The private regulation of global corporate conduct

The Politics of Global Regulation

Volumn , Issue , 2009, Pages 151-188

  Vogel, David ^a  

^a UNIVERSITY OF CALIFORNIA   (United States)

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EID: 84884794225     PISSN: None     EISSN: None     Source Type: Book    
DOI: None     Document Type: Chapter

References (144)

1. The term civil regulation comes from Simon Zadek, The Civil Corporation (London; Earthscan, 2001). It is also used by Dale Murphy and Jem Bendell, Partners in Time? (Geneva: United Nations Research Institute for Social Development, 1999). The scholarly literature on non-state regulation is beginning to increase. There are now five books on this subject by political scientists, four published since 2004: Benjamin Cashore, Geame Auld, and Deanna Newsom, Governing through Markets: Forest Certification and the Emergence of Non-State Authority (New Haven, CT: Yale University Press, 2004).
2. Virginia Haufler, The Public Role for the Private Sector: Industry Self-Regulation in a Global Economy (Washington, DC: Carnegie Endowment for International Peace, 2001).
3. Ronnie Lipschutz with James Rowe, Globalization, Governmentality and Global Politics; Regulation for the Rest of Us? (London and New York: Routledge, 2005).
4. Aseem Prakash and Matthew Potoski, The Voluntary Environmentalists: Green Clubs, ISO 14004, and Voluntary Environmental Regulation (Cambridge: Cambridge University Press, 2006).
5. David Vogel, The Market for Virtue: The Potential and Limits of Corporate Social Responsibility (Washington, DC: Brookings Institution Press, 2005). For a review of the literature on civil regulation by political scientists and other scholars.
6. David Vogel, "Private Global Business Regulation," Annual Review of Political Science (2008), 261-282.
7. Walter Mattli and Ngaire Woods, "In Whose Benefit? Explaining Regulatory Changes in Global Governance," this volume.
8. Halina Ward, Public Sector Roles in Strengthening Corporate Social Responsibility: Taking Stock (Washington, DC: World Bank, International Finance Corporation, 2004); Partnering to Strengthen Public Governance: The Leadership Challenge for CEOs and Boards (Geneva: World Economic Forum, 1998).
9. Jane Nelson, "Leadership, Accountability and Partnership: Critical Trends and Issues in Corporate Social Responsibility," Report of the CSR Initiative Launch Event, Corporate Social Responsibility Initiative, Report No. 1. Cambridge, MA: John F. Kennedy School of Government, Harvard University.
10. For excellent analysis of the role and importance of "soft law" in global governance.
11. John Kirton and Michael Trebilock, "Introduction: Hard Choices and Soft Law in Sustainable Global Commerce," in John Kirton and Michael Trebilock, eds., Hard Choices, Soft Law: Voluntary Standards in Global Trade, Environment and Social Governance (Aldershot: Ashgate, 2004); and the essays in Ulrika Moth, ed., Soft Law in Governance and Regulation (Cheltenham: Edward Elger, 2004). Both edited volumes contain essays on both private and public soft law.
12. Kenneth Abbott and Duncan Snidal, "Hard and Soft Law in International Governance," International Organization 54, no. 3 (Summer 2000), 421-456.
13. Virginia Haufler, "Globalization and Industry Self-Regulation," in Miles Kahler and David Lake, eds., Governance in A Global Economy: Political Authority in Transition (Princeton, NJ: Princeton University Press, 2003), 226.
14. Virginia Haufler, The Public Role for the Private Sector.
15. Rodney Hall and Thomas Biersteker, eds., The Emergence of Private Authority in Global Governance (Cambridge: Cambridge University Press, 2002).
16. John Ruggie, "Reconstituting the Global Public Domain-Issues, Actors and Practices," European Journal of International Relations 19, no. 4 (2004), 519.
17. Kenneth Abbott and Duncan Snidal, "The Governance Triangle: Regulatory Standards Institutions and the Shadow of the State," this volume.
18. Neil Gunningham and Peter Grabosky, Smart Regulation: Designing Environmental Policy (Oxford: Clarendeon Press, 1978) and Voluntary Approaches for Environmental Policy (Paris: OECD, 2003).
19. Patrick ten Brink, ed., Voluntary Environmental Agreements: Process, Practice and Future Use (Sheffield, UK: Greenleaf Publishing, 2001).
20. Ruth Grant and Robert Keohane, "Accountability and Abuses of Power inWorld Politics," American Political Science Review 99, no. 1 (February 2005), 35.
21. For a detailed analysis of both private and public voluntary codes and the relationships between them.
22. KernaghanWebb, ed., Voluntary Codes: Private Governance, the Public Interest and Innovation (Carleton, Canada: Carleton Research Unit for Innovation, Science and Environment, 2004).
23. Jon Birger Skjaerseth, Olav Schram Stokke, and Jorgen Wessestaad, "Soft Law, Hard Law, and Effective Implementation of International Environmental Norms," Global Environmental Politics 6, no. 3 (2006), 104-120.
24. Thomas Risse, Stephen Ropp, and Kathryn Sikkink, The Power of Human Rights: International Norms and Domestic Change (Cambridge: Cambridge University Press, 1999).
25. Thomas Risse, "International Norms and Domestic Change: Arguing and Communicative Behavior in the Human Rights Area," Politics and Society 27, no. 4 (December 1999), 529-550.
26. Ethan Naderman, "Global Prohibition Regimes: The Evolution of Norms in International Society," International Organization 44, no. 3 (Autumn 1990), 429-526.
27. For the importance of technical international standards, seeWalter Mattli, "Public and Private Governance in Setting International Standards," in Miles Kahler and David A. Lake, eds., Governance in a Global Economy (Princeton, NJ: Princeton University Press, 2003), 199-225; and a Special Issue of The Journal of European Public Policy 8, no. 3 (2001) on "Governance and International Standards Setting,"Walter Mattli, guest editor.
28. A. Claire Cutler, Virginia Haufler, and Tony Porter, eds., Private Authority and International Affairs (Albany: State University of New York, 1999).
29. Robert Falkner, "Private Environmental Governance and International Relations: Exploring the Links," Global Environmental Politics 3, no. 2 (May 2003), 79.
30. For the emergence and impact of global civil society and global citizen activism, including its efforts to address corporate conduct.
31. Robin Cohen and Shirin Rai, eds., Global Social Movements (London: Continuum, 2000).
32. Michael Edwards and John Gaventa, eds., Global Citizen Action (Boulder, CO: Lynne Rienner, 2001).
33. Margaret Keck and Kathryn Sikkink, Activists Beyond Borders (Ithaca, NY: Cornell University Press, 1998).
34. Marjorie Mayo, Global Citizens (Toronto: Canadian Scholars Press, 2005).
35. Sidney Tarrow, The New Transnational Activism (Cambridge: Cambridge University Press, 2005).
36. Jessica Mathews, "Power Shift," Foreign Affairs (January/February 1997), 53.
37. David Vogel, Trading Up: Consumer and Environmental Regulation in Global Economy (Cambridge, MA: Harvard University Press, 1995).
38. For the growth of civil regulation.
39. Gary Gereffi, Ronie Garcia-Johnson, and Erike Sasser, "The NGO-Industrial Complex," Foreign Policy (July-August 2001), 56-65.
40. Mathias Koenig-Archibugi, "Transnational Corporations and Public Accountability," Government and Opposition 39, no. 2-3 (2004): 234-259.
41. Ans Kolk and Rob van Tulder, "Setting New Global Rules? TNCs and Codes of Conduct," Transnational Corporations 14, no. 3 (December 2005), 1-27.
42. Rhys Jenkins, "Corporate Codes of Conduct: Self-Regulation in a Global Economy" (Geneva: UN Research Institute for Social Development, 2001).
43. David Vogel, Lobbying the Corporation: Citizen Challenges to Business Authority (New York: Basic Books, 1978).
44. For a comparative overview of government efforts to promote CSR.
45. Susan Ariel Aaronson and James Reeves, Corporate Responsibility in the Global Village: The Role of Public Policy (Washington, DC: National Policy Association, 2002). For the role of European governments in promoting CSR, and the importance of CSR in Europe.
46. Francesco Perrini, Stafano Pogutz, and Antonio Tencati, eds., Developing Corporate Social Responsibility: A European Perspective (Cheltenham, UK: Edward Elgar, 2006). The role of governments in partnering with firms to support private business regulation is explored in more detail in Abbott and Snidal, "The Governance Triangle: Regulatory Standards Institutions and the Shadow of the State," this volume.
47. Andre Habisch, Jan Jonker, Martina Wegner, and Rene Schmidpeter, eds., Corporate Responsibility Across Europe (Berlin: Springer, 2005).
48. Gary Gereffi and Frederick Mayer, "Globalization and the Demand for Governance." Unpublished paper, June 2006.
49. Peter Newell, "Environmental NGOs and Globalization," in Cohen and Rai, Global Social Movements, 121.
50. Christoph Knill and Dirk Lehmkuhl, "Private Actors and the State: Internationalization and Changing Patterns of Governance," Governance 15, no. 1 (January 2002), 42, 44.
51. The phrase is from Peter Newell, "Managing Multinationals: The Governance of Investment for the Environment," Journal of International Development 13, no. 7 (2002), 908.
52. Abbott and Snidal, "The Governance Triangle: Regulatory Institutions and the Shadow of the State," this volume.
53. Emilie M. Hafner-Burton, "Trading Human Rights: How Preferential Trade Agreements Influence Government Repression," International Organization 59, no. 3 (Summer 2005), 593-629.
54. Der-Chin Jorng, "The Human Rights Clause in the European Union's External Trade and Development Agreements," European Law Journal 9, no. 3 (December 2003), 677-701.
55. Susan Aaronson and Jame Zimmerman, Trade Imbalance: The Struggle toWeight Human Rights Concerns in Trade Policymaking (Cambridge: Cambridge University Press, 2008).
56. Ken Conca, "The WTO and the Undermining of Global Environmental Governance," Review of International Political Economy 7, no. 3 (Autumn 2000), 484-494.
57. Michael Trebilock, "Trade Policy and Labour Standards: Objectives, Instruments, and Institutions," in Kirston and Trebilock, eds., Hard Choices, Soft Law, 170-188.
58. Ronnie Lipschutz, "Why Is There No International Forestry Law?" UCLA Journal of Environmental Law and Policy 19 (2000/2001), 155-192.
59. For an analysis of how global firms might be made legally accountable for human rights.
60. Steven Ratner, "Corporations and Human Rights: A Theory of Legal Responsibility," Yale Law Journal (December 2001), 443-545.
61. David Kinley and Junko Tadaki, "From Talk toWalk: The Emergence of Human Rights Responsibilities for Corporations at International Law," Virginia Journal of International Law 44, no. 4 (2004), 1005-1015.
62. Kolk and van Tulder, "Setting New Global Rules? TNCs and Codes of Conduct."
63. Hugh Williamson and Michael Peel, "Nations 'Shamed' over Bribery," Financial Times, June 27, 2006, 4. For an update.
64. Jose Angel Gurria, "Rich Must Set the Example in Bribery," Financial Times, September 3, 2006, 5.
65. Jennifer Zerk, Multinationals and Corporate Social Responsibility: Limitations and Opportunities in International Law (Cambridge: Cambridge University Press, 2006). There have been several attempts to use the American judicial system to hold global firms legally accountable for human rights abuses under the provisions of the 1789 Alien Torts Claims Act, but they have largely been unsuccessful.
66. Kerrie Taylor, "Thicker Than Blood: Holding Exxon Mobil Liable for Human Rights Violations Committed Abroad," Syracuse Journal of International Law and Commerce 31, no. 2 (2004), 273-297.
67. For a comprehensive analysis of the growth of civil regulation in the context of a global governance deficit.
68. Mathias Koenig-Archibugi, "Transnational Corporations and Public Accountability," Government and Opposition no. 2-3 (2004), 234-259.
69. For detailed case studies of the political and institutional development of codes in the apparel and timber sectors.
70. TimBartley, "Institutional Emergence in an Era of Globalizations: The Rise of Transnational Private Regulation of Labor and Environmental Conditions," American Journal of Sociology 113, no. 2 (2007), 297-351.
71. Tim Bartley, "Certifying Forests and Factories: States, Social Movements, and the Rise of Private Regulation in the Apparel and Forest Products Fields," Politics and Society 3, no. 3 (September 2003), 433-464. For forestry.
72. Lors Gulbrandsen, "Overlapping Public and Private Governance: Can Forest Certification Fill Gaps in the Global Forest Regime?" Global Environmental Politics 4, no. 3 (May 2004), 75-99.
73. David Vogel, Lobbying the Corporation; and Citizen Challenges to Business Authority.
74. Philipp Pattberg, "The Institutionalization of Private Governance: How Business and Nonprofit Organizations Agree on Transnational Rules," Governance no. 4 (October 2005), 589-610.
75. Gereffi, Garcia-Johnson, and Sasser, "The NGO-Industrial Complex," 589-610.
76. Dennis Rondinelli and Ted London, "How Corporations and Environmental Groups Cooperate: Assessing Cross-sector Alliances and Collaborations," Academy of Management Executive 17, no. 1 (2003), 61-76.
77. Kristina Herrmann, "Corporate Social Responsibility and Sustainable Development: The European Union Initiative as a Case Study," Indiana Journal of Global Legal Studies 11, no. 2 (2004), 205-232.
78. See, for example, Michelle Egan, Constructing a European Market (Oxford: Oxford University Press, 2001).
79. Christian Joerges and Ellen Vos, eds., EU Committees: Social Regulation, Law and Politics (UK: Hart Publishing 1999).
80. Jonathan Golub, ed., New Instruments for Environmental Policy in the EU (London: Routledge, 1998).
81. Christopher Ansell and David Vogel, eds., What's the Beef? The Contested Governance of European Food Safety (Cambridge, MA: MIT Press, 2006).
82. Steven Bernstein and Erin Hannah, "Non-State Global Standard Setting and the WTO: Legitimacy and the Need for Regulatory Space." Unpublished paper, March 2006.
83. For an extensive discussion of both private and public social and environmental labels and their role in the global economy, see Informing Consumers of CSR in International Trade (Paris: OECD, 2006).
84. Karsten Ronit and Volker Schneider, "Global Governance through Private Organizations," Governance 12, no. 3 (July 1999), 252.
85. Tim Bartley and Curtis Child, "Shaming the Corporation: Reputation, Globalization, and the Dynamics of Anti-Corporate Movements," Working paper, Department of Sociology, Indiana University, 2007.
86. Dara O'Rourke, "Market Movements: Nongovernmental Organization Strategies to Influence Global Production and Consumption," Journal of Industrial Ecology 9, no. 1-2 (2005), 115-129.
87. Naomi Klein, No Logo (London: Flamingo, 2001).
88. Vogel, The Market for Virtue, chapter 3: "What Is the Demand for Virtue?"
89. Gereffi, Garcia-Johnson, and Sasser, "The NGO-Industrial Complex," 64.
90. C. B. Battacharya, Sankar Sen, and Daniel Korschun, "Using Corporate Social Responsibility to Win theWar for Talent," MIT Sloan Management Review (Winter 2008), 37-44.
91. Marvin Lieberman and Sgigeru Asaba, "Why Do Firms Imitate Each Other?" Academy of Management Review 31, no. 2 (2006), 366-385.
92. Alison Maitland, "Industries Seek Safety in Numbers," FT Responsible Business, Special Report, November 18, 2005, 1.
93. Haufler, "Self-Regulation and Business Norms: Political Risk, Political Activism," 201.
94. Steven Bernstein and Benjamin Cashore, "Can Non-state Global Governance Be Legitimate: An Analytical Framework," Regulation & Governance 1, no. 4 (2007), 349.
95. Bartley, "Institutional Emergence in an Era of Globalization."
96. Carole Kantz, "The Power of Socialization: Engaging the Diamond Industry in the Kimberly Process," Business and Politics 9, no. 3 (2007), Article 2: 1-20.
97. Nicol Degli Innocenti, "Time to Review the Monitoring System," Financial Times, July 17, 2006, 2.
98. Nicol Degli Innocenti, "A Positive Example of Co-operations on Conflict Stones," Financial Times, June 28, 2005, 4. For more on the problems of conflict diamonds from the Ivory Coast.
99. Nicol Degli Innocenti, "Accord on Conflict Diamond Smuggling," Financial Times, November 16, 2005, 11.
100. For a summary of the literature on the impact and enforcement of labor codes, Vogel, The Market for Virtue, chapter 4: "Working Conditions in Developing Countries."
101. Sandra Polaski, "Protecting Labor Rights through Trade Agreements: An Analytical Guide," UC David Journal of Law & Policy 10, no. 13 (2003), 13-25.
102. Sandra Polaski, "Combining Global and Local Forces: The Case of Labor Rights in Cambodia," Global Economic Governance Programme Working Paper, 2005/13, (2005), 16.
103. However, a pilot program has been developed in Turkey. "Gap Inc's Crusade Against Sweatshops," ICFAI case, Reference no. 707-048-1 (2006), 10.
104. Margaret Levi and April Linton, "'Fair Trade' a Cup at a Time?" Politics and Society 31, no. 3 (2003), 419.
105. Alan Beattie, "Follow the Thread," Financial Times, July 22/23, 2006, W1.
106. Jennifer Alserver, "Fair Prices for Farmers: Simple Idea, Complex Reality," New York Times, March 16, 2006, Business Section, 5. For a comprehensive analysis of the growth of ethical product certification including Fair Trade
107. Michael Conroy, Branded! How the "Certification" Revolution Is Transforming Global Corporations (British Columbia: New Society Publishers, 2007).
108. Benjamin Cashore, "Legitimacy and the Privatization of Environmental Governance: How Non-State Market-Driven (NSMD) Governance Systems Gain Rule-Making Authority," Governance 15, no. 1 (2002), 514.
109. Cashore et al., Governance through Markets. More scholarly articles have been written on the FSC than on any other civil regulation.
110. Errol Meidinger, "The Administrative Law of Global Private-Public Regulation: The Case of Forestry," European Journal of International Law 17, no. 1 (2006), 47-97.
111. Philipp Pattberg, "The Influence of Global Business Regulation: Beyond Good Corporate Conduct," Business and Society Review 111, no. 3 (Fall 2006), 247.
112. Peter Dauvergne, Shadows in the Forest: Japan and the Politics of Timber in Southeast Asia (Cambridge, MA: MIT Press, 1997).
113. Loggers and Degradation in the Asia-Pacific (Cambridge: Cambridge University Press, 2001).
114. Philipp Patttberg, "The Forest Stewardship Council; Risk and Potential of Private Forest Governance," Journal of Environment and Development 14, no. 3 (September 2005), 366-367.
115. Erika Weinthal and Pauline Jones Luong, "Combating the Resource Curse: An Alternative Solution to Managing MineralWealth," Perspectives on Politics 4, no. 1 (March 2006), 35-43.
116. "The Paradox of Plenty," Economist, December 24, 2005, 46-47.
117. Peter Davis, "Extracting Transparency Promises," Ethical Corporation (May 2005), 35-36.
118. Andrew Yeh, "China Ventures on Rocky Roads to Trade with Africa," Financial Times, June 20, 2006, 2.
119. Jerry Useem, "Exxon's African Adventure," Fortune, April 15, 2002, 102-114.
120. Lydia Polgreen, "Chad Backs Out of Pledge to Use OilWealth to Reduce Poverty, New York Times, December 3, 2005, A15.
121. Chip Cummins, "Exxon Oil-Fund Model Unravels in Chad, Wall Street Journal, February 28, 2006, A4.
122. Glenn Simpson, "Multinational Firms Unite to Fight Bribery," Wall Street Journal, January 27, 2005, A4, A8.
123. Jem Bendell and Jonathan Cohen, "Not Banking on Corruption," The Journal of Corporate Citizenship (May-June 2006).
124. Raymond Bonner and Jane Perlez, "Controller Charges Mining Company with Filing False Statements," New York Times, January 26, 2006, A6.
125. HughWilliamson, "West Failing to Curb Bribery Overseas," Financial Times, September 26, 2006, 5.
126. Andrew Savitz, The Triple Bottom Line: How Today's Best-Run Companies Are Achieving Economic, Social and Environmental Success-and How You Can Too (San Francisco: Jossey-Bass, 2006).
127. Lipschutz and Rowe, Globalization, Governmentality and Global Politics.
128. Michael Lenox and Jennifer Nash, "Industry Self-Regulation and Adverse Selection: A Comparison Across Four Trade Association Programs," Business Strategy and the Environment 12, no. 3 (2003), 343-356; Voluntary Approaches for Environmental Policy: An Assessment (Paris: OECD, 1999).
129. Richard Morgenstern andWilliam Pizer, eds., Reality Check: The Nature and Performance of Voluntary Environmental Programs in the US, Europe, and Japan (Washington, DC: Resources for the Future, 2007).
130. David Victor, Kal Raustiala, and Eugene Skolnikoff, eds., The Implementation and Effectiveness of International Environmental Commitments: Theory and Practice (Cambridge, MA: MIT Press, 1998).
131. Grant and Keohane, "Accountability and Abuses of Power in World Politics," 29.
132. Vogel, The Market for Virtue, chapter 2: "Is There a Business Case for Virtue?"
133. Dexter Roberts and Pete Engardio, "Secrets, Lies and Sweatshops," Business Week, November 27, 2006, 50-58.
134. Michael Porter and Mark Kramer, "Strategy and Society: The Link between Competitive Advantage and Corporate Social Responsibility," Harvard Business Review (December 2006), 78-92.
135. For an analysis of the critical importance of the local political and economic environment in affecting the willingness of firms to comply with civil regulations.
136. Ralph Espach, "When Is Sustainable Forest Sustainable? The Forest Stewardship Council in Argentina and Brazil," Global Environmental Politics 6, no. 2 (May 2006), article 3.
137. For a discussion and analysis of how some developing countries are seeking to integrate civil regulation into their competitiveness strategies.
138. Simon Zadek, Peter Raymond, and Christano Olivera, Responsible Competitiveness: Reshaping Global Markets' Responsible Business Practices (Accountability, December, 2005).
139. Alex MacGillivray, Johan Sabapathy, and Simon Zadek, Aligning Corporate Responsibility and the Competitiveness of Nations (Accountability and The Copenhagen Centre, December 2003).
140. See note 21 above.
141. "Noreena Hertz, "Corporations on the Front Line," Corporate Governance 12, no. 2 (April 2004), 202-209.
142. John Ruggie, "Business and Human Rights: The Evolving International Agenda," A Working Paper of the Corporate Social Responsibility Initiative, Harvard University, June 2007. For an excellent analysis of the legal challenges and opportunities of holding global firms legally responsible for CSR standards.
143. Jennifer Zerk, Multinationals and Corporate Social Responsibility. See also the references in note 33.
144. Susan Ariel Aaronson, "A Match Made in the Corporate and Public Interest: Marrying Voluntary CSR Initiatives and the WTO," Journal of World Trade 41, no. 3 (2007), 629-659.