Code of Conduct Framework Contents

Transcription

1 Code of Conduct Framework Contents 1. Purpose of the Code Framework Background and rationale for the Code of Conduct Aim, objectives and strategy for the Code of Conduct Aim and objectives Strategy Scope of the Code Framework Code Framework Flowchart Roles and responsibilities Key principles for operationalising the Code of Conduct

2 1. Purpose of the Code Framework The purpose of the Code Framework is to provide guidance to the Code of Conduct Committee (CCC), the Council for International Development (CID) Code Secretariat and the CID Board on how to implement, monitor and evaluate the Code of Conduct (the Code) Background and rationale for the Code of Conduct As development organisations have grown in size and influence over the past decade, both domestically and internationally, there have been corresponding calls for their increased transparency and accountability to donors and their supporting publics. In line with this and the outcomes of the Fourth High-level Forum on Development Effectiveness in Busan in 2011 which focusses on improved results reporting and greater transparency and accountability, government reporting requirements have increased and become more comprehensive. Keenly aware of calls for more accountability and for the need to better manage their risks of governance, finance and partnerships, CID members agreed to the development and adoption of a comprehensive Code of Conduct that is binding of all members (adopted unanimously at the CID annual general meeting in 2014). The Code of Conduct serves to enhance transparency and accountability of signatory organisations, to provide assurance to all stakeholders about the quality of development practice and as a tool to continually improve the professionalism of CID members. The principles, obligations and processes detailed in the CID Code of Conduct are predominantly based on the Australian Council for International Development (ACFID) Code of Conduct. The support and assistance provided by ACFID staff and the permission granted to draw so heavily on the long experience that is distilled in the current ACFID Code of Conduct is gratefully acknowledged. 3. Aim, objectives and strategy for the Code of Conduct 3.1 Aim and objectives The aim of the Code is to improve international development outcomes and increase stakeholder trust by enhancing transparency and accountability of signatory organisations. The objectives of the Code are to: Raise standards of practice in the New Zealand development sector across three areas of accountability programme principles, public engagement and organisation Support more transparent and accountable organisations Provide assurance to stakeholders. 3.2 Strategy CID uses a range of strategies to achieve the objectives of the Code including: Setting standards Educating member organisations about Code standards Monitoring compliance with standards 1 This framework draws in a range of existing documents including the CID Constitution, the Code of Conduct, the CCC Terms of Reference and the Code of Conduct Implementation Guidance. These documents were approved by the CID Board and/or the CID membership. Changes to these documents will be reflected in changes in this Code Framework. 2

3 Addressing non-compliance with standards Implementing a complaints handling process Capturing and sharing learning about good practices Providing training Promoting standards with CID s external stakeholders The relationship between the aim, objectives and strategies is illustrated below: Outcome Map Increased stakeholder trust Improved development outcomes Improved standards of practice More transparent and accountable organisations Stronger stakeholder assurance Capture and share learning Provide training Monitor compliance Address noncompliance Manage complaints Build relationships with stakeholders Educate members about standards Promote standards to external stakeholders Set Standards 3

4 4. Scope of the Code Framework This Framework comprises the policies which guide the design, implementation, monitoring and evaluation of the Code of Conduct. 4.1 Code Framework Flowchart Code of Conduct Purpose, Values, Principles and Obligations Code Framework To guide the CCC and Code Secretariat in the implementation, monitoring and evaluation of the Code of Conduct. Governance; setting and changing standards; compliance, advice/support; complaints handling. POLICY A: CODE GOVERNANCE (CCC ToRs and operating principles) CCC membership CCC operations Roles and responsibilities of CCC and CID Board To guide the CCC, CID Board and Code Secretariat with regard to CCC membership, operations and its roles and responsibilities in relation to the CID board and wider CID membership. POLICY B: SETTING STANDARDS (Code of Conduct and CID Constitution) Identifying standards Developing Standards Approving Standards Changing standards To guide the CCC, CID Board, Code Secretariat and wider CID membership to develop, review, change and approve standards related to the Code of Conduct POLICY C: ACHIEVING COMPLIANCE Assessment on application to become a CID member Periodic Assessment: o Biennial assessment o Emergency appeals website checks o Focus areas (TBC) Non-compliance Data and reporting To guide the CCC and Code Secretariat in the: Implementation, monitoring and evaluation of a compliance assessment processes. Management of noncompliance among member organisations. POLICY D: COMPLAINTS HANDLING Complaints handling To guide the CCC, CID Board and Code Secretariat in the: Implementation, monitoring and evaluation of a complaints handling process. Code of Conduct Implementation Guide Code of Conduct Communications Strategy Code of Conduct Education and learning Strategy 4

5 5. Roles and responsibilities The responsibility for operationalising the strategies outlined above is distributed between the CCC, the Code Secretariat and the CID Board. CCC: The CCC has responsibility for: granting and suspending Code Signatory status examining complaints recommending to the CID Board the revocation of Code Signatory status monitoring compliance with the Code standards addressing non-compliance setting standards (noting that these cannot be changed without full agreement of the CID membership). Code Secretariat: Has responsibility for: assessing member organisations Compliance Self-Assessments (CSAs) administering the Code providing administrative and operational support to the CCC building capacity among member organisations. The CID Board: Has responsibility for: Revoking CID membership. The CCC and the CID board: Jointly have responsibility for promoting the Code of Conduct to external stakeholders. 6. Key principles for operationalising the Code of Conduct The CID Code is a learning-oriented tool which is designed to encourage dialogue, reflection and change within signatory organisations. In operationalising the Code, the CCC and the Code Secretariat seeks to strike a balance between facilitating learning by signatory organisations themselves and providing assurance to external stakeholders through limited third party monitoring and verification of Code compliance. The key principles which inform the implementation and review of the CID Code are: Proportionality: The Code will be shaped by, and reflects the diversity of CID s members and accommodates their own specific approaches to aid and development. The application of the Code to individual organisations will be proportionate to the nature of their work. 5

6 Certainty: The Code will be implemented in a consistent and transparent manner. The Code will, where appropriate, align with or complement other regulatory frameworks. Flexibility: Signatory organisations will have the scope to adopt the most appropriate, least cost and innovative approaches to meeting compliance requirements. Responsiveness: The Code and its associated compliance mechanisms will have the capacity to change in response to changes in context, changes in stakeholder expectations, lessons learned and emerging good practice locally and internationally. Transparency and accountability: Changes in the Code will only be made in consultation with signatory organisations and will be approved at the AGM. The processes for setting and maintaining compliance with the standards will be transparent. The CCC will be accountable to its stakeholders, including taking into account their views and reporting to them. Capable regulators: The CCC and the Code Secretariat will have people, the capabilities and systems necessary to operate in an efficient and effective regulatory regime. Continuous improvement: The CCC and the Code Secretariat will continually improve processes through effective collection, analysis and use of data, keeping abreast of good practice locally and internationally, undertaking training, encouraging innovation and rewarding excellence. The CCC and the Code Secretariat will capture and share learnings about good practice with the CID members. Final Adopted by CCC 14 September