Additional Resources with Links: Controlling Corruption Risks in Humanitarian Aid
Compiled by U4 (Updated October 2008)
How, practically, can donors and agencies act to control corruption? Agency policies and practices to increase accountability, such as codes of conduct, procurement guidelines, complaints mechanisms, etc., are generally consistent with corruption control. However, the taboo around the topic of corruption means that specific risks are rarely analyzed, and the impact of existing efforts to address it is rarely assessed. Therefore, this collection of tools, research, and lessons learned is not intended to provide complete solutions but rather to stimulate thinking about how to create a more coherent approach to corruption in emergency contexts.
Anti-Corruption Guidelines
Norwegian Refugee Council (2006)
These guidelines, focused mainly on financial fraud, support staff in preventing and addressing corruption in NRC programmes.
Codes of conduct establish a common understanding among staff regarding acceptable behaviour in humanitarian aid environments. Corrupt acts, including those involving conflicts of interest and sexual exploitation, are often addressed. This policy brief outlines the aims and possible elements of a code, and describes good practice in terms of developing and enforcing one. An example code is included as an annex.
Report on review of complaints mechanism in Danish Refugee Council
Programmes, North Caucasus
Choudhury, Zia (2005)
Humanitarian Accountability Partnership International
The report evaluating the Danish Refugee Council (DRC)'s complaints mechanism in Ingushetia and Chechnya provides interesting analysis of how these function in reality. About 2.5% of the DRC food aid programme's $1 million/month budget is devoted to addressing a narrow range of complaints about the registration of beneficiaries. DRC's procedures are judged against ten characteristics considered fundamental to well-functioning complaints mechanism:
People have knowledge of the procedure and easy physical access to it
The procedure itself should be non-threatening
There should be clear parameters in terms of what kinds of complaints are received (i.e. those directly related to the services that the given agency provides)
Complaints should be recorded and transmitted without changes made to the content
Complainants should be given tangible (written) acknowledgment that the complaint has been received
A time limit for the answer should be provided
All complaints should be dealt with confidentially
The complainant should receive a clear response, including reasons for the decision and an explanation of the process undertaken
The complainant should acknowledge that he or she has understood the answer
The complainant and staff should be informed of alternative grievance channels
The author's recommendations highlight the need for gender balance among registrar team members, clear performance standards and evaluation criteria for all staff involved in the programme, and better communication of how the system processes complaints.
The November 2005 HAP-I newsletter describes efforts made by Oxfam to increase information flow between the agency and its beneficiaries in Aceh province. These include the establishment of information centers, village information boards and complaints boxes, staff dedicated to engaging beneficiary feedback, and the establishment of a complaints committee. For an example of mechanisms for receiving complaints of sexual exploitation and abuse, see the section on Sexual Exploitation below.
Coordination
The "Cluster Approach"
The "cluster approach" to humanitarian response was developed by the UN Inter-Agency Standing Committee to address gaps and strengthen the effectiveness of humanitarian response. It establishes a lead agency for each sector (for example, UNHCR for camp coordination) to ensure greater predictability and accountability, as well as to clarify the division of labour among agencies and to better define their roles and responsibilities. Early experience with the reform is captured in an evaluation report.
Guide to Financial Management for NGOs
Mango
Mango is a UK-based NGO dedicated to assisting humanitarian agencies improve their financial management systems. Mango's Guide to Financial Management for NGOs contains a wealth of information, advice and tools, including a diagnostic 'health check' targeted specifically at small and medium-sized offices. A training manual, checklists and case studies help demystify financial management and provide practical, straight-forward guidance for specialist and non-specialist staff.
Financial Management for Emergencies
Another Mango resource, Financial Management for Emergencies, is billed as a "survival guide for humanitarian programme managers". In the "control" section it provides concrete suggestions for addressing the risk of corruption. Developing and enforcing clear financial procedures, reducing programme exposure to fraud, identifying the document and reality checks that managers personally should make and knowing how to deal with fraud once it happens are among the topics covered. A key message is that financial management is the programme manager's responsibility. Financial matters should never be left to the accountant alone.
Media
Corruption in Emergencies: What Role(s) for Media?
Report from a U4-Norad Working Meeting (2006)
A unique report addressing the multiple roles of media in preventing and exposing corruption in emergencies, this resource provides practical recommendations to both donors and humanitarian agencies for working with local and international media to reduce and address corruption in emergencies. In addition, the report recommends that donors devise a media strategy responding to allegations of corruption, to facilitate balanced coverage and reduce the negative impact on public opinion.
The Active Learning Network for Accountability and Performance in Humanitarian Action (ALNAP)
ALNAP is an international, interagency forum working to improve learning, accountability and performance across the humanitarian sector. For a wide range of analyses and tools related to monitoring, reporting and evaluation, click 'Useful Resources' on the homepage. Under evaluations, listings include 'Performance Monitoring Indicators Handbook', 'The Logical Framework : A Manager's Guide to a Scientific Approach to Design & Evaluation', 'Effective Practices in Conducting a Multi-Donor Evaluation', and 'Evaluating Humanitarian Aid'.
In addition, ALNAP has produced a three module training programme on Evaluation of Humanitarian Action and a 'Quality Proforma' which it uses to assess humanitarian evaluation reports. The matrix at the end can be useful in designing terms of reference for any evaluation.
Exploring the Role of Community Feedback Mechanisms
Thampi, Gopakumar Krishnan (2005)
Public Affairs Foundation, Bangalore, India
This paper, prepared for the Jakarta Expert Meeting 'Curbing Corruption in Tsunami Relief Operations', argues that beneficiary participation in disaster response prevents both waste and corruption. Two specific tools for assessing whether resources are reaching their intended targets, Citizen Report Cards and Community Score Cards, are discussed.
Real-Time Evaluation: where does its value lie?
Herson, Maurice and Mitchell, John (2005)
Humanitarian Practice Network
This article revisits the concept of Real-Time Evaluation (RTE), a process that straddles the fuzzy distinction between 'monitoring' and 'evaluation'. A key benefit of RTE, which takes place during rather than after programme implementation, is that the evaluators can facilitate positive changes in service quality before it is too late. The role of an evaluator is less of a critic and more of an advisor, working together with programme staff and managers to come up with creative solutions to the problems they face. Also see: FAO's RTE experience in tsunami-affected areas and UNHCR's FAQ page about RTE.
Participation by affected communities: general
ALNAP Global Study and practitioner's handbook (2003)
Participation of affected populations in a humanitarian response is not only required by basic human rights norms - it helps reduce the risk of diversion. This ALNAP manual offers advice regarding use of participatory techniques in the assessment, design, implementation, monitoring and evaluation phases of a project. Sector-specific approaches for water, health, and shelter are also included.
Oxfam's Accountability Matrix
Includes elements and standards for feedback mechanisms, information sharing, staff behaviours and attitudes, and participation of beneficiary communities.
Procurement
Corruption in Emergency Procurement
Jessica Schultz (U4) and Tina Søreide (CMI), (2006)
This paper contains a section on ‘measures for mitigating risks of corruption in emergency procurement’, clustered in five categories: preventive measures at the agency level; coordination; beneficiary participation; monitoring and evaluation; and sanctions. It also sets forth specific recommendations to donors.
Facilitating Effective and Transparency Procurement and Implementation
Wiehen, Michael (2005)
Transparency International Germany
This contribution to the volume 'Curbing Corruption in Tsunami Relief Operations' breaks down the specific corruption risk inherent in post-disaster procurement, and makes recommendations to host country governments, donors and civil society actors. The problem of conflicting procurement standards among the various aid providers is highlighted, in addition to the need for external independent monitoring of the contracting phase. One suggestion is to form a local government/aid provider coordination group (LCG) in each country to review/endorse needs established by the government; verify offers of assistance; agree on uniform procurement rules; coordinate response and maintain clear books and records on assistance pledged, delivered and used.
HELIOS
This software developed by the Fritz Institute helps agencies coordinate supply pipelines and compare prices for specific goods and services without added administrative burdens.
Recruitment, human resources and partners
Code of Good Practice in the management and support of aid personnel
People in Aid (2003)
Implementation of sound human resource policies not only reduces the risk of corruption within recruitment and promotion processes but also deters unethical behaviour by establishing greater trust and communication among staff. This Code, the result of extensive international collaboration, comprises seven principles related to health, safety and security; learning, training and development; recruitment and selection; consultation and communication; support, management and leadership; staff policies and practices; and human resources strategy. Each principle has several indicators to assist agencies evaluate their own progress.
Sexual exploitation - prevention of and response
Guidelines for Gender-based Violence Interventions in Humanitarian Settings: Focusing on Prevention of and Response to Sexual Violence in Emergencies
Inter-Agency Standing Committee (2005)
This resource was developed by the Inter-Agency Standing Committee Task Force on Gender and Humanitarian Assistance. Its purpose is to enable humanitarian actors and communities to plan, establish and coordinate a set of minimum interventions to prevent and respond to sexual violence during the early phase of an emergency. "Action Sheets" included in the document provide concrete implementation guidance. Prevention of sexual exploitation and abuse by humanitarian agency staff is addressed through Action Sheets on staff recruitment, dissemination of codes of conduct, complaints mechanisms, and sexual exploitation and abuse focal group networks.
UNHCR Handbook for Registration United Nations High Commissioner for Refugees (2000)
Section 7.5 in Part One of the Handbook, "Managing Corruption and Fraud" outlines common types of abuse by aid workers, beneficiaries and others. Remedial actions that managers should consider in response to corruption involving staff are included. Section 20.1 of Part Two describes verification techniques aimed at reducing fraud by members of the beneficiary population.
The Camp Management Toolkit
Norwegian Refugee Council(NRC)/The Camp Management Project (CMP) Edition (2008)
Chapter 9 of the Toolkit, on Registration and Profiling describes how registration fraud typically occurs and how to reduce opportunities for people to take advantage of the system.
Publish What You Fund
The Publish What You Fund campaign was launched in Accra, Ghana in September 2008 by a group of civil society organizations concerned with aid effectiveness and accountability. The idea is to establish a framework for mandatory and pro-active disclosure of information about aid, such as budgets, expenditures, project terms of reference, reports and evaluations. The four draft principles are:
Information on aid should be published proactively
Everyone has the right to request and receive information about aid
Information on aid should be timely, accessible and comparable
The right of access to information about aid should be promoted
Financial Tracking Service (FTS)
The FTS is a global, real-time database which records all reported international humanitarian aid (including that for NGOs and the Red Cross / Red Crescent Movement, bilateral aid, in-kind aid, and private donations). FTS is managed by the UN Office for Coordination of Humanitarian Affairs (OCHA). All FTS data are provided by donors or recipient organisations.
Whistleblowing
Policy Pot - Whistleblowing
People in Aid (2002)
A well-constructed whistleblowing policy encourages open communication among staff and deters those who might consider engaging in corruption. This policy brief outlines key elements of a whistleblowing policy and includes guidance on how to prepare one. Other resources are also included.
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