HAP Accountability and Quality Management Standard

2. HAP Accountability and Quality Management Standard PSO - Netherlands 10th December 2009

3. Development: Attempt to reduce poverty Improve e.g.: Health Education Gender Equality Prevent or reduce environmental degradation Humanitarian / Relief: Mitigate effects of wars and disaster Consideration Relief and developmenttend to be seen as problem solving or problem reducing rather than searching for alternative approaches – social transformation

4. Commitment to Accountability • Who should hold us to account ? • Why? • How? But – what does that mean? To whom? For what? When and for how long? How? Why?

5. An industry specific regulatory system with: Shared principles and commitments An accepted Standard A system for independent auditing and compliance verification A certificate of recognition By the aid sector for the aid sector: Membership Measurable benchmarks Independent 3rd party audits Validation of good practice To achieve this

6. HAP Accountability & Quality Management Standard • Qualifying Norms • Covenant • 6 Benchmarks • 19 Requirements

7. Declare your assurance standards Demonstrate the processes you use to implement them Minimum info to be accessible to stakeholders (esp. Beneficiaries) Disaggregated to gender, age, disability and other. Demonstrate how / application Job Description, responsibilities with regard to AF / QMS, performance, training Contextualised Demonstrate operation Both AF/QMS Partners accountability HAP Standard Benchmarks • Quality Management System:- Accountability Framework – commitments • - Enable commitments • Transparency / Information • Informed Consent through Participation • Competent Staff • Complaints Mechanism • Continual Improvement

8. Overview

9. Benchmark 1Accountability Framework What is an accountability framework? • Statement of commitments: WHAT • What standards, principles, codes, policies will stakeholders see in evidence when they see your agency at work • Implementation of process: HOW • How will these commitments be implemented • Who is accountable / responsible for them • Quality assurance process • Action plan: MANAGEMENT: (Internal comms) • Status -> improvement • Quality objective • Progress indicator

10. Stakeholders Leadership/Management Communications Processes Systems Continual Improvement Feedback / Complaints Document Management Prioritise, analyse needs / expectations Organigram, authorities & responsibilities Meetings, reports, observations Why & how (e.g. policy, guideline, format, reference) Interlinked for efficient & effectiveness (Finance, HR, Ops, Marketing) Assurance Process (M&E, lessons applied, Corrective actions tracked The right to be heard, duty to respond Accessible, knowledge management Benchmark 1:Quality Management System

11. Quality Management SystemISO Version • Qualifying Norms: Impartial, Not for Profit, Financial Integrity, Transparent Accountability • Definitions / Scope: Taking into account varying terminology and meanings • Mission Statement / Accountability Statement: Commitments in framework • Management System: How do we demonstrate that we fulfil this and meet the requirements of our stakeholders • Responsibilities: Delegation of authority (structure, organigram) • Resource Management: HR, Finance, Assets • Outputs / Impacts: Product, Process, Service • Measurement, Analysis, Lessons Learnt, Improvement Applied: Quality Assurance

12. Working with Partners Requirement 6.2 The agency shall together with its partners monitor and evaluate the agreed means to improve the quality of the partnership with respect to the Principles of Accountability and the Principles of Humanitarian Action • For each benchmark / requirement ask: • What does this mean for the agency • What does this mean for he partner • How will we agree to monitort and evalute application • What support will be required to attain the agreed level of quality and accountability

13. Partners • Definition • Types • Selection / Assessment • Contractual requirements (expectations) • Means to monitor and evaluate • Improve / capacity building • Complaints handling • Management

14. ISO and HAP • Good processes alone do not impact practice • Gap is delivery of accountability commitments • Overload requires prioritisation (framework) • Impact viewed through eyes of beneficiaries, partners, staff, supporters: 3rd party. • Lessons learnt or filed – application • Holding one another to account – transparency • Validation of good practice • Flexibility per context

15. Framework with other Standards • Decision making process for selecting standards: • Corporate • Departmental • Sectoral • Quality Assurance • Minimum framework • Contextual framework

16. ACT International ACTED (France ) ACFID (Australia) Amel Association Association Najed CAFOD (Caritas UK) CARE International Christian Aid (UK) Church World Service (CWS) – Pakistan/Afghanistan COAST Trust (Bangladesh) Community & Family Services International (CFSI) Community Development Centre (CODEC) - Bangladesh CONCERN Worldwide Coordination of Afghan Relief (CoAR) DanChurchAid (Denmark) Danish Refugee Council Focus Humanitarian Assistance Lutheran World Service Kinder USA Medair (Switzerland) Medical Aid for Palestinians (UK) MERCY Malaysia Merlin (UK) Muslim Aid (UK) Naba'a (Lebanon) Norwegian Church Aid (NCA) Norwegian Refugee Council (NRC) OFADEC (Senegal) Oxfam GB PMU Interlife Save the Children UK Society for the Safe Environment & Welfare of Agrarians (SSEWA) Pakistan Sungi Development Foundation (Pakistan) SEEDS (India) Tearfund (UK) Women's Refugee Commission World Vision International HAP full-members

17. Official donors AusAID Danida (associate member) Irish MFA Netherlands MFA Norwegian MFA Sida (associate member) UK DFID (associate member) Foundations & NGOS Oak Foundation Ford Foundation Oxfam GB Current Donors

18. Steps to Certification • Application – meet qualifying norms • Impartiality • Not for Profit • Financial Integrity • Public Accountability Framework • Baseline Line Analysis • Certification Audit • Head Office • Field Site(s) • Self assessments • Major / Minor non compliances – Corrective Actions; Recommendations • 3 years – mid term progress audit

19. Baseline Analyis / Audit • Documentation:Established procedure: • Why documents: strategy, policy, standard, code, principle • How documents: guidesline, checklist, tools • Reference • Interview:Awareness, understanding, perception, application: • Staff, • Partners • Beneficiaries • Observation:Evidence of good practice: • Document Evidence: e.g. Reports • Staff / Partners: Actions and processes used • Beneficiaries: Project ouputs

20. Certification Issues • How much does it cost? • How hard is to achieve compliance? • How long does it last? • What benefits does it offer? • Who recognises it? • How does it relate to the other quality and accountability initiatives?

21. HAP Accountability Principles • Commitment to humanitarian standards and rights of disaster survivors • Setting standards and building capacity to deliver  • Communication, including transparency and consultation with intended beneficiaries • Participation (of intended beneficiaries) in programmes • Monitoring and reporting on compliance • Addressing complaints (from beneficiaries) • Implementing Partners (encouraged to comply)

22. Principles for Humanitarian Action Primary • Humanity • Impartiality Secondary • Informed Consent • Duty of Care • Witness Tertiary • Transparency • Neutrality • Complementarity • Independence