for Reputation Protection . . . . . . . . . . . . . . . . 174
6 SUMMARY AND CONCLUSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
BIBLIOGRAPHY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
APPENDICES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Appendix 1: Interview Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Appendix 2: List of Documents Analyzed – EMB Case . . . . . . . . . . . . . . . . . 211
Appendix 3: List of Documents Analyzed – EITI Case . . . . . . . . . . . . . . . . . 214
Appendix 4: List of Documents Analyzed – MACN Case . . . . . . . . . . . . . . . 219
List of Tables
Table 1 Selection of Scientifi c Defi nitions of Corruption . . . . . . . . . . . . . . . . 15
Table 2 Frequently Made Distinctions of Corruption. . . . . . . . . . . . . . . . . . . . 17
Table 3 Synoptic View of Anti-Corruption Conventions and Treaties . . . . . . 40
Table 4 Overview of Selected Anti-Corruption Guidelines . . . . . . . . . . . . . . . 45
Table 5 Operationalization of Different Levels of Institutionalization . . . . . . 52
Table 6 Operationalization of Different Levels of Enforceability . . . . . . . . . . 53
Table 7 Overview of Selected Coordinated Governance Initiatives . . . . . . . . 61
Table 8 Success Factors Found in Literature . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Table 9 Corruption Assessment: Overview of Different Sources
of Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Table 10 The Constructivist/Interpretivist Research Paradigm . . . . . . . . . . . . . 83
Table 11 Maximum Variation Sampling Dimensions . . . . . . . . . . . . . . . . . . . . 86
Table 12 Selected Cases for the Empirical Study . . . . . . . . . . . . . . . . . . . . . . . . 87
Table 13 Sampling Profi les of the Three Cases . . . . . . . . . . . . . . . . . . . . . . . . . 89
Table 14 Distribution of Interviewees across the Three Cases . . . . . . . . . . . . . 91
Table 15 Profi le EMB Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Table 16 A Priori Themes for the Template Analysis . . . . . . . . . . . . . . . . . . . . 108
Table 17 Final Coding Template EMB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Table 18 Effects of EMB Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Table 19 Profi le EITI Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
Table 20 Final Coding Template EITI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
Table 21 Profi le MACN Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
Table 22 Final Coding Template MACN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Table 23 Clearly Identifi able Type of Corruption and Specifi c Goals in CGIs . 168
IX
List of Figures
Figure 1 Overview Chapters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Figure 2 Classifi cation Scheme for Coordinated Governance Initiatives . . . . . 51
Figure 3 WBI Classifi cation of Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Figure 4 Classifi cation of Selected Coordinated Governance Initiatives . . . . . . 64
Figure 5 Cause-Effect Relation Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Figure 6 Funnel Model of the Research Process . . . . . . . . . . . . . . . . . . . . . . . . 80
Figure 7 Contingency Model of Methodological Fit . . . . . . . . . . . . . . . . . . . . . 81
Figure 8 EMB Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Figure 9 EMB Process of Commitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Figure 10 EMB: From A Priori Themes to Final Coding Themes . . . . . . . . . . . 108
Figure 11 EITI Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Figure 12 EITI Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
Figure 13 EITI Requirements along the Extractive Industries Value Chain . . . . 127
Figure 14 EITI: From A Priori Themes to Final Coding Themes . . . . . . . . . . . . 129
Figure 15 MACN Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
Figure 16 Seven MACN Anti-Corruption Principles . . . . . . . . . . . . . . . . . . . . . 145
Figure 17 MACN: From A Priori Themes to Final Coding Themes . . . . . . . . . . 146
Figure 18 Prototypical Mining Value Chain . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
Figure 19 Principal Vessel Types World Merchant Fleet . . . . . . . . . . . . . . . . . . . 159
Figure 20 Different Levels to which Success Factors Are Related . . . . . . . . . . . 181
XI