Partk:ipatory Corruption Appraisal a methodology for assessing how corruption affects the urban poor by The "Corruption and the Poor" Team Based on the "Corruption and the Poor" project Implemented ,n Indonesia 2000-2001 by the Partnership for Governance Reform and the World Bank The "Corruption and the Poor" Team con1priscd: Stefanie Teggemann (Project Manager} World Bank, lndonosla Contents ................................................... 3 Sarwar Lateef (Task Manager} (Bank DunJa, lndoncslai Alexander lrwan {Consultant} Introduction ............................................................................................. 5 Darma lrfani {Consultant) A Corruption Framework ............................................................................. 7 Richard Holloway Tho Partnership for Research on Corruption .............................................................................. 8 Govomanco Rofonn {Kcmltraan) The Objectives of Participatory Corruption Appraisal (PCA) ...... 9 Y. Arlhadl (Field Work Team Leader) Yayasan Bina Swadaya Steps In the Participatory Corruption Appraisal Methodology ... 11 Sudannan YBS Yogyakarta Step by Step Mugiyo Step 1. Identify an organization ........................................................ 12 Kusmartono Step 2. Identify a Community............................................................ 14 Supiyanto YBS Jakarta Step 3. Identify and train field workers.............................................. 15 Bambang Pujlono Step 4. First Visit to the Community ................................................. 17 Natalia lta Septiana Yuli Widlatmanta Introductory Meeting with the Community Casiyanto (al Introduction of the research team and the Camelia lstu Plnillh purpose of the project ..................................................... 18 (b) Jee-breaking game.......................................................... 18 Christina Joseph {Team Leader Makassar) LBH·P2!, Makassar (c) Wealth Classification ...................................................... 18 Ely Sambomfnanga lrfan Yahya (d) Community Mapping....................................................... 18 Muhammad Yusuf First Focus Group Discussion (a) Introduction of Team members to participants................ 21 (b) Explanation of the project to participants........................ 21 This Methodology book was written by Richard Holloway and Stefanie Teggemann (c) Jee-breaker game............................................................ 21 It Is also available In Indonesian (d) Institution Mapping (public services)............................... 21 (el Bribe Paying ................................................................... 21 (f) Perceptions..................................................................... 23 Second Focus Group Discussion (al Problem Presentation and Ranking................................ 24 (b) Flow Diagram on Causes and Effects ............................ 25 Third Focus Group Discussion l [fr! Bra1nstorm1ng on solutions ......................................... .......... 28 Interviews ............................................................................ 28 Step 5. Preparing the Information Gathered................................. 31 Step 6. The Second Visit to the Community ................................. 32 The Community Meeting ...................................................... 33 I n countries where corruption is systemic and structural, corruption affects different classes of the population differently. A Jot of this difference 1s connected to the power that they have and the power they can access. There The Stakeholder Meeting ..................................................... 34 are five underlying factors which define poor people's situation In respect of Summary 36 power and corruption: Illustrations of the Process .................................................................. 38 • The poor lack financial resources Photo of Community Mapping ............................................................. 38 • The poor lack information, knowledge and formal education Photo of working on the Flow Diagram ............................................... 38 • The poor Jack support from the legal system and the police Photo of Brainstorming on Solutions.................................................. 38 • The poor lack a voice in public discourse Flow Diagram of Social Safety Net Rice Distribution 1n Makassar ...... 39 • The poor Jack connections to those who have power The poor, who are by definition marginalized, excluded, oppressed and exploited are at the mercy of those who have gate-keeper positions which control access to goods and services. They may also be illiterate and unaware of the formal costs of goods and services that they need to access. In contrast, those with power over other people (and particularly over the poor) are able to extort illegal levies from them for services which, legally, should be available free or for an agreed and publicized cost. They can do this because they have control over the kinds of goods and services which are desired by others and for which extortionate costs can be charged. They can also do this because Jong experience has taught them that there will be no punishment and that they are virtually Immune. The poor are, therefore, mostly suppliers of bribes, particularly those extorted 4 from them, and suffer disproportionately to others with more power or access A Corruption Framework to power. The resources that they own are very limited, and their ability to pay extra for anything 1s thus equally limited. Whereas those with disposable in- The poor suffer basically from two kinds of corrupt practices: active corruption come (albeit limited) can afford to pay illegal levies to get goods and services and passive corruption: they need, the poor often cannot -and thus go without. Active Corruption In countries which are systemically corrupt, therefore (i.e. countries 1n which This Is where rJcher or more powerful citizens with whom they interact in corruption Is the norm, not the exception, and where corrupt behavior permeates their daily lives actively practice corrupt behavior which involves them directly all government services) the poor have great difficulty 1n affording very basic - they are forced to pay- or to go without. Such behavior can be cnmmal: services that they need, like health, education for their children, water, land for 1.e. when it breaks laws, subverts laws, or involves illegitimate services or building, and access to particular goods from gov~rnment programs targeted favors - or it can be unnecessary. where bribes are demanded for services to them (like free or subsidized food). The poor have to make trade offs as they that the poor are entitled for free, or for an affordable (and known) cost. decide how they should spend their very limited money, and sometimes this This 1s the kind of corruption described previously. excludes them from services, or only gives them access to services of inferior quality. • Passive Corruption This 1s where the poor have to live with the consequences produce by corrupt Many people 1n the South are intimately aware of the ways 1n which corruption behavior of people around them without their active involvement. They are works, on the ways that it affects poor people, and of specific corrupt practices. adversely affected by the corruption around them. They have been the sufferers from them and sometimes the perpetrators of them, but the sub1ect of corruption and how it 1s earned out Is communicated It can be "state capture" - where powerful actors bribe the government to orally. There has not been much writing (particularly 1n indigenous languages) influence policy making or budget allocation at national or local levels, con- or much development of analytical frameworks about how corruption system- ferring benefits to a few at the expense of the many. It also includes high atically operates 1n society. level theft of state assets which have macro economic Impact such as slowing economic growth and raising the costs of growth, thus reducing the economy's ability to reduce poverty and finance basic services to the poor. It can be "institutional capture" - where specific Institutions like the law courts or the water authority are corruptly managed, reducing its performance and efficiency and increasing the costs of the institution. One result of this is often that the Institution can only be accessed through middlemen who take a cut. It can also be Individual capture - where the poor are disadvantaged by people around them who bribe or extort. In such competitive situations the person who does not pay loses against those who do. 7 Research on Corruption It 1s always difficult to get information about corrupt practices because they • exist ,n confidential and hidden behavior and are rarely publicly exposed. An tl 'Ir n ~ .,,)') !t' \~f d oral culture defines and decides who will pay what to whom. It is doubly difficult to get Information about corruption as it affects the poor, since poor people will W' ' ,Ll(, r l • llS be unwilling to talk about their own corrupt behavior or others' corrupt behavior 1n case this results 1n some form of retribution for them. At the same time the poor are not necessarily passive and cowed people. Our experience has shown that, given the right atmosphere, given basic elements of trust between the poor and the people with whom they are talking, it 1s quite possible to learn a lot about corruption and how it affects poor people's lives. To The General Objectives of PCP, are some extent this also depends on the national atmosphere - with such work easier to carry out at a time of reform or transition. to understand the harmful effects of corruption on the lives of poor people This document describes a methodology tried in three urban locations in Indonesia in 2000-2001 as part of the proJect called "Corruption and the Poor" to communicate such information widely to policy makers and the which was successful in eliciting from poor people what they thought were the general public most corrupt practices from which they suffered, and what they thought could to help the communities in which the PCA has taken place to plan be done about it. The methodology draws on the practice of PRA (Participatory and to act to reduce corruption Rural Appraisal) developing it further and adjusting it to the issue of corruption, as well as the World Bank program "Vmces of the Poor" PC/\ leads frorn research to action. It takes place in tvvo phases: The methodology is based on three pnnc1ples: 1. The Research Phase-this consists of (al the first visit to the communilies for field work, and (b) the second visit to the community which links research The principle of participation - by which we mean that individuals in to action · findings are reports back to the community and a process for the community are invited and freely agree to participate in the sessions follow up action kicked off 2. The Action Phase -which consists of several, location-specific follow-up The principle of local ownership - by which we mean that all activities, involving local NGOs, media and the community . information gathered from the community is given back to the local community, and they are involved in deciding what should be done with the information The Particular Objectives of the Research Phase (First Visit) are: The principle of action research - by which we mean that research is intended to lead to action that improves the situation, and such action To identify the various ways 1n which corruption affects the poor (causes is documented to learn more about the efficacy of such action. and channels) CJ To identify the extent to which corruption enters poor peoples lives and the damage it causes To identify poor people's perceptions of different forms of corruption and S·feps on the Partutupatory their levels of indignation/frustration/anger Conruptnon Appu"aosal To identify solutions that poor people have chosen concerning corruption To elicit case studies that document poor people's actual experiences Me!thodoiog (PCA) The Particular Ob1ectives of the Research Phase (Second Visit) are: To play back to the people In the area where the field work took place what tnformation they have compiled on their experience with corruption To help them identify realistic actions that they can undertake to limit corruption To identify other local actors who are willing to support them 1n these efforts Step 1: Identify an organization which has the trust of the poor ,n the general area In which you seek to get information. This will usually be an NGO that has an existing program in that area (e.g. savings and The Particular Objectives of the Action Phase are: credit, building a cooperative, health services, education services), but it could be a local community association. To synthesize the information from the field work, analyze it. and develop lessons that could inform policy. Step 2: Identify a community that you would like to engage with. This needs To document the case studies and the analysis and make it widely available to be a community ,n which there are considerable numbers of poor to decjsjon makers people. Depending on the country and the culture, there may be To publiclze the work in order to encourage new thinking about corruption slum areas that are uniformly poor, or there may be communities in and the poor, and to encourage others to carry out further research poor areas of a city that are relatively homogenous, or there may be a large number of poor people within a heterogonous community. It The methodology described ,n this document Is aimed at facilitating The also needs to be either a community with a clear administrative Research Phase (First and Second visits) which will allow practitioners to division or a community which 1s self-identified and in which people prepare the ground for the Action Phase. know each other and know who belongs. The community should also be small enough so that it is easy for members of the community to come together for meetings. Success 1n working with the community will only come from the willingness of people ,n that community (particularly community leaders) to cooperate with the NGO and you. Step 3: Identify and tram field workers - individuals from the NGO or community association who are able and willing to learn about the 11 methodology and carry it out in the community. This involves non-profit-distributing, 1.e. not returning any profits generated to their owners developing skills in participatory Focus Group Discussions (FGD) or directors and interviews. self-governing, 1.e. equipped to control their own activities Step 4: Make the first visit to the community and over 10 days undertake 4 voluntary, at least in part, 1.e. they involve some meaningful degree of Focus Group Discussions and conduct 25-30 1nterv1ews. voluntary participation, either 1n the actual conduct of the agency's activities, or in the management of their affairs. Step 5: Write up the information that has been gathered from the people and organize it in a way that it can be presented back to the people. Beyond that, however, the organization has be one which does not insist on Step 6: Make your second visit to the community, perhaps over 2 days. Over imposing their solutions on what they consider to be the peoples' problems. It a half-day present the assembled information back to the community must not be an organization which has a limited repertrnre of responses that it and discuss follow up actions. Then during the same visit hold a 1s prepared to offer - be they savings or credit, or adult education, specific public meeting (with the agreement of the community) 1n which the religious behavior, or specific political action. findings from the appraisal and the action plans proposed are It has to be an organization, which 1s prepared to listen to the people in the presented to a larger audience (local government officials, local area 1n which it is working without necessarily knowing where the conversation NGOs, local traditional leaders, local journalists). Here the idea 1s to will be heading. It has to be an organization that is interested to probe the felt amplify the voice of the community, and seek others' involvement 1n needs of the community without an external construct of what these felt needs addressing the problems caused by corruption. may be. It also has to be an organization that 1s willing and capable of working with the community beyond its involvement in this research. lf the organization has been involved in that community over a long penod of time it will most likely One Step at a Time stay involved in helping the people with action that arises from their understanding of corruption. There 1s also the important po,nt that the workers ( Step 1. Identify an Organization of the organization will be accountable to the people 1n that community. It rs very advantageous if you can dfscover an organization that has had The organization would ideally be a community development organization with experience in listening systematically to the knowledge, experience and wisdom long-standing experience in community work, a strong presence on the ground of the poor. There are various disciplines or methodologies that would give thts and expertise 1n participatory methods. Prior work and awareness of the effects experience - PRA (Participatory Rural/Urban Appraisal) or its sequel PLA of corruption on the poor is a desirable plus. (Participatory Learning and Action); the DELTA method; Training for While community development NGOs are probably the best kind of organizations Transformation and others. You may also be ab!e to find organizations or for carrying out this kind of work but it could also be a research organization or 1ndiv1duals who have been involved in the World Bank's "Voices of the Poor" advocacy NGO given the above critena are fulfilled. pro1ect. Lastly the organization, as well as having local knowledge of the community, With regard to their structural charactenstics grassroot NGO's are often (as sensitivity to the situation of the poor, and an absence of a pre-formed agenda, defined in the John Hopkins Comparative Nonprofit Sector project): needs to have organizational competence in planning, implementing, reporting, organized i.e. they possess some institutional reality and simple financial management of the resources that will be needed in this private, Le. Institutionally separate from government program. ·12 administrative district, from being a particular language or ethnic group, ( Step 2. Identify a Community ) from occupying a particular geographic feature. This means that the community recognizes its boundaries and accepts who ls in and who is To some extent the-community to be chosen for this work may be identified by outside that community. Such an understanding and identification of the organization that you have chosen to work with -you will need to go where themselves as a community helps in moving beyond problems that affect the organization has local presence, local trust, and local knowledge - and individuals to problems that affect many people - and which may be thought there may not be that much chrnce. Where possible it ,s valuable to choose of as the community's problems. For pragmatic reasons it 1s useful to places which are vaned and different - In order to get a good overview of the choose a community spread over a small geographical area to make sure kinds of problems poor people face with corruption. It 1s also pragmatically all participants can come to the meeting location in the community without useful to choose places where data on inhabitants, occupations etc., is already travelling long distances. available from the organization. Before the field work starts the local field workers gather poverty data on the community to get a better understanding on the local socio-economic strata. If there 1s choice, however, the following factors are important: The community contains substantial numbers of poor people. The definition of "poor" will be part of the exercise subsequently, but at the start it will be ( Step 3. Identify and Train Field Workers ) sufficient to be clear that we are dealing with a slum 1n which the poor The field workers will be of three types: clearly outnumber the non-poor. Depending on the culture In which you are working, poverty may be homogenous Le. all people of a particular Facilitators - who facilitate the focus group discussions and the report area are, by definition, poor: or it may be a heterogeneous community back meetings where poor people live alongside the non-poor. People in the community Interviewers - who carry out the interviews are likely to have a developed sense of class or income gradations. What Scribes - who take notes dunng the research activities we are looking at 1s a community of the "ordinary poor"; rather than the "poorest of the poor" Depending on the quality and expenence of staff, field workers can assume all three rotes. The community has recognized leadership. It is important to get agreement from the leadership to carry out the program 1n the community, and important It is also helpful to have. as part of the team, writers/journalists and cartoonists to try and persuade the leadership of the importance of the work that you who can identify the essence of the stories they hear, and communicate them. aim to do, so that he/she becomes Involved In it. Leaders may be formal functionanes appointed by the government, or locally identified people The organizers of the program should make every effort to build a Team from the whose leadership is based on family, reputation, education, or religious different actors -a Team which 1s clear about its purpose and has a team spirit. qualification (or a combination of all these features). Sometimes the leaders may be unsympathetic to what you are trying to do The field workers need to be clearly onented to the objectives of the program so that they all know their role in it. They also need orientation to the general because they are important actors In corruption which affects the poor, sub1ect of corruption as a system. To this end they will be asked to develop a and will not want to lose that power. It 1s, important, however, to get the corruption map, a matnx that covers all the corruption cases per institution of community leadership to understand the effects of corruption on the poor, which the field workers themselves are aware of 1n the specific community. and, where possible, get their commitment to helping with the problem. This will help the team to start thinking about corruption 1n that community. The community thinks of itself as a community: this may be from being an ,1 A 15 As stated before, the organization will be chosen because (amongst other factors) it has staff acquainted with participatory methodologies. Hopefully, therefore not all the skills listed below will require sp.Jcific tra1n1ng - in some One Introduction and Planning cases staff will already have these skills. The organizers are well advised. Participants introduced to the project and lo each other. Based on their prior experience of the area and however, to ascertain carefully the nature of the organizations past experience the people, fieldworkers are asked to suggest a (the word "participation" is capable ofw1de Interpretation). The fieldworkers (of "corruption map" of the area illustrating what cases and the different kinds) need to have or be trained 1n and develop the following structures they ! ~ "' (/) ra ·u - 0 (/) 0 E <1l ~ Ol ·"" 0 Makassar photo of brainstorming on solutions "' 0 u: 39