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Preventing Corruption in Humanitarian Operations

Preventing Corruption in Humanitarian Operations

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The idea for this handbook came from the massive humanitarian response to the Asian tsunami, when the huge levels of resources committed by the international community created concern about new opportunities for corruption. Many international development agencies have put in place corruption prevention polices tailored to development programmes, but there was a noticeable gap in policies for preventing corruption in emergencies. Based on extensive research within and beyond the humanitarian sector, as well as detailed input from the humanitarian
community itself, this handbook aims to fill that gap. It offers a menu of good practice tools for preventing and detecting corruption in humanitarian operations.

The handbook is primarily aimed at managers and staff of humanitarian agencies, both at headquarters (HQ) and in the field. It speaks directly to those on front line of aid delivery as well as to senior managers who determine organisational culture and values. That does not mean to say the book is not relevant for other stakeholders. For example, it can help donors to assess the robustness and accountability of agency programmes, and local civil society organisations and the media to hold agencies working in their area to account – as well as giving stakeholders an understanding of the challenges aid providers face in any humanitarian emergency.

The handbook is designed to help anyone working in the humanitarian sector identify and prevent the corruption risks faced by their particular organisation or department, or within a specific programme or role. It does not try to set out industry-wide standards for aid agencies in emergencies. Rather, it describes ‘what to do’ to minimise corruption risks, while numerous
reference documents attached offer technical details on ‘how to do it’. It might, for example, recommend monitoring and evaluation (M&E) as essential to preventing corruption in a particular context, but is not an M&E operations manual (though there are examples attached for reference). Or it will show how a code of conduct can help combat corruption, without explaining how to write such a code (but giving several examples for guidance).
The idea for this handbook came from the massive humanitarian response to the Asian tsunami, when the huge levels of resources committed by the international community created concern about new opportunities for corruption. Many international development agencies have put in place corruption prevention polices tailored to development programmes, but there was a noticeable gap in policies for preventing corruption in emergencies. Based on extensive research within and beyond the humanitarian sector, as well as detailed input from the humanitarian
community itself, this handbook aims to fill that gap. It offers a menu of good practice tools for preventing and detecting corruption in humanitarian operations.

The handbook is primarily aimed at managers and staff of humanitarian agencies, both at headquarters (HQ) and in the field. It speaks directly to those on front line of aid delivery as well as to senior managers who determine organisational culture and values. That does not mean to say the book is not relevant for other stakeholders. For example, it can help donors to assess the robustness and accountability of agency programmes, and local civil society organisations and the media to hold agencies working in their area to account – as well as giving stakeholders an understanding of the challenges aid providers face in any humanitarian emergency.

The handbook is designed to help anyone working in the humanitarian sector identify and prevent the corruption risks faced by their particular organisation or department, or within a specific programme or role. It does not try to set out industry-wide standards for aid agencies in emergencies. Rather, it describes ‘what to do’ to minimise corruption risks, while numerous
reference documents attached offer technical details on ‘how to do it’. It might, for example, recommend monitoring and evaluation (M&E) as essential to preventing corruption in a particular context, but is not an M&E operations manual (though there are examples attached for reference). Or it will show how a code of conduct can help combat corruption, without explaining how to write such a code (but giving several examples for guidance).

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Published by: Transparency International on Mar 01, 2010
Copyright:Attribution Non-commercial

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01/24/2013

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Preventing
Corruption inHumanitarianoperations
   H   a   n   d   b   o   o   k    o   f   g   o   o   d    P   r   a   c   t   i   c   e   s
 
preventing Corruption in Humanitarian operationsintroduCtion
 
section i
institutionaL poLiCiesand guideLines
preventing Corruption in Humanitarian operationstabLe of Contents
introduCtion
aCronyms iiforeword ivprefaCe vaCknowLedgements viintroduCtion viiiintroduCtion 3Case study: sex for food: tHe worst form of Corruption 4risk anaLysis 5management LeadersHip 7LeadersHip signaLs 7agenCy vaLues 9Codes of ConduCt 11sexuaL expLoitation and abuse guideLines 13gifts poLiCy 15etHiCs offiCe or ombudsman 17wHistLe-bLowing meCHanisms for staff 19Corruption investigations and sanCtions 21emergenCy preparedness 23staff training 23surge CapaCity 25pre-suppLy arrangements 27internaL ControLs and quaLity assuranCe 29CompLianCe 29resourCe traCking systems 31speCiaL emergenCy proCedures 33industry-wide standards 35monitoring and evaLuation 37audits 39transparenCy and aCCountabiLity 41transparenCy 41aCCountabiLity to benefiCiaries 43donors 45government 47LoCaL CiviL soCiety 49Community CompLaint meCHanisms 51deaLing witH tHe externaL environment 53inter-agenCy Coordination 53CommuniCation and media strategies 55buiLding a CompreHensive anti-Corruption strategy 57introduCtion 61Case study: finanCiaL ControLs beyond tHe “paper traiL” 62Case study: buiLding on Lessons Learned in aCeH 62suppLy CHain management 63proCurement 63manipuLated tender speCifiCations/bidding doCuments 63bid-rigging and insider information 65biased suppLier prequaLifiCation 67manipuLated bid evaLuation, ContraCt award and exeCution 69surpLus proCurement 71suppLy of sub-standard goods or serviCes 73
section ii
programme supportfunCtions
 
preventing Corruption in Humanitarian operationsintroduCtion
 
preventing Corruption in Humanitarian operationstabLe of Contents
 
transport
 
75payment for aCCess to aid resourCes or benefiCiaries 75diversion during transport 77faLsifiCation of inventory doCuments 79diversion during storage 81asset management 83unautHorised private use of veHiCLes 83Corruption in veHiCLe repairs and maintenanCe 85diversion of fueL 87Human resourCes 89bias in reCruitment, depLoyment, promotion or supervision 89sHort-CirCuiting of Hr ControLs in an emergenCy 91ConfLiCt of interest 93extortion, intimidation and CoerCion of staff 95beHaviour ConduCive to Corruption 97finanCe 99operating in a CasH environment 99issues in CasH-based programming 101finanCiaL fraud and embezzLement 103improper aCCounting 105faLse or infLated invoiCes or reCeipts 107manipuLated audits 109payroLL and CLaims fraud 111payment for LoCaL permits or aCCess to pubLiC serviCes 113introduCtion 117Case study: pLugging tHe Leaks in food aid tHrougH better m&e 118needs assessment/ resourCe aLLoCation 119biased projeCt LoCation or resourCe aLLoCation 119infLated or distorted needs, Costs or benefiCiary numbers 121partners and LoCaL intermediaries 123manipuLated seLeCtion of LoCaL partner agenCies 123ineffeCtuaL partner monitoring 125biased LoCaL reLief Committees 127bLoCking of aid by ‘gatekeepers’ 129targeting and registering benefiCiaries 131bias in targeting Criteria 131Corrupt exCLusion or inCLusion of benefiCiaries 133muLtipLe or ‘gHost’ registrations 135distribution and post-distribution 137modifiCation of entitLement size or Composition 137diversion of resourCes during distribution 139post-distribution taxing or expropriation 141programme monitoring and evaLuation 143faLse, exaggerated or inCompLete reports 143non-reporting of Corruption 145Commodities 147food aid 147gifts in kind 149gLossary 153annexes 164
section iii
Corruption tHrougH tHeprogramme CyCLegLossary

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