KBA-NotaSys
Integrity Fund

KBA-NotaSys AG established the KBA-Notasys Integrity Fund in 2017 to promote ethical behaviour, transparency and compliance in business and, in particular, in the securities and banknote printing industry. The fund can grant amounts of up to EUR 1 million per year.

Research institutes, associations, state institutions and other non-profit institutions are eligible to submit projects.

 

TYPE OF PROJECTS

The KBA-Notasys Integrity Fund may support a variety of projects, as long as they contribute to the achievement of the objectives promoted by the fund. For example:

  • Studies and expert reports
  • Research projects
  • Development of concepts, tools and instruments to promote compliance
  • Handbooks and guidelines for companies
  • Handbooks and guidelines for administrative bodies and government institutions (for example, public procurement)
  • The development of compliance courses and training courses (including online tools)
  • Financial support for meetings, conferences and congresses
  • Implementation projects for concepts / pilot projects

Project ideas

The KBA-NotaSys Integrity Fund is open to all types of project ideas that are consistent with its purpose. Of particular interest are projects that address the following topics:

  • Projects on preventing corruption, especially in case of offers to state institutions and companies
  • Projects to ensure a correct bidding process for tenders for contracts and procurements
  • Instruments and tools for successful implementation of compliance in companies
  • Analysis of the decisive factors for conduct with integrity of employees in companies
  • Incentive schemes to promote and reward the integrity of employees and executive managers
  • Projects promoting the integrity of business conduct of companies in the industry (for example, ethics codes, integrity pacts, integrity boards, etc.).
  • Monitoring collective actions to ensure proper market behaviour
  • Projects showing how misconduct can be detected and investigated (for example, in case of suspected corruption)
  • Projects demonstrating solutions to the free-rider problem (‘eliminating competitive disadvantages of compliance’)
  • Methods for measuring the integrity of companies (for example, integrity indexes)
  • Repercussions on the reputation of the company due to employee or company misconduct that becomes known (anticompetitive behaviour, corruption) or due to corresponding court judgements
  • Projects to raise awareness and bring expertise up to date at the highest corporate levels (supervisory boards, administrative boards)
  • Projects to teach and promote international best practice and create a level playing field based on international standards (ISO 37001, ISO 19600, ISO 31000, etc.).

PROJECT APPLICATIONS

Project applications can be submitted in German or English to the following address: christoph.lengwiler@integrityfund.ch.

Depending on the type of project, the project applications must contain at least the following information:

  • Title of the project - Brief description of the project (max. 500 characters, for website)
  • Applicant institution (including address details of the responsible project leader)
  • Project manager (including address details, short CV)
  • Planned start and planned duration of the project
  • Amount of the requested financial contribution
  • Other companies/institutions involved in the project
  • Other sources of funding for the project
  • References (publications, confirmations, recommendations)
  • Project description

Depending on the nature of the project, the application must also be accompanied by a project description, which should include roughly the following content:

  • Compliance topic/occasion/project
  • Project goals and any research questions
  • Contribution/benefit of the project to/for the integrity of business practices
  • Approaches and methodologies
  • Description of the individual work packages or modules of the project (including methodology, deliverables, time required, financial requirements and chronological milestones)
  • Planned number of work hours and financial budgets (including hourly rates)
  • Project organisation (project steering, project management, any supervisory groups)
  • Details of the people involved in the project (including function and approximate share of project work)
  • Project controlling and quality assurance
  • Risks in the project and measures to avoid them
  • Reporting (for example, quarterly or semi-annual interim reports)
 

Management Board

A Management Board with three members is responsible for examining the submitted project applications and for decisions on the granting of financial contributions from the KBA-NotaSys Integrity Fund.

Members of the Management Board:

Prof. Christoph Lengwiler, Lecturer at the Lucerne School of Business, Lucerne (Switzerland)

Michael Häger, Senior Partner and Member of the Board, Warth & Klein Grant Thornton, Düsseldorf

Christian Gehling, lawyer, SZA Schilling, Zutt & Anschütz Rechtsanwalt AG, Frankfurt

The Management Board makes decisions on how the KBA-NotaSys Integrity Fund is allocated to particular projects. In addition to other criteria, key factors also include whether the project applications demonstrate a contribution towards the purpose of the Integrity Fund, whether the projects deal with compliance-related topics and whether the people entrusted with the project have the necessary technical and methodological skills.

The Management Board may impose conditions on the granting of financial contributions from the KBA-NotaSys Integrity Fund and all projects are detailed on this website. The Management Board must be informed about project progress and project results.

The decisions of the Management Board are final and cannot be disputed. All rights are reserved. There is no right to support. Appropriate internal processes ensure the independence of the Management Board.

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Prof. Christoph Lengwiler has been a Lecturer in Banking and Finance at the Lucerne School of Business (Lucerne University of Applied Science and Arts, Hochschule Luzern)since 1987. He established the Institute for Financial Services Zug IFZ in 1997 and managed it until 2017. Its offerings include training courses in compliance management and economic crime investigation. His main areas of research and consulting are bank management and corporate governance along with corporate and real estate finance. From 2001 to 2016, he was a member of the Board of Directors of the Lucerne Cantonal Bank (as Vice Chairman from 2011). He has been a member of the Bank Council of the Swiss National Bank since 2012 and a member of the Board of Directors of the Berne Cantonal Bank since 2016. He is also Vice President of swissVR, an Association of Board Members. Christoph Lengwiler studied business administration and economics at the University of Zurich and got his Ph. D. with a dissertation in banking.

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Michael Häger is Senior Partner and Member of the Management Board of Warth & Klein Grant Thornton AG and active in the areas of auditing and corporate finance & advisory services. Besides he is responsible for the area of Markets & Clients and head of the Industrial Group Program. He has more than 25 years of experience in auditing and consulting medium-sized companies. For several years, he has been a member of the board of a major engineering company. Michael Häger studied Business Administration at the University of Cologne and began his professional career in 1987 at the former Warth & Klein GmbH in Düsseldorf after completing his diploma.

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Christian Gehling is a partner of SZA Schilling, Zutt & Anschütz Rechtsanwalt AG, Frankfurt, specializing in corporate and capital market law advice. He and his team have broad experience in advising listed corporations, M & A transactions, ECM and corporate governance. Christian Gehling has been a lawyer and partner in national and international law firms in Düsseldorf and Frankfurt since 1992.

 

FUNDED PROJECTS

The KBA-NotaSys Integrity Fund has approved funding for the following projects to date:

2018/08 Compliance and Integrity – Competence Package

 

The project aims to promote compliance awareness in business and to provide support in the implementation of Compliance Management Systems (CMS): Development of a new basic model for Compliance Management Systems (CMS); Evaluation, revision and amendment of the existing DICO guidelines; Development of working aids for compliance officers; Knowledge transfer via webinars and expert workshops.

 

Project Partner:

 

Prof. Dr. Bartosz Makowicz, Viadrina Compliance Center, Europa-Universität Viadrina Frankfurt (Oder) in co-operation with Deutsches Institut für Compliance e.V. (DICO), Berlin

 

Project duration: January 2019 to December 2020

 

 

 

2018/07 Index for measuring corporate integrity

 

The project aims to develop a scientifically sound index that allows to evaluate companies with regard to their integrity. Then the possibilities and limits of the implementation of such an index will be evaluated.

 

Project Partner:

 

Prof. Dr. Christoph Lütge, TUM School of Governance, Technische Universität München

 

Project duration: September 2018 to August 2020

 

2018/06 Corporate Crisis

The project examines to what extent proactive and transparent action during a corporate crisis helps to prevent reputational damage from the company or even to turn it into a reputational advantage. 

Project Partner: 

Prof. Dr. Mark Eisenegger, Universität Zürich, Prof. Dr. Monika Roth, Hochschule Luzern

Project duration: Juli 2018 to Dezember 2019

2018/05 Integrity as a Management Tool

Development of a model for measuring integrity, that could be integrated as part of enterprise risk management. The project intends to provide a practice-oriented management tool.

Project Partner: 

Prof. Dr. Linard Nadig, Prof. Dr. Stefan Hunziker, Hochschule Luzern, Zug

Project duration: Mai 2018 to April 2019

2018/04 Diploma Course in Corporate Compliance

Development of a new Diploma Course in Corporate Compliance at the Luzern Business School.

Project Partner: 

Prof. Dr. Linard Nadig, Dr. Philipp Henrizi, Hochschule Luzern – Wirtschaft, Zug

Project duration: April 2018 to September 2018

2018/03 Investigation through Private Entities

A report has been written for submission to the BnEI showing the possibilities and limits of investigations of suspected compliance violations of third parties in tenders, as well as premises of ‘legal privilege’ with respect to the investigation results.

Project partners:
Uwe Dolata, Prof. W. Angelika Kreitel, Prof. Josef Scherer The Safety Profiler – DSP, Würzburg

Project duration: December 2017 to March 2018

2018/02 BnEI Integrity Concept

This project supports the conception and promotion of integrity pacts as a standard compliance measure to be implemented for all procurement activities within the banknote industry. An integrity pact is a contract between the customer (for example, central banks, public printing works) and the bidders in a procurement procedure, and governs the rules to be observed on either side in order to safeguard fair competition.

Project partners:
Antti Heinonen, Banknote Ethics Initiative BnEI, Brussels Gretta Fenner, Basel Institute on Governance, Basel

Project duration: end of 2016 to end of 2019

2018/01 Compliance Culture in Governing Bodies

This project will develop a framework concept for an effective compliance culture in governing bodies. To this end, behavioural patterns of executives and awareness deficits among employees that could prevent the creation of such a compliance culture are to be identified. Building on this, specific recommendations for action are to be derived.

Project partners:
DIEP Deutsch Institut für Effizienzprüfung GmbH, Willich (German Institute for Efficiency Testing) Prof. Peter Ruhwedel

Project duration: April 2018 to September 2019

 

CONTACT

If you require more information, please contact the Chairman of the Management Board of the KBA-NotaSys Integrity Fund at christoph.lengwiler@integrityfund.ch